National Instruments Published for Comment 2022

National Instruments Published for Comment 2022

CSA Notice and Request for Comment: Proposed Amendments to National Instrument 24-101 Institutional Trade Matching and Settlement and Proposed Changes to Companion Policy 24-101 Institutional Trade Matching and Settlement

December 15, 2022 - The Canadian Securities Administrators are publishing CSA Notice and Request for Comment: Proposed Amendments to National Instrument 24-101 Institutional Trade Matching and Settlement and Proposed Changes to Companion Policy 24-101 Institutional Trade Matching and Settlement.

• CSA Notice and Request for Comment: Proposed Amendments to National Instrument 24-101 Institutional Trade Matching and Settlement and Proposed Changes to Companion Policy 24-101 Institutional Trade Matching and Settlement
• Annex A - Proposed Amendments to National Instrument 24-101
• Annex B - Proposed Changes to Companion Policy 24-101CP to National Instrument 24-101  
• Annex C - Blackline to National Instrument 24-101  
• Annex D - Blackline to Companion Policy 24-101CP
• Annex E - Local Matters

For more information, contact:

        Liz Kutarna
        Financial and Consumer Affairs Authority of Saskatchewan
        Director, Capital Markets
        Securities Division
        601-1919 Saskatchewan Drive
        Regina SK  S4P 4H2
        Bus: 306-787-5871
        Fax: 306-7875899
        Email: liz.kutarna@gov.sk.ca

 

---

 

CSA Notice and Request for Comment: Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure; Proposed Changes to Companion Policy 81-106CP Continuous Disclosure Obligations; and Proposed Consequential amendments to National Instrument 41-101 General Prospectus Requirements, and National Instrument 81-101 Mutual Fund Prospectus Disclosure

October 6, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment in relation to Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure; Proposed Changes to Companion Policy 81-106CP Continuous Disclosure Obligations; and Proposed Consequential amendments to National Instrument 41-101 General Prospectus Requirements, and National Instrument 81-101 Mutual Fund Prospectus Disclosure to Implement an Access-Based Model for Investment Fund Reporting Issuers

CSA Notice and Request for Comment: Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure; Proposed Changes to Companion Policy 81-106CP Continuous Disclosure Obligations; and Proposed Consequential amendments to National Instrument 41-101 General Prospectus Requirements, and National Instrument 81-101 Mutual Fund Prospectus Disclosure

    •    Annex A - Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
    •    Annex B - Proposed Changes to Companion Policy 81-106 Investment Fund Continuous Disclosure
    •    Annex C - Proposed Consequential Amendments to National Instrument 41-101 General Prospectus Requirements
    •    Annex D - Proposed Consequential Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
    •    Annex E - Local Matters

Comment Period Ends: December 26, 2022.

For more information, contact:

        Heather Kuchuran, Director
        Corporate Finance, Securities Division
        Financial and Consumer Affairs Authority of Saskatchewan
        Suite 601, 1919 Saskatchewan Drive
        Regina, SK S4P 4H2
        Phone: 306-787-1009
        E-mail: heather.kuchuran@gov.sk.ca  

 

---

 

CSA Multilateral Notice and Request for Comment, Proposed Amendments to Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting and Proposed Changes to Companion Policy 96-101 Trade Repositories and Derivatives Data Reporting

June 9, 2022 – Today the Canadian Securities Administrators are publishing CSA Multilateral Notice and Request for Comment, Proposed Amendments to Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting and Proposed Changes to Companion Policy 96-101 Trade Repositories and Derivatives Data Reporting

• CSA Multilateral Notice and Request for Comment, Proposed Amendments to Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting and Proposed Changes to Companion Policy 96-101, Trade Repositories and Derivatives Data Reporting
  • Annex A - Proposed Amendments to MI 96-101
  • Annex B - Blackline of MI 96-101
  • Annex C - Proposed Changes to CP 96-101
  • Annex D - Companion Policy Blackline
  • Annex E - Local Matters

Comment Period Ends: October 7, 2022.

