CSA Staff Notice 11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick
CSA Staff Notice 11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick
CSA Staff Notice 11-337
Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick
December 7, 2017
From time to time, a local jurisdiction may amend a national or multilateral instrument or change a policy or companion policy that affects activity only in that jurisdiction. The CSA recognize that such a local amendment or change may nonetheless be of interest or importance beyond the local jurisdiction and CSA staff are issuing this Notice to identify amendments and changes implemented in Alberta, Manitoba and New Brunswick. For public convenience, CSA members in other jurisdictions will update the text of the applicable material on their websites to reflect these local amendments and changes.
The local amendments and changes referred to in this notice comprise those shown in Annexes A to D of this notice. These local amendments are to the following instruments:
• Multilateral Instrument 11-102 Passport System (Alberta, Manitoba and New Brunswick);
• National Policy 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions (Manitoba and New Brunswick);
• National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) (Alberta, Manitoba and New Brunswick); and
• National Instrument 14-101 Definitions (New Brunswick).
The text of rule and policy consolidations on the websites of CSA members will be updated, as necessary, to reflect these local amendments and changes. You may direct questions regarding this Notice to:
ANNEX A
Local Amendments to Multilateral Instrument 11-102 Passport System in Alberta, Manitoba and New Brunswick
1. Multilateral Instrument 11-102 Passport System is amended by this Instrument.
2. Appendix D is amended by replacing the following row:
Provision
British Columbia
Alberta
Saskatchewan
Manitoba
Quebec
Nova Scotia
New Brunswick
Prince Edward Island
Newfoundland and Labrador
Yukon
Northwest Territories
Nunavut
Ontario
Protection of minority security holders in special transactions
n/a
MI 61-101
n/a
MI 61-101
with the following:
Provision
British Columbia
Alberta
Saskatchewan
Manitoba
Quebec
Nova Scotia
New Brunswick
Prince Edward Island
Newfoundland and Labrador
Yukon
Northwest Territories
Nunavut
Ontario
Protection of minority security holders in special transactions
n/a
MI 61-101
n/a
MI 61-101
n/a
MI 61-101
n/a
MI 61-101
These amendments became effective in Alberta, Manitoba and New Brunswick on July 31, 2017.
ANNEX B
Local Changes to National Policy 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions in Manitoba and New Brunswick
Annex C to National Policy 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions is changed by adding the following under the headings "Jurisdiction" and "Legislative reference":
Manitoba
Subsections 148.4(3) to (8)
New Brunswick
Section 184.1
The Manitoba change became effective on June 2, 2017 and the New Brunswick change became effective on June 28, 2016.
ANNEX C
Local Amendments to National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) in Alberta, Manitoba and New Brunswick
1. National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) is amended by this Instrument.
2. Appendix A -- Mandated Electronic Filings, section II Other Issuers (Reporting/Non-reporting), under C. Securities Acquisitions is amended by replacing item 3. with the following:
3. Issuer Bid Reports
Alta, Man, Ont, Que & NB.
3. Appendix A -- Mandated Electronic Filings, section II Other Issuers (Reporting/Non-reporting), under D. Going Private and Related Party Transactions is amended by replacing items 1. and 2. with the following:
1. Going Private Transaction Filings
Alta, Man, Ont, Que & NB
2. Related Party Transaction Filings
Alta, Man, Ont, Que & NB.
4. Appendix A -- Mandated Electronic Filings, section III Third Party Filers is amended by replacing item 5. with the following:
5. Take-over Bid Reports
Alta, Man, Ont, Que & NB.
These amendments became effective in Alberta, Manitoba and New Brunswick on July 31, 2017.
ANNEX D
Local Amendment to National Instrument 14-101 Definitions in New Brunswick
Appendix C of National Instrument 14-101 Definitions is amended by replacing "New Brunswick Securities Commission" with "Financial and Consumer Services Commission".
This amendment became effective on February 1, 2017.