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

Number

45-106

Category

4 - Distribution Requirements

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

CSA Notice of Publication Amendments and Changes to Certain National Instruments and Policies related to the Senior Tier of the CSE, the Cboe Canada Inc. and AQSE Growth Market name changes, and Majority Voting Form of Proxy 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 of Amendments to NI 14-101 Definitions and Consequential Amendments

CSA Notice of Amendments to NI 45-106 Prospectus Exemptions and Changes to Companion Policy 45-160 CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption

CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption

Amendment to NI 45-106 Prospectus Exemptions

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

Proposed Amendments to National Instrument 45-106 Prospectus Exemptions

Proposed changes to Companion Policy 45-106CP Prospectus Exemptions

Rule 45-106 Amendment Prospectus Exemptions (Notice 11-715)

Rule 45-106 (Amendment) Prospectus Exemptions, and Amendements to NI 45-106 Prospectus Exemptions, and Changes to Companion Policy 45-106CP Prospectus Exemptions

CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Comment period ends Dec. 16, 2020

Notice of Amendments to NI 45-106 and NI 31-103 and Changes to 45-106CP and 31-103CP relating to Syndicated Mortgages

NI 45-106 Consolidated Version (Oct. 5/18)

Companion Policy to NI 45-106 Consolidated Version (Oct. 5/18)

Reports of Exempt Distribution (please open this PDF for the link to CSA website for the fillable 45-106F1)

Form 45-106F9 (Word)

Form 45-106F14 (Word)

Form 45-106F15 (Word)

Form 45-106F2 Offering Memorandum For Non-Qualifying Issuers

Form 45-106F3 Offering Memorandum for Qualifying Issuers

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.