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
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 June 30, 2015 has been posted to the OSC Website at www.osc.gov.on.ca.
Table of Concordance
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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
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Reformulation
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Instrument |
Title |
Status |
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None |
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New Instruments
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Instrument |
Title |
Status |
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11-771 |
Statement of Priorities -- Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2016 |
Published for comment on April 2, 2015 |
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24-312 |
Preparing for the Implementation of T+2 Settlement |
Published April 2, 2015 |
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62-104 |
Take-Over Bids and Issuer Bids -- Amendments |
Published for comment on April 2, 2015 |
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62-203 |
Take-Over Bids and Issuer Bids -- Amendments |
Published for comment on April 2, 2015 |
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13-102 |
System Fees for SEDAR and NRD -- Amendments |
Published for comment on April 2, 2015 |
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43-101 |
Standards of Disclosure for Mineral Projects -- Amendments |
Published for comment on April 2, 2015 |
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55-104 |
Insider Reporting Requirements and Exemptions -- Amendments (amendments to companion policy) |
Published for comment on April 2, 2015 |
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61-101 |
Protection of Minority Security Holders in Special Transactions -- Amendments |
Published for comment on April 2, 2015 |
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62-103 |
The Early Warning System and Related Take-Over Bid and Insider Reporting Issues |
Published for comment on April 2, 2015 |
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43-309 |
Review of Website Investor Presentations by Mining Issuers |
Published April 9, 2015 |
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11-739 |
Policy Reformulation Table of Concordance and List of New Instruments -- Revised |
Published April 9, 2015 |
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13-502 |
Fees -- Revocation and Replacement |
Notice of Minister's approval published April 9, 2015 |
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13-503 |
(Commodity Futures Act) Fees -- Revocation and Replacement |
Notice of Minister's approval published April 9, 2015 |
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51-102 |
Continuous Disclosure Obligations -- Amendments |
Commission approval published April 9, 2015 |
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41-101 |
General Prospectus Requirements -- Amendments |
Commission approval published April 9, 2015 |
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52-110 |
Audit Committees -- Amendments |
Commission approval published April 9, 2015 |
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13-502 |
Fees -- Revocation and Replacement |
Final instrument published April 16, 2015 |
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13-503 |
(Commodity Futures Act) Fees -- Revocation and Replacement |
Final instrument published April 16, 2015 |
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11-206 |
Process for Cease to be a Reporting Issuer Applications |
Published for comment April 16, 2015 |
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11-207 |
Failure-to-File Cease Trade Orders and Revocations under Passport |
Published for comment April 16, 2015 |
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12-202 |
Revocations of Non-Passport Cease Trade Orders |
Published for comment April 16, 2015 |
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12-203 |
Management Cease Trade Orders |
Published for comment April 16, 2015 |
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21-708 |
OSC Staff Report on the Canadian Fixed Income Market and Next Steps to Enhance Regulation and Transparency of Fixed Income Markets |
Published April 23, 2015 |
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32-505 |
Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario |
Commission approval published April 23, 2015 |
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25-201 |
Guidance for Proxy Advisory Firms |
Commission approval published April 30, 2015 |
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45-106 |
Prospectus Exemptions -- Amendments (Related to Short-Term Debt Prospectus Exemption and Short-Term Securitized Products) |
Notice of Ministerial approval published April 30, 2015 |
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45-106 |
Prospectus Exemptions -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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25-101 |
Designated Rating Organizations -- Amendments (Related to Short-Term Debt Prospectus Exemption and Short-Term Securitized Products) |
Notice of Ministerial approval published April 30, 2015 |
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51-102 |
Continuous Disclosure Obligations -- Amendments (related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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11-102 |
Passport System -- Amendments Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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13-102 |
System Fees for SEDAR and NRD -- Amendments Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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31-103 |
Registration Requirements -- Amendments Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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32-102 |
Registration Exemptions for Non-Resident Investment Fund Managers -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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33-105 |
Underwriting Conflicts -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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41-101 |
General Prospectus Requirements -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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45-102 |
Resale of Securities -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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51-102 |
Continuous Disclosure Obligations -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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52-107 |
Acceptable Accounting Principles and Auditing Standards -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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62-103 |
The Early Warning System and Related Take-Over Bid and Insider Reporting Issues -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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62-104 |
