Notice of Approval - Housekeeping Rule - Amendments to Policy 8 - Canadian Securities Exchange

Canadian Securities Exchange (CSE) rule review and notices
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CSE Notice 2017-004

A.            DESCRIPTION OF THE PROPOSED AMENDMENTS

As the result of changes to the internal workflow at IIROC, IIROC has asked that the contact information included in Policy 8 be amended. The amendments are included in Appendix 1.

B.            EFFECTIVE DATE

The amendments will be effective immediately.

C.            CLASSIFICATION

The amendments have been classified as housekeeping. The proposed amendments were not published for comment.

D.            QUESTIONS

Questions regarding this notice may be directed to:

Mark Faulkner
Vice President, Listings and Regulation
CNSX Markets Inc.
220 Bay Street, 9th Floor
Toronto, ON, M5J 2W4
Email: [email protected]

 

Appendix 1

PROPOSED CSE POLICY AMENDMENTS

Text of CSE Policies marked to reflect proposed amendments

Text of CSE Policies reflecting the adoption of proposed amendments

Policy 8

FUNDAMENTAL CHANGES & CHANGES OF BUSINESS

…

1.5(b)
Issuers must notify and consult with the Market Regulator prior to disseminating material information concerning a fundamental change or a change of business during market hours. If the dissemination will occur outside of market hours, the Issuer must notify the Market Regulator in order to effect a trading halt prior to the next trading session.

Contact information for Market Regulator:
Telephone: (416) 646-7220 (604) 643-2792
Email: [email protected] [email protected]

Policy 8

FUNDAMENTAL CHANGES & CHANGES OF BUSINESS

…

1.5(b)
Issuers must notify and consult with the Market Regulator prior to disseminating material information concerning a fundamental change or a change of business during market hours. If the dissemination will occur outside of market hours, the Issuer must notify the Market Regulator in order to effect a trading halt prior to the next trading session.

Contact information for Market Regulator:
Telephone:  (604) 643-2792
Email:  [email protected]