National Instruments Published for Comment 2018

National Instruments Published for Comment 2018

 

CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study

December 18, 2018 - The Canadian Securities Administrators today published CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study

• CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study
• Appendix A - Proposed Design Report - Trading Fee Rebate Pilot Study
• Appendix B - Draft Model Order

The comment period ends February 1, 2019

For more information, please contact:
        Liz Kutarna, Deputy Director
        Capital Markets, Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  306.787.5871
        Fax:  306.787.5899
        Email: liz.kutarna@gov.sk.ca

 

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CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments

October 25, 2018 - The Canadian Securities Administrators today published CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments

• CSA Notice and Request for Comment
• Annex A - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• Annex B - Local Matters

The comment period ends December 24, 2018

For more information, please contact:
        Liz Kutarna, Deputy Director, Capital Markets
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-5871
        Fax:  (306) 787-5899
        Email: liz.kutarna@gov.sk.ca 

 

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CSA Notice and Request for Comment Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements and Proposed Changes to Companion Policy 24-102 Clearing Agency Requirements

October 18, 2018 - The Canadian and Securities Administrators today published CSA Notice and Request for Comment Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements and Proposed Changes to Companion Policy 24-102 Clearing Agency Requirements

• CSA Notice and Request for Comment
• Annex A - Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements
• Annex B - Proposed Changes to Companion Policy 24-102CP to National Instrument 24-102 Clearing Agency Requirements
• Annex C - Blacklined Proposed Amendments to National Instrument 24-102 Clearing Agency Requirements (showing the changes under the Proposed Amendments to the Instrument)
• Annex D - Blacklined Proposed Changes to Companion Policy 24-102CP to National Instrument 24-102 Clearing Agency Requirements (showing the changes under the Proposed Changes to the CP)
• Annex E - Local Matters

The comment period ends January 16, 2019

For more information, please contact:
        Liz Kutarna, Deputy Director 
        Capital Markets, Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  306.787.5871
        Fax:  306.787.5899
        Email: liz.kutarna@gov.sk.ca 

 

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CSA Notice and Request for Comment Proposed Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments

September 13, 2018 - The Canadian Securities Administrators today published CSA Notice and Request for Comment Proposed Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments

• CSA Notice and Request for Comment
• Annex A - Specific Questions of the CSA Relating to the Proposed Amendments
• Annex B - Proposed Amendments to National Instrument 81-105 Mutual Fund Sales Practices
• Annex C - Proposed Changes to Companion Policy 81-105CP to National Instrument 81-105 Mutual Fund Sales Practices
• Annex D - Proposed Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
• Annex E - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• Annex F - Regulatory Impact Analysis of the Proposed Reforms to Address Concerns Related to the Payment of Embedded Commissions
• Annex G - Local Matters

The comment period ends December 13, 2018

For more information, please contact:
        Heather Kuchuran, Senior Securities Analyst, Corporate Finance
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive   
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-1009
        Fax:  (306) 787-5899
        Email: Heather.Kuchuran@gov.sk.ca

 

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CSA Notice and Request for Comment Proposed National Instrument 51-112 Non-GAAP Financial Measures and Other Financial Measures Disclosure Proposed Companion Policy 52-112CP Non-GAAP Financial Measures and Other Financial Measures Disclosure Related Proposed Consequential Amendments and Changes

September 6, 2018 - The Canadian Securities Administrators today published CSA Notice and Request for Comment Proposed National Instrument 51-112 Non-GAAP Financial Measures and Other Financial Measures Disclosure Proposed Companion Policy 52-112CP Non-GAAP Financial Measures and Other Financial Measures Disclosure Related Proposed Consequential Amendments and Changes

• CSA Notice and Request for Comment
• Annex F - Local Matters

The comment period ends December 5, 2018
 
For more information contact:
         Tony Herdzik, Deputy Director, Corporate Finance
         Securities Division
         Financial and Consumer Affairs Authority
         Suite 601, 1919 Saskatchewan Drive
         Regina, Saskatchewan  S4P 4H2
         Phone:  (306) 787-5849
         Fax:  (306) 787-5899
         Email: tony.herdzik@gov.sk.ca 

 

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CSA Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations - Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

June 21, 2018 - The Canadian Securities Administrators are publishing CSA Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations - Reforms to Enhance the Client-Registrant Relationship (Client Focused Reforms)

• CSA Notice and Request for Comment
• Annex A - Proposed Amendments to NI 31-103
• Annex B - Blackline Showing Changes to NI 31-103 under the Proposed Amendments
• Annex C - Blackline Showing Changes to 31-103CP under the Proposed Amendments
• Annex D - Summary of Comments on CSA Consultation Paper 33-404
• Annex E - Local Matters

The comment period ends October 19, 2018.

