National Instruments Published for Comment 2021
Financial and Consumer Affairs Authority
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
Securities Division
4th Floor, 2365 Albert Street
Regina, SK, S4P 4K1
Tel: (306)787-5645
Fax: (306)787-5899
Email: fcaa@gov.sk.ca
National Instruments Published for Comment 2021
CSA Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel
December 2, 2021 – Today the Canadian Securities Administrators is publishing CSA Staff Notice and Request for Comment 11-343 Proposal to Establish a CSA Investor Advisory Panel with attached proposed Terms of Reference.
For more information, contact:
Derek Maher, J.D., CPA, CA
Financial and Consumer Affairs Authority of Saskatchewan
Acting Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: derek.maher2@gov.sk.ca
Climate-related Disclosure Update and CSA Notice and Request for Comment Proposed National Instrument 51-107 Disclosure of Climate-related Matters
October 18, 2021 – Today the Canadian Securities Administrators is publishing the Climate-related Disclosure Update and CSA Notice and Request for Comment Proposed National Instrument 51-107 Disclosure of Climate-related Matters.
Comment Period Ends: January 17, 2022.
For more information, contact:
Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca
CSA Notice and Request for Comment Proposed amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions
September 16, 2021 – Today the Canadian Securities Administrators is publishing the CSA Notice and Request for Comment Proposed amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions.
Comment Period Ends: November 15, 2021
For more information, contact:
Derek Maher, J.D., CPA, CA
Financial and Consumer Affairs Authority of Saskatchewan
Acting Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax: 306-787-5899
Email: derek.maher2@gov.sk.ca
CSA Notice and Request for Comment Proposed Changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements Related to Financial Statement Requirements
August 12, 2021 – Today the Canadian Securities Administrators is publishing the CSA Notice and Request for Comment Proposed Changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements Related to Financial Statement Requirements.
Comment Period Ends: October 11, 2021.
For more information, contact:
Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca
CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption
July 28, 2021 – Today the Canadian Securities Administrators is publishing the CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption.
Comment Period Ends: October 26, 2021.
For more information, contact:
Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca
CSA Notice and Request for Comment Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Other Amendments and Changes Relating to Annual and Interim Filings of Non-Investment Fund Reporting Issuers - and - Seeking Feedback on a Proposed Framework for Semi-Annual Reporting - Venture Issuers on a Voluntary Basis
May 20, 2021 – Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Other Amendments and Changes Relating to Annual and Interim Filings of Non-Investment Fund Reporting Issuers - and - Seeking Feedback on a Proposed Framework for Semi-Annual Reporting - Venture Issuers on a Voluntary Basis.
• CSA Notice and Request for Comment Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Other Amendments and Changes Relating to Annual and Interim Filings of Non-Investment Fund Reporting Issuers - and - Seeking Feedback on a Proposed Framework for Semi-Annual Reporting - Venture Issuers on a Voluntary Basis
Annex A Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations
Annex B Proposed Annotated Form 51-102F1 Annual Disclosure Statement
Annex C Proposed Annotated Form 51-102F2 Interim Disclosure Statement
Annex D Proposed Changes to Companion Policy 51-102CP to National Instrument 51-102 Continuous Disclosure Obligations
Annex E Proposed Amendments to Existing Rules
o Multilateral Instrument 11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions
o National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
o National Instrument 43-101 Standards of Disclosure for Mineral Projects
o National Instrument 44-102 Shelf Distributions
o National Instrument 45-106 Prospectus Exemptions
o Multilateral Instrument 45-108 Crowdfunding
o National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities
o Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
o National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings
o National Instrument 52-110 Audit Committees
o National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer
o National Instrument 55-104 Insider Reporting Requirements and Exemptions
o National Instrument 58-101 Disclosure of Corporate Governance Practices
o Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions
o National Instrument 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues
o National Instrument 81-101 Mutual Fund Prospectus Disclosure
o National Instrument 41-101 General Prospectus Requirements
o National Instrument 44-101 Short Form Prospectus Distributions
o National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers
Annex F Proposed Changes to Existing Policies
o National Policy 11-201 Electronic Delivery of Documents
o National Policy 11-206 Process for Cease to be a Reporting Issuer Applications
o National Policy 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions
o National Policy 12-202 Revocation of Certain Cease Trade Orders
o National Policy 12-203 Management Cease Trade Orders
o National Policy 41-201 Income Trusts and Other Indirect Offerings
o Companion Policy 43-101CP to National Instrument 43-101 Standards of Disclosure for Mineral Projects
o Companion Policy 45-106CP Prospectus Exemptions
o National Policy 46-201 Escrow for Initial Public Offerings
o Companion Policy 51-101CP Standards of Disclosure for Oil and Gas Activities
o National Policy 51-201 Disclosure Standards
o Companion Policy 52-109CP to National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings
o Companion Policy 52-110CP to National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer
o Companion Policy 54-101CP to National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer
o Companion Policy 71-102CP Continuous Disclosure and Other Exemptions Relating to Foreign Issuers
o Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements
o Companion Policy 44-101CP to National Instrument 44-101 Short Form Prospectus Distributions
Annex G Semi-Annual Reporting for Certain Venture Issuers on a Voluntary Basis
Annex H Local Matters - Saskatchewan
The comment period ends September 17, 2021.
For more information, contact:
Heather Kuchuran
Financial and Consumer Affairs Authority of Saskatchewan
Director, Corporate Finance
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-1009
Fax: 306-787-5899
Email: heather.kuchuran@gov.sk.ca
CSA Notice and Request for Comment Proposed Amendments to Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Changes to Companion Policy 25-102 Designated Benchmarks and Benchmark Administrators
April 29, 2021 - Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Changes to Companion Policy 25-102 Designated Benchmarks and Benchmark Administrators.
The comment period ends July 28, 2021.
For more information, contact:
Mikale White, JD
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-798-3381
Fax: 306-787-5899
Email: mikale.white@gov.sk.ca
CSA Notice and Request for Comment Proposed Amendments to National Instrument 14-101 Definitions and Consequential Amendments
April 22, 2021 - The Canadian Securities Administrators published CSA Notice and Request for Comment Proposed Amendments to National Instrument 14-101 Definitions and Consequential Amendments.
The comment period ends July 21, 2021.
For more information, contact:
Sonne Udemgba
Financial and Consumer Affairs Authority of Saskatchewan
Director, Legal
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-5879
Fax: 306-787-5899
Email: sonne.udemgba@gov.sk.ca
CSA Notice and Request for Comment – Proposed Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information And Related 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 Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines
February 4, 2021 – The Canadian Securities Administrators are publishing CSA Notice and Request for Comment – Proposed Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information And Related 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 Modernizing Registration Information Requirements, Clarifying Outside Activity Reporting and Updating Filing Deadlines.
The comment period ends May 5, 2021.
For more information, contact:
Curtis Brezinski, CIA
Financial and Consumer Affairs Authority of Saskatchewan
Compliance Auditor, Capital Markets
Securities Division
601-1919 Saskatchewan Drive
Regina, SK S4P 4H2
Bus: 306-787-5876
Fax: 306-787-5899
Email: curtis.brezinski@gov.sk.ca