For more information, contact:

Graham Purse
Financial and Consumer Affairs Authority of Saskatchewan
Legal Counsel
Securities Division
601-1919 Saskatchewan Drive
Regina SK S4P 4H2
Bus: 306-787-5867
Fax : 306-787-5899
Email: graham.purse2@gov.sk.ca

 

---

 

CSA Staff Notice and Request for Comment 25-305, Application for Approval of the New Investor Protection Fund

May 12, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice and Request for Comment 25-305, Application for Approval of the New Investor Protection Fund

• CSA Staff Notice and Request for Comment 25-305 Application for Approval of the New Investor Protection Fund
  • Appendix A – Application for approval and acceptance of the New IPF (Application), which includes the below schedules:
    • Schedule 1 – Draft By-Law Number 1 of the New IPF
    • Schedule 2 – Draft Coverage Policy
    • Schedule 3 – Draft Claims Procedures
    • Schedule 4 – Draft Appeal Committee Guidelines
  • Appendix B - Draft Approval Order for the New IPF (SK) setting out the terms and conditions of approval as well as reporting requirements for the New IPF
  • Appendix C – Draft Memorandum of Understanding (MOU) among the Regulators regarding oversight of the New IPF

Comment Period Ends: June 27, 2022.

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

 

---

 

CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization

May 12, 2022 – Today the Financial and Consumer Affairs Authority of Saskatchewan is publishing CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization

• CSA Staff Notice and Request for Comment 25-304, Application for Recognition of New Self-Regulatory Organization
  • Appendix A - Application for recognition of the New SRO (Application), which includes the below schedules:
    • Schedule 1 – Draft By-Law Number 1 of the New SRO
    • Schedule 2 – Draft Interim Rules of the New SRO
      • Introduction
      • Investment Dealer and Partially Consolidated Rules
      • Mutual Fund Dealer Rules  
      • Mutual Fund Dealer Form 1  
      • Universal Market Integrity Rules
    • Schedule 3 – Draft Terms of Reference for New SRO’s Investor Advisory Panel
    • Schedule 4 – Québec Requirements (unofficial translation)
  • Appendix B – Draft Recognition Order for the New SRO (SK) setting out the terms and conditions of recognition as well as reporting requirements for the New SRO.
  • Appendix C – Draft MOU among the Recognizing Regulators regarding oversight of the New SRO.

Comment Period Ends: June 27, 2022.

For more information, contact:

        Liz Kutarna
        Financial and Consumer Affairs Authority of Saskatchewan
        Director, Capital Markets
        Securities Division
        601-1919 Saskatchewan Drive
        Regina SK S4P 4H2
        Bus: 306-787-5871
        Fax: 306-787-5899
        Email: liz.kutarna@gov.sk.ca

 

---

 

CSA and CCIR Joint 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, and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance, Total Cost Reporting for Investment Funds and Segregated Funds

April 28, 2022 – Today the Canadian Securities Administrators are publishing CSA and CCIR Joint 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, and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance, Total Cost Reporting for Investment Funds and Segregated Funds

• CSA and CCIR Joint 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 and Proposed CCIR Individual Variable Insurance Contract Ongoing Disclosure Guidance - Total Cost Reporting for Investment Funds and Segregated Funds
  • Annex A – Specific questions regarding the Proposed Securities Amendments
  • Annex B – Specific questions regarding the Proposed Insurance Guidance
  • Annex C – Proposed Amendments to NI 31-103
  • Annex D – Proposed changes to 31-103CP
  • Annex E – Blackline showing changes to NI 31-103 under the Proposed Amendments
  • Annex F – Blackline showing changes to 31-103CP under the Proposed Amendments
  • Annex G – Sample prototype statement and report for the securities sector
  • Annex H – Sample prototype report for the insurance sector
  • Annex I – Local matters
  • Annex J – Proposed Insurance Guidance
  • Annex K – Segregated funds and investment funds: differences between products, distribution channels and regulation

Comment Period Ends: July 27, 2022

For more information, contact:

Curtis Brezinski
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

 

---

 

CSA Notice and Request for Comment Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers

