Regulatory 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.

• 11-343 CSA SN Comment – December 2, 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

 

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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.

• Climate-related Disclosure Update and CSA Notice and Request for Comment Proposed National Instrument 51-107 Disclosure of Climate-related Matters
  • Annex A    Proposed National Instrument 51-107 Disclosure of Climate-related Matters
  • Annex B    Proposed Companion Policy 51-107CP Disclosure of Climate-related Matters
  • Annex C    Existing Securities Legislation
  • Annex D    CSA Disclosure Review
  • Annex E    Domestic Developments
  • Annex F    International Developments
  • Annex G    Local 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

 

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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.

• CSA Notice and Request for Comment Proposed amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions
  • Annex A    Proposed Amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions
  • Annex B     Blackline of National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions showing the proposed amendments
  • Annex C     Local Matters

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

 

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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.

• 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
  • Annex A         Proposed Changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements
  • Annex B         Proposed Changes to Companion Policy 51-102CP to National Instrument 51-102 Continuous Disclosure Obligations

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

 

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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.

• CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption
  • Annex A         Proposed Amendments to National Instrument 45-106 Prospectus Exemptions
  • Annex B         Proposed Changes to Companion Policy 45-106CPProspectus Exemptions
  • Annex C         Proposed Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)
  • Annex D         Proposed Amendments to National Instrument 45-102 Resale of Securities
  • Annex E         Local matters

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

 

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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
  • Failure-to-File Cease Trade Orders in Multiple Jurisdictionso Multilateral Instrument 11-103
  • System for Electronic Document Analysis and Retrieval (SEDAR)o National Instrument 13-101
  • Standards of Disclosure for Mineral Projectso National Instrument 43-101
  • Shelf Distributionso National Instrument 44-102
  • Prospectus Exemptionso National Instrument 45-106
  • Crowdfundingo Multilateral Instrument 45-108
  • Standards of Disclosure for Oil and Gas Activitieso National Instrument 51-101
  • Issuers Quoted in the U.S. Over-the-Counter Marketso Multilateral Instrument 51-105
  • Certification of Disclosure in Issuers’ Annual and Interim Filingso National Instrument 52-109
  • Audit Committeeso National Instrument 52-110
  • Communication with Beneficial Owners of Securities of a Reporting Issuero National Instrument 54-101
  • Insider Reporting Requirements and Exemptionso National Instrument 55-104
  • Disclosure of Corporate Governance Practiceso National Instrument 58-101
  • Protection of Minority Security Holders in Special Transactionso Multilateral Instrument 61-101
  • The Early Warning System and Related Take-Over Bid and Insider Reporting Issueso National Instrument 62-103
  • Mutual Fund Prospectus Disclosureo National Instrument 81-101
  • General Prospectus Requirementso National Instrument 41-101
  • Short Form Prospectus Distributionso National Instrument 44-101
  • National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers
• Annex F    Proposed Changes to Existing Policies
  • Electronic Delivery of Documentso National Policy 11-201
  • Process for Cease to be a Reporting Issuer Applicationso National Policy 11-206
  • Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictionso National Policy 11-207
  • Revocation of Certain Cease Trade Orderso National Policy 12-202
  • Management Cease Trade Orderso National Policy 12-203
  • Income Trusts and Other Indirect Offeringso National Policy 41-201
  • National Instrument 43-101 Standards of Disclosure for Mineral Projectso Companion Policy 43-101CP to
  • Prospectus Exemptionso Companion Policy 45-106CP
  • Escrow for Initial Public Offeringso National Policy 46-201
  • Standards of Disclosure for Oil and Gas Activitieso Companion Policy 51-101CP
  • Disclosure Standardso National Policy 51-201
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filingso Companion Policy 52-109CP to
  • National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuero Companion Policy 52-110CP to  
  • National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuero Companion Policy 54-101CP to
  • Continuous Disclosure and Other Exemptions Relating to Foreign Issuerso Companion Policy 71-102CP
  • General Prospectus Requirementso Companion Policy 41-101CP to National Instrument 41-101
  • 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

 

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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.

• 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
• Annex A - Proposed Amendments to Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators
• Annex B - Blacklined of Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators 
• Annex C - Proposed Changes to Companion Policy 25-102 Designated Benchmark and Benchmark Administrators
• Annex D - Blacklined Companion Policy 25-102 Designated Benchmarks and Benchmark Administrators
• Annex E - Specific Questions of the Authorities Relating to the Proposed Amendments
• Annex F - Local Matters

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

 

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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.

• CSA Notice and Request for Comment
• Annex A - Proposed Amendments to NI 14-101
• Annex B - Proposed Amendments to NI 31-103
• Annex C - Proposed Amendments to NI 45-106
• Annex D - Proposed Amendments to NI 62-103
• Annex E - Proposed Amendments to NI 94-102
• Annex F - Local Matters

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

 

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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.

• CSA Notice and Request for Comment 
• Annex A - Proposed Amendments to National Instrument 33-109 Registration Information
• Annex B - Blackline of National Instrument 33-109 Registration Information
• Annex C - Proposed Changes to Companion Policy 33-109CP Registration Information
• Annex D - Blackline of Changes to Companion Policy 33-109CP Registration Information
• Annex E - Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• Annex F - Proposed Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
• Annex G - Local Matters

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