Take-Over Bids and Issuer Bids --Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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45-501 |
Ontario Prospectus and Registration Exemptions --Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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45-102 |
Resale of Securities --Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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91-502 |
Trades in Recognized Options -- Amendment (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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11-501 |
Electronic Delivery of Documents to the Ontario Securities Commission -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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13-502 |
Fees -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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91-501 |
Strip Bonds -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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48-501 |
Trading During Distributions Formal Bids and Share Exchange -- Amendments (Related to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) |
Notice of Ministerial approval published April 30, 2015 |
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45-106 |
Prospectus Exemptions -- Amendments (related to the Family, Friends and Business Associates Exemption) |
Notice of Ministerial approval published April 30, 2015 |
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45-102 |
Resale of Securities -- Amendments (related to the Family, Friends and Business Associates Exemption) |
Notice of Ministerial approval published April 30, 2015 |
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45-501 |
Ontario Prospectus and Registration Exemptions (related to the Family, Friends and Business Associates Exemption) |
Notice of Ministerial approval published April 30, 2015 |
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45-501 |
Ontario Prospectus and Registration Exemptions -- Amendments (Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions ) (amendments to companion policy) |
Notice of Ministerial approval published April 30, 2015 |
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11-203 |
Process for Exemptive Relief in Jurisdictions -- Amendments (Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions ) |
Notice of Commission approval published April 30, 2015 |
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23-103 |
Electronic Trading and Direct Electronic Access to Marketplaces (amendments to companion policy) |
Notice of Ministerial approval published April 30, 2015 |
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45-102 |
Resale of Securities -- Amendments (Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions) (amendments to companion policy) |
Notice of Ministerial approval published April 30, 2015 |
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91-507 |
Trade Repositories and Derivatives Data Reporting -- Amendments |
Notice of Ministerial approval published May 14, 2015 |
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24-313 |
CSA Staff's Review of Proposed Amendments to Fee Schedule of The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. |
Published May 14, 2015 |
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31-341 |
Omnibus /Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Exemptions and Ongoing Registrant Obligations |
Published May 21, 2015 |
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45-304 |
Notice of Local Exemptions Related to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (Revised) |
Published May 21, 2015 |
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45-709 |
Tips for Filing Reports of Exempt Distribution (Revised) |
Published May 21, 2015 |
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32-505 |
Conditional Exemption from Registration for United States Broker-Dealers and Advisers Serving U.S. Clients from Ontario |
Notice of Ministerial Approval published on May 28, 2015 |
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51-102 |
Continuous Disclosure Obligations -- Amendments |
Notice of Ministerial approval published April 9, 2015 |
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41-101 |
General Prospectus Requirements -- Amendments |
Notice of Ministerial approval published April 9, 2015 |
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52-110 |
Audit Committees -- Amendments |
Notice of Ministerial approval published April 9, 2015 |
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91-703 |
Staff Recommendation on the Reporting of Inter-Affiliate Transactions by End-Users under OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting |
Published June 4, 2015 |
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11-772 |
Notice of Statement of Priorities for Financial Year to End March 31, 2016 |
Published June 18, 2015 |
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41-101 |
General Prospectus Requirements -- Amendments (Mandating a Summary Disclosure Document for Exchange -- Traded Mutual Funds and Its Delivery ) |
Published for comment June 18, 2015 |
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81-106 |
Investment Fund Continuous Disclosure -- Amendments |
Published for comment June 18, 2015 |
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23-101 |
Trading Rules: Application of the Order Protection Rule to Marketplaces Imposing Systematic Order Processing Delays -- Amendments (amendments to companion policy) |
Published for comment June 18, 2015 |
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21-101 |
Marketplace Operation -- Amendment |
Commission approval published June 25, 2015 |
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23-101 |
Trading Rules -- Amendment |
Commission approval published June 25, 2015 |
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45-308 |
Guidance for Preparing and Filing Reports of Exempt Distribution under NI 45-106 Prospectus Exemptions |
Published June 25, 2015 |
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81-727 |
Report on Staff's Continuous Disclosure Review of Mutual Fund Practices Relating to Portfolio Liquidity |
Published June 25, 2015 |
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33-105 |
Underwriting Conflicts -- Amendments |
Notice of Commission approval published June 25, 2015 |
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45-501 |
Ontario Prospectus and Registrations Exemptions |
Notice of Commission approval published June 25, 2015 |
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45-106 |
Prospectus Exemptions -- Amendments |
Notice of Commission approval published June 25, 2015 |
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55-104 |
Insider Reporting Requirements and Exemptions -- Unofficial Consolidation |
Published June 25, 2015 |
For further information, contact:
Darlene WatsonProject SpecialistOntario Securities Commission416-593-8148
July 23, 2015