April 7, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers

• CSA Notice and Request for Comment Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers

  • Annex A – Proposed Amendments to National Instrument 41-101 General Prospectus Requirements,

  • Annex B – Proposed Changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements,

  • Annex C – Proposed Amendments to National Instrument 44-101 Short Form Prospectus Distributions,

  • Annex D – Proposed Amendments to National Instrument 44-102 Shelf Distributions,

  • Annex E – Proposed Changes to Companion Policy 44-102CP to National Instrument 44-102 Shelf Distributions,

  • Annex F – Proposed Amendments to National Instrument 44-103 Post-Receipt Pricing,

  • Annex G – Proposed Changes to Companion Policy 44-103CP to National Instrument 44-103 Post-Receipt Pricing,

  • Annex H – Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations,

  • Annex I – Proposed Changes to Companion Policy 51-102CP to National Instrument 51-102 Continuous Disclosure Obligations.

  • Annex J – Proposed Amendments to National Instrument 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers,

  • Annex K – Proposed Changes to National Policy 11-201 Electronic Delivery of Documents,

  • Annex L – Proposed Changes to National Policy 47-201 Trading Securities Using the Internet and Other Electronic Means,

  • Annex M – Proposed Changes to Companion Policy 54-101CP to National Instrument 54-101 Communications with Beneficial Owners of Securities of a Reporting Issuer

  • Annex N – Local Matters

Comment Period Ends: July 6, 2022.

For more information, contact:

Heather Kuchuran, Director
Corporate Finance, Securities Division
Financial and Consumer Affairs Authority of Saskatchewan
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 Third Request for Comment Proposed National Instrument 93-101 Derivatives: Business Conduct - Proposed Companion Policy 93-101CP Derivatives: Business Conduct

January 27, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Request for Comment Proposed Amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 81-101 Mutual Fund Prospectus Disclosure and Related Proposed Consequential Amendments and Changes and Consultation Paper on a Base Shelf Prospectus Filing Model for Investment Funds in Continuous Distribution Modernization of the Prospectus Filing Model for Investment Funds

• CSA Notice and Request for Comment Proposed Amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 81-101 Mutual Fund Prospectus Disclosure and Related Proposed Consequential Amendments and Changes and Consultation Paper on a Base Shelf Prospectus Filing Model for Investment Funds in Continuous Distribution Modernization of the Prospectus Filing Model for Investment Funds 
  • Annex A    Proposed Amendments to National Instrument 41-101 General Prospectus Requirements
  • Annex B    Proposed Changes to Companion Policy 41-101 General Prospectus Requirements
  • Annex C    Proposed Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure 
  • Annex D    Proposed Changes to Companion Policy 81-101 Mutual Funds Prospectus Disclosure
  • Annex E    Proposed Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
  • Annex F    Specific Consultation Questions Relating to the Lapse Date Extension
  • Annex G    Consultation Paper on a Base Shelf Prospectus Filing Model for Investment Funds in Continuous Distribution
  • Annex H    Local Matters

Comment Period Ends: April 27, 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 Third Request for Comment Proposed National Instrument 93-101 Derivatives: Business Conduct - Proposed Companion Policy 93-101CP Derivatives: Business Conduct

January 20, 2022 – Today the Canadian Securities Administrators are publishing CSA Notice and Third Request for Comment Proposed National Instrument 93-101 Derivatives: Business Conduct - Proposed Companion Policy 93-101CP Derivatives: Business Conduct.

• CSA Notice and Third Request for Comment Proposed National Instrument 93-101 Derivatives: Business Conduct - Proposed Companion Policy 93-101CP Derivatives: Business Conduct 
  • Annex A    List of Commenters
  • Annex B    Summary of Comments and Responses
  • Annex C    Proposed National Instrument 93-101 Derivatives: Business Conduct
  • Annex D    Proposed Companion Policy 93-101 Derivatives: Business Conduct
  • Annex E    Local Matters

Comment Period Ends: March 21, 2022.

For more information, contact:

Derek Maher, J.D., CPA, CA
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: derek.maher2@gov.sk.ca