Prospectus Disclosure Requirements [Rule 41-101]

Rule Category

4 - Distribution Requirements

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

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

History

May 20, 2021

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

May 20, 2021

Proposed Amendments to National Instrument 41-101 General Prospectus Requirements

September 12, 2019

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

January 3, 2019

NI 41-101 Consolidated Version

January 3, 2019

Form 41-101F2 Consolidated Version

January 3, 2019

Form 41-101F4 Consolidated Version

March 8, 2017

Form 41-101F2 Consolidated Version

March 8, 2017

Form 41-101F4 Consolidated Version

March 8, 2017

NI 41-101 Consolidated Version

March 8, 2017

Companion Policy to NI 41-101 Consolidated Version

December 15, 2016

Rule 41-101 (Amendment)

December 8, 2016

Mandating a Summary Disclosure Document for Exchange-Traded Mutual Funds and its Delivery – CSA Notice of Amendments to NI 41-10

September 22, 2016

Proposed Amendments to NI 41-101 (arising from NI 81-102)

November 17, 2015

Form 41-101 F1 Consolidated Version

September 3, 2015

Notice of Amendments Related to the Recognition of Aequitas NEO Exchange Inc.

September 3, 2015

Rule 41-101 (Amendment)

September 3, 2015

Rule 41-101 (Amendment) and Consequential Amendments

June 30, 2015

41-101CP - Consolidated Version as of June 30, 2015

June 18, 2015

Request for Comments on a Summary Disclosure Document & Delivery for Exchange-Traded Mutual Funds. Comment period ends 16/09/15.

April 16, 2015

Consequential Amendments to Rule 41-101 as a result of Rule 51-102(Amendment)

February 19, 2015

Consequential Amendments to Rule 41-101 resulting from Rule 45-106 (Amendment)

December 11, 2014

Request for Comment - Proposed Amendments Related to the Recognition of Aequitas Neo Exchange Inc.Comment period ends Mar. 11/15

September 30, 2014

Form 41-101F1 Consolidated as of Sept. 30/14

September 22, 2014

Form 41-101F2 Consolidated as of Sept. 22/14

September 22, 2014

Form 41-101F3 Consolidated Version

Pages

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.