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, 2014 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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11-769 |
Statement of Priorities -- Request for Comments Regarding the Statement of Priorities for Financial Year to End March 31, 2015 |
Published for comment April 3, 2014 |
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91-507 |
Trade Repositories and Derivatives Data Reporting -- Amendments |
Commission approval published April 17, 2014 |
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21-101 |
Marketplace Operation -- Amendments |
Published for comment April 24, 2014 |
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23-101 |
Trading Rules -- Amendments |
Published for comment April 24, 2014 |
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25-201 |
Guidance for Proxy Advisory Firms |
Published for comment April 24, 2014 |
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31-338 |
Guidance on Dispute Resolution Services -- Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization |
Published May 1, 2014 |
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11-739 |
Policy Reformulation Table of Concordance and List of New Instruments -- Revised |
Published May 1, 2014 |
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81-724 |
Report on Staff's Continuous Disclosure Review of the Fees and Expenses Disclosure by Investment Funds |
Published May 8, 2014 |
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23-101 |
Trading Rules -- Amendments |
Published for comment May 15, 2014 |
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51-102 |
Continuous Disclosure Obligations -- Amendments |
Published for comment May 22, 2014 |
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41-101 |
General Prospectus Requirements -- Amendments |
Published for comment May 22, 2014 |
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52-110 |
Audit Committees -- Amendments |
Published for comment May 22, 2014 |
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31-339 |
Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations |
Published May 29, 2014 |
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11-327 |
Extension of Consultation Period -- Proposed National Policy 25-201 Guidance for Proxy Advisory Firms |
Published June 12, 2014 |
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33-743 |
Guidance on sales practices, expense allocation and other relevant areas developed from the results of the targeted review of large investment fund managers |
Published June 19, 2014 |
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81-102 |
Mutual Funds -- Amendments |
Commission approval published June 19, 2014 |
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81-106 |
Investment Fund Continuous Disclosure -- Amendments (tied to 81-102) |
Commission approval published June 19, 2014 |
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81-101 |
Mutual Fund Prospectus Disclosure -- Amendments (tied to 81-102) |
Commission approval published June 19, 2014 |
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41-101 |
General Prospectus Requirements -- Amendments (tied to 81-102) |
Commission approval published June 19, 2014 |
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81-107 |
Independent Review Committee for Investment Funds -- Amendments (tied to 81-102) |
Commission approval published June 19, 2014 |
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81-104 |
Commodity Pools -- Amendment (tied to 81-102) |
Commission approval published June 19, 2014 |
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31-103 |
Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Amendments (tied to 81-102) |
Commission approval published June 19, 2014 |
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11-203 |
Process for Exemptive Relief Applications in Multiple Jurisdictions -- Amendments (tied to 81-102) |
Commission approval published June 19, 2014 |
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91-507 |
Trade Repositories and Derivatives Data Reporting -- Amendments |
Commission approval published June 26, 2014 |
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11-770 |
Statement of Priorities for Financial Year to End March 31, 2015 |
Published June 26, 2014 |
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21-313 |
Information Processor for Exchange-Traded Securities other than