Securities Instruments

Securities Instruments

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NWT Recognition Order - Canadian Public Accountability Board

PDF • 661.4KB

CSA Staff Notice 51-351 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017

PDF • 57.76KB

Multilateral CSA Staff Notice MI 61-302 - Staff Review and Commentary on MI 61-101 - Protection of Minority Security Holders in Special Transactions

PDF • 92.77KB

Multilateral CSA Staff Notice MI 61-302 - Staff Review and Commentary on MI 61-101 - Protection of Minority Security Holders in Special Transactions

PDF • 92.77KB

Multilateral CSA Notice of Adoption of MI 61-101 - Protection of Minority Security Holders in Special Transactions

PDF • 1.71MB

94-501 - NWT Blanket Order - Exemption from the Mandatory Clearing Requirements in NI 94-101 - Mandatory Central Counterparty Clearing of Derivatives for Certain Counterparties (Expired 2018-08-20)

PDF • 622.48KB

CSA Staff Notice 31-349 - Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions

PDF • 117.86KB

CSA Staff Notice 33-320 - The Requirement for True and Complete Applications for Registration

PDF • 76.97KB

CSA Staff Notice 94-301 - Blanket Orders Exempting Certain Counterparties from the Requirement to Submit a Mandatory Clearable Derivative for Clearing

PDF • 45.57KB

CSA Notice and Request for Comment - Various Proposed Amendments to: NI 25-101, NI 31-103, NI 33-109, NI 41-101, NI 44-101, NI 44-102, NI 45-106, NI 51-102, NI 81-102, NI 81-106, 21-101CP, and 81-102CP

PDF • 166.27KB

81-501 - NWT Blanket Order - Exemption from Prescribed Form of Mutual Fund Audit Reports in National Instrument 81-102 - Investment Funds

PDF • 617.94KB

CSA Staff Notice 93-301 - Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period

PDF • 56.65KB

CSA Multilateral Staff Notice 81-328 - Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of NI 81-102 - Investment Funds

PDF • 42.31KB

CSA Multilateral Staff Notice 81-328 - Report by the Auditor in the Form Contained Respectively in Appendix B-1, B-2 or B-3 of NI 81-102 - Investment Funds

PDF • 42.3KB

CSA Multilateral Notice and Request for Comment - Proposed Amendments to NI 45-106 - Prospectus Exemptions relating to Reports of Exempt Distribution

PDF • 378.52KB

CSA Staff Notice 31-350 - Guidance on Small Firms Compliance and Regulatory Obligations

PDF • 78.36KB

CSA Notice - Amendments to NI 24-101 and 24-101CP - Institutional Trade Matching and Settlement

PDF • 176.58KB

CSA Consultation Paper 52-403 - Auditor Oversight Issues in Foreign Jurisdictions

PDF • 76.24KB

CSA Staff Notice 45-323 - Update on Use of the Rights Offering Exemption in National Instrument 45-106 - Prospectus Exemptions

PDF • 135.73KB

CSA Staff Notice 11-335 - Local Amendments and Changes in Certain Jurisdictions

PDF • 99.38KB