54-101 – Communication with Beneficial Owners of Securities of a Reporting Issuer (National Instrument)

54-101 – Communication with Beneficial Owners of Securities of a Reporting Issuer (National Instrument)

• Communication with Beneficial Owners of Securities of a Reporting Issuers

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  Requires reporting issuers to send proxy-related materials to the beneficial owners of its securities who are not registered holders of its securities.  Provides a procedure for sending proxy-related materials and other security holder material to the beneficial owners.  Imposes obligations on various parties in the security holder communication process.

  54_101_ni_february_11_2013.pdf
• Amendments to National Instrument 54-101

  Effective Date: Subject to ministerial approval.

  The Final Amendments implement an access model (the Access Model) for annual financial statements, interim financial reports and related management’s discussion & analysis of non-investment fund reporting issuers (CD documents). 

  The Access Model provides alternative procedures whereby electronic access may be provided to CD documents instead of following the delivery requirements currently found in securities legislation. Further details are available in the CSA Notice.

  54_101_amendments_september_22_2026.pdf
• Amendments to National Instrument 54-101

  Effective Date: June 9, 2023. In Saskatchewan: June 20, 2023.

  54_101_ni_amendments_2023_03_23.pdf
• Companion Policy 54-101 CP

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_cp_february_11_2013.pdf
• Changes to Companion Policy 54-101CP

  Effective Date: Subject to ministerial approval.

  The Final Amendments implement an access model (the Access Model) for annual financial statements, interim financial reports and related management’s discussion & analysis of non-investment fund reporting issuers (CD documents). 

  The Access Model provides alternative procedures whereby electronic access may be provided to CD documents instead of following the delivery requirements currently found in securities legislation. Further details are available in the CSA Notice.

  54_101cp_changes_september_22_2026.pdf
• Changes to Companion Policy 54-101CP

  Effective Date: June 9, 2023. In Saskatchewan: June 20, 2023.

  54_101_cp_amendments_2023_03_23.pdf
• Form 54-101F1 Explanation to Clients and Client Response Form

  Effective Date: July 1, 2002.

  54_101_f1_july_1_2002.pdf
• Form 54-101F2 Request for Beneficial Ownership Information

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_f2_july_1_2002.pdf
• Form 54-101F3 Omnibus Proxy (Depositories)

  Effective Date: July 1, 2002.

  54_101_f3_july_1_2002.pdf
• Form 54-101F4 Omnibus Proxy (Proximate Intermediaries)

  Effective Date: July 1, 2002.

  54_101_f4_july_1_2002.pdf
• Form 54-101F5 Electronic Format for NOBO List

  Effective Date: July 1, 2002.

  54_101_f5_july_1_2002.pdf
• Form 54-101F6 Request for Voting Instructions made by Reporting Issuer

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_f6_july_1_2002.pdf
• Form 54-101F7 Request for Voting Instructions made by Intermediary

  Effective Date: July 1, 2002. Consolidated to February 11, 2013.

  54_101_f7_july_1_2002.pdf
• Form 54-101F9 Undertaking

  Effective Date: July 1, 2002.  Consolidated to February 11, 2013.

  54_101_f9_july_1_2002.pdf
• Form 54-101F10 Undertaking

  Effective Date: February 11, 2013.

  54_101_f10_july_1_2002.pdf