Regulatory Instruments Published for Comment 2020

CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption

September 17, 2020 - The Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption.

• CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption
• Annex A - Proposed Amendments to National Instrument 45-106 Prospectus Exemptions
• Annex B - Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions
• Annex C - Blackline Main body of NI 45-106 reflecting the Proposed Amendments, compared by way of blackline to that material as currently in-force
• Annex D - Blackline Form 45-106F2 reflecting the Proposed Amendments, compared by way of blackline to that material as currently in-force
• Annex E - Local Matters

The comment period ends December 16, 2020.

For more information, contact:

Heather Kuchuran, CPA, CA, CFA
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
Suite 601-1919 Saskatchewan Drive
Regina SK  S4P 4H2  
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca

 

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CSA Notice and Second Request for Comment Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives

September 3, 2020 - Today the Canadian Securities Administrators are publishing CSA Notice and Second Request for Comment Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives

• CSA Notice and Second Request for Comment Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
• Annex A - Proposed Amendments to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
• Annex B - Blackline of National Instrument 94-101Mandatory Central Counterparty Clearing of Derivatives showing the proposed amendments
• Annex C - Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives
• Annex D - Blackline of Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives showing the proposed changes
• Annex E - Summary of Comments and CSA Responses and List of Commenters
• Annex F - Local Matters

The comment period ends December 2, 2020.

For more information, contact:

Nathanial D. Day
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK  S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: nathanial.day@gov.sk.ca

 

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CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments

July 2, 2020 - The Canadian Securities Administrators published CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments

• CSA Staff Notice 31-358

The comment period ends September 30, 2020.

For more information contact:

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

 

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CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework

June 25, 2020 - The Canadian Securities Administrators published CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework

• CSA Consultation Paper

The comment period ends October 23, 2020.

For more information contact:

Liz Kutarna
Deputy Director, Capital Markets, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan  S4P 4H2
Tel: 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 and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients

March 5, 2020 - The Canadian Securities Administrators published CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients

• CSA Notice and Request for Comment
• Annex A - Proposed Amendments to National Instrument 31-103 
• Annex B - Blackline Showing Changes to National Instruments 31-103
• Annex C - Proposed Changes to Companion Policy 31-103CP
• Annex D - Local Matters

The comment period ends June 3, 2020. The CSA has extended the comment period to July 20, 2020.

For more information contact:

Curtis Brezinski
Compliance Auditor, Capital Markets, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan S4P 4H2
Tel: 306.787.5876
Fax: 306.787.5899
Email: curtis.brezinski@gov.sk.ca

 

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CSA Notice and Request for Comment Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions

February 27, 2020 - The Canadian Securities Administrators published CSA Notice and Request for Comment Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions

• CSA Notice and Request for Comment
• Annex A - Key differences between the registration and prospectus exemptions under Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions and the Start-up Crowdfunding Registration and Prospectus Blanket Orders
• Annex B - Local Matters
• Annex C - Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions
• Annex D - Proposed Form 45-110F1 Offering Document
• Annex E - Proposed Form 45-110F2 Risk Acknowledgement
• Annex F - Proposed Form 45-110F3 Funding Portal Information
• Annex G - Proposed Form 45-110F4 Portal Individual Information
• Annex H - Proposed Form 45-110F5 Annual Working Capital Certification
• Annex I - CSA Staff Notice 45-XXX Guidance for using the start-up crowdfunding registration and prospectus exemptions
  • Appendix 1 - Start-up Crowdfunding Guide for Businesses    
  • Appendix 2 - Start-up Crowdfunding Guide for Funding Portals
• Annex J - Proposed Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
• Annex K - Proposed Amendments to National Instrument 45-102 Resale of Securities

The comment period ends May 27, 2020. The CSA has extended the comment period to July 13, 2020.

For more information contact:

Mikale White
Legal Counsel, Legal, 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

 

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

February 13, 2020 - The Canadian Securities Administrators published CSA Second Notice and Request for Comment Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure Proposed Companion Policy 52-112 Non-GAAP and Other Financial Measures Disclosure Related Proposed Consequential Amendments and Changes

• CSA Second Notice and Request for Comment
• Annex A - List of Commenters
• Annex B - Summary of Comments and CSA Responses
• Annex C - Summary of Changes Made in the Proposed Instrument
• Annex D - Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure
• Annex E - Proposed Companion Policy 52-112 Non-GAAP and Other Financial Measures Disclosure
• Annex F - Proposed Amendments to Multilateral Instrument 45-108 Crowdfunding
• Annex G - Proposed Change to Companion Policy 45-108CP Crowdfunding
• Annex H - Proposed Change to Companion Policy 51-102CP Continuous Disclosure Obligations
• Annex I - Proposed Change to Companion Policy 51-105CP Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
• Annex J - Proposed Change to Companion Policy 52-107CP Acceptable Principles and Auditing Standards
• Annex K - Local Matters 

The comment period ends May 13, 2020. The CSA has extended the comment period to June 29, 2020.

For more information contact:

Heather Kuchuran
Acting Deputy Director, Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
Suite 601, 1919 Saskatchewan Drive
Regina, Saskatchewan  S4P 4H2
Phone:  306.787.1009
Fax:  306.787.5899
Email: heather.kuchuran@gov.sk.ca