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System for Electronic Disclosure by Insiders (SEDI) [Rule 55-102]

Rule Category

5 - Ongoing Requirements for Issuers and Insiders
PDF icon NI 55-102 Consolidation as of Jan. 13, 2014
PDF icon Companion Policy 55-102CP Consolidation as of Aug. 20, 2005

History

January 13, 2014
PDF icon NI 55-102 Consolidation as of Jan. 13, 2014
September 4, 2013
PDF icon Consequential Amendments to NI 55-102
May 1, 2011
PDF icon Form 55-102F3 Issuer Profile Supplement - Consolidated Version as of May 1, 2011
January 5, 2011
PDF icon Form 55-102F1 Insider Profile - Consolidated Version as of May 1, 2011
January 5, 2011
PDF icon Form 55-102F2 Insider Report - Consolidated Version as of May 1, 2011
January 5, 2011
PDF icon Form 55-102F6 Insider Report - Consolidated Version as of May 1, 2011
June 13, 2008
PDF icon NI 55-102 - Consolidated Version as of June 13, 2008
March 28, 2008
PDF icon Rule 55-102 (Amendment)
March 28, 2008
PDF icon Notice of Amendments - NI 55-102
August 20, 2005
PDF icon Companion Policy 55-102CP Consolidation as of Aug. 20, 2005
July 16, 2003
PDF icon Rule 55-102
July 3, 2003
PDF icon Consolidated Version of NI55-102, Related Forms and Policy as of July 3, 2003
July 3, 2003
PDF icon Consolidated Version of Form55-102F6 Insider Report as of July 3, 2003
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Events & Hearings

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May 15, 2025
Working with an investment adviser
Halifax Central Library, 5440 Spring Garden Road
June 9, 2025 to June 11, 2025
Adrian Saturley and Adonis Asset Management
Nova Scotia Securities Commission Hearing Room - 5251 Duke St., Ste. 400

Media Releases

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May 1, 2025
PDF icon CSA publishes FAQ and a suggested form of notice of significant error or omission for derivatives reporting
April 23, 2025
PDF icon CSA updates market on approach to climate-related and diversity-related disclosure projects
April 17, 2025
PDF icon Canadian securities regulators publish amendments pertaining to investment funds investing in crypto assets
April 17, 2025
PDF icon Canadian securities regulators announce actions to support competitiveness of Canadian markets

Rules

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April 17, 2025
Amendments to Rule NI 81-102 Investment Funds (the Rule Amendments) and Changes to CP 81-102 Investment Funds (the Policy Changes)

Blanket Orders

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April 17, 2025
Exemptions from Certain Prospectus and Disclosure Requirements [BO 41-930]
April 17, 2025
Prospectus Exemption for New Reporting Issuers [BO 45-930]

CSA Notices

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May 1, 2025
CSA Staff Notice 96-307 Frequently Asked Questions about Derivatives Trade Reporting
May 1, 2025
CSA Staff Notice 96-308 Derivatives Trade Reporting Notice of Significant Error of Omission
April 17, 2025
CSA Notice Regarding Coordinated Blanket Orders: Coordinated Blanket Order 41-930, Coordinated Blanket Order 45-390, Coordinated Blanket Order 45-933
April 17, 2025
CSA Notice Amendments to NI 81-102 Investment Funds Pertaining to Crypto Assets

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  • 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.