For more information, please contact:
        Liz Kutarna, Deputy Director, Capital Markets
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-5871
        Fax:  (306) 787-5899
        Email: liz.kutarna@gov.sk.ca  

 

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CSA Notice and Second Request for Comment - Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives:  Business Conduct

June 14, 2018 - The Canadian Securities Administrators are publishing CSA Notice and Second Request for Comment - Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives: Business Conduct

• CSA Notice and Second Request for Comment
• Annex I - Summary of Comments and CSA responses and list of commenters
• Annex II - Proposed NI 93-101 Derivatives Business Conduct
• Annex III - Proposed CP 93-101 Derivatives Business Conduct
• Annex IV - Alternative Version of the Definition of Affiliated Entity
• Annex V - Local Matters

The comment period ends September 17, 2018.

For more information, please contact:
        Liz Kutarna, Deputy Director, Capital Markets
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-5871
        Fax:  (306) 787-5899
        Email: liz.kutarna@gov.sk.ca  

 

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CSA Notice and Request for Comment 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Proposed Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy

May 24, 2018 - The CSA are publishing for comment amendments to National Instrument 21-101 Marketplace Operation and the related Companion Policy 21-101.

• Staff Notice and Request For Comment - Comment period ends August 29, 2018.
• Annex A - Framework For the Regulation and Transparency of the Government Debt Market, Description of the Expanded Corporate Debt Proposal and of the Proposed Amendments
• Annex B - Proposed Amendments to National Instrument 21-101 Marketplace Operation        
• Annex C - Proposed Amendments to National Instrument 21-101 Marketplace Operation, blacklined to the current versions
• Annex D - Local Matters

The comment period ends August 29, 2018.

For more information contact:
        Liz Kutarna, Deputy Director, Capital Markets
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-5871
        Fax:  (306) 787-5899
        Email: liz.kutarna@gov.sk.ca

 

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CSA Notice and Request for Comment - Proposed National Instrument 93-102 Derivatives: Registration and Proposed Companion Policy 93-102 Derivatives: Registration

April 19, 2018 - The Proposed Instrument together with the Business Conduct Instrument are intended to implement a comprehensive regime for the regulation of persons or companies that are in the business of trading derivatives and in the business of advising on derivatives.

• CSA Notice and Request For Comment 
• Annex I Description of Proposed Methodologies
• Annex II Alternative version of the definition of "affiliated entity"
• Annex III Proposed National Instrument 93-102 Derivatives: Registration
• Annex IV Proposed Companion Policy 93-102 Derivatives: Registration
• Annex V Local Matters - Authority of the Proposed Instrument

The comment period ends September 17, 2018.

For more information contact:
        Liz Kutarna, Deputy Director, Capital Markets
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-5871
        Fax:  (306) 787-5899
        Email:  liz.kutarna@gov.sk.ca

 

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CSA Notice and Request for Comment - Soliciting Dealer Arrangements

April 12, 2018 - This notice outlines certain issues that staff of the Canadian Securities Administrators have identified with respect to the use of soliciting dealer arrangements.

• CSA Notice and Request for Comment

The comment period ends June 11, 2018.

For more information, please contact:
        Sonne Udemgba, Deputy Director, Legal
        Securities Division
        Financial and Consumer Affairs Authority
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 787-5879
        Fax:  (306) 787-5899
        Email: sonne.udemgba@gov.sk.ca

 

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CSA Notice and Request for Comment - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions

March 8, 2018 - The Proposed Amendments include changes to the prospectus and registration exemptions available for the distribution of syndicated mortgages. 

• CSA Notice and request for comment
• Annex A - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions
• Annex B - Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions
• Annex C - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• Annex D - Local Matters

The comment period ends June 6, 2018.

For more information please contact:
        Mikale White, Legal Counsel
        Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, Saskatchewan  S4P 4H2
        Phone:  (306) 798-3381
        Fax:  (306) 787-5899
        Email: Mikale.White@gov.sk.ca