CSA Notice & Request for Comment Proposed Amendments & Changes to Certain NI and Policies related to Senior Tier of the CSE, CBOE Canada Inc and AQSE Growth Market name changes and Majority Voting Form of Proxy Requirements Comment period ends Oct 30 2024

Number

41-101

Category

4 - Distribution Requirements

CSA Notice & Request for Comment Proposed Amendments & Changes to Certain NI and Policies related to Senior Tier of the CSE, CBOE Canada Inc and AQSE Growth Market name changes and Majority Voting Form of Proxy Requirements Comment period ends Oct 30 2024

CSA Notice & Request for Comment Proposed Amendments & Changes to Certain NI and Policies related to Senior Tier of the CSE, CBOE Canada Inc and AQSE Growth Market name changes and Majority Voting Form of Proxy Requirements Comment period ends Oct 30 2024

CSA Notice of Publication of Amendments and Changes to Implement as Access Model for Prospectuses of Non-Investment Fund Reporting Issuers

Amendments to Rules 41‐101 Prospectus Disclosure Requirements, 44‐101 Short Form Prospectus Distributions, 44‐102 Shelf Distributions and 44‐103 Post‐Receipt Pricing (the Rule Amendments)

CSA Notice and Request for Comment - Proposed Amendments and Proposed Changes to Implement and Access-Based Model for Investment Fund Reporting Issuers. Comment Period ends Dec. 26, 2022

Changes to Companion Policy 41-101CP General Prospectus Requirements

CSA Notice of Changes to Companion Policy 41-101CP to NI 41-101 General Prospectus Requirements Related to Financial Statement Requirements

CSA Notice and Request for Comment Proposed Amendments and Proposed Changes to Implement an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers. Comment period ends July 6, 2022

CSA Notice - Request for Comment Proposed Amendments Prospectus Requirements: NI 41-101 General Prospectus Requirements, NI 81-101 Mutual Fund Prospectus Disclosure and Consequential Amendments & Consultation Paper Base Shelf Prospectus Model - Inv. Funds

Amendments to NI 41-101 General Prospectus Requirements

Amendments to NI 41-101 General Prospectus Requirements

Changes to Companion Policy 41-101 General Prospectus Requirements

CSA Notice and Request for Comment Proposed Changes to Companion Policy 41-101 CP to NI 41-101 General Prospectus Requirements Related to Financial Statement Requirements Comment period ends Oct. 11, 2021

Proposed changes to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements

Proposed Amendments to National Instrument 41-101 General Prospectus Requirements

Consequential Amendments to 41-101CP resulting from Rule 51-102(Amendment)

CSA Notice and Request for Comment Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1. Comment period ends Dec. 11/19.

NI 41-101 Consolidated Version

Form 41-101F2 Consolidated Version

Form 41-101F4 Consolidated Version

Companion Policy to NI 41-101 Consolidated Version

Form 41-101 F1 Consolidated Version

Form 41-101F3 Consolidated Version

Failure to file annual financial statements.
Failure to file interim financial statements.
Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
Failure to file an Annual Information Form (AIF).
Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
Failure to file required proxy materials or a required information circular.
Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
Failure to file a material change report.
Failure to provide a written update after filing a confidential report of a material change.
Failure to file a business acquisition report.
Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
Failure to file a mandatory news release.
Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
Failure to pay a fee required by the Act or the regulations.
Failure to comply with any other requirement related to continuous disclosure.