OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments
OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments
The following revisions have been made to the Table of Concordance and List of New Instruments. A full version of the Table of Concordance and List of New Instruments as of December 31, 2023, has been posted to the OSC Website at www.osc.ca.
Table of Concordance
Item Key
The third digit of each instrument represents the following: 1-National/Multilateral Instrument; 2-National/Multilateral Policy; 3-CSA Notice; 4-CSA Concept Release; 5-Local Rule; 6-Local Policy; 7-Local Notice; 8-Implementing Instrument; 9-Miscellaneous
Reformulation
| Instrument | Title | Status |
| 58-316 | Review of Disclosure Regarding Women on Boards and in Executive Officer Positions | Published October 5, 2023 |
| 33-509 | Notice of Commission Approval of OSC Rule 33-509 Exemption from Underwriting Conflict Disclosure Requirements | Notice of Commission approval published October 5, 2023 |
| 21-333 | Crypto Asset Trading Platforms: Terms and Conditions for Trading Value-Referenced Crypto Assets with Clients | Staff notice published October 12, 2023 |
| 31-364 | OBSI Joint Regulators Committee Annual Report for 2022 | Staff notice published October 12, 2023 |
| 11-739 | Policy Reformulation Table of Concordance and List of New Instruments (Revised) | Staff notice published October 12, 2023 |
| 23-331 | Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets | Staff notice published October 19, 2023 |
| 81-102 | Proposed Amendments to NI 81-102 – Investment Funds | Amendments published for comment on October 19, 2023 |
| 11-737 | Securities Advisory Committee – Vacancies (Revised) | Staff notice published October 26, 2023 |
| 13-502 | Proposed Amendments to OSC Rule 13-502 and OSC Rule 13-503 (Commodity Futures Act) Fees | Amendments published for comment on November 9, 2023 |
| 23-332 | Summary of Comment and Responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada | Staff notice published November 16, 2023 |
| 11-798 | Statement of Priorities – Request for Comments Regarding Statement of Priorities for Fiscal Year 2024-2025 | Published for comment November 16, 2023 |
| 31-103 | Request for Comment - Registered Firm Requirements Pertaining to an Independent Dispute Resolution Service – Proposed Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Proposed Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations | Published for comment November 30, 2023 |
| 13-315 | Securities Regulatory Authority Closed Dates 2024 | Staff notice published December 7, 2023 |
| 81-509 | Notice of Coming into Force of OSC Rule 81-509 Extension to Ontario Instrument 81-508 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers | Notice of coming into force published December 7, 2023 |
| 51-735 | Corporate Finance Branch 2023 Annual Report | Staff notice published December 7, 2023 |
| 24-101 | Commission approval of amendments to NI 24-101 Institutional Trade Matching and Settlement and Changes to Companion Policy 24-101 Institutional Trade Matching and Settlement | Notice of Commission approval published December 14, 2023 |
| 81-104 | Notice of Ministerial Approval of the Repeal of NI 81-104 Alternative Mutual Funds | Notice of Ministerial approval of repeal published December 14, 2023 |
| 93-101 | Notice of Ministerial Approval of MI 93-101 Derivatives: Business Conduct and Companion Policy 93-101 Derivatives: Business Conduct | Notice of Ministerial approval published December 21, 2023 |
For further information, contact:
Darlene Watson
Business and Corporate Project Manager
Ontario Securities Commission
([email protected])
January 11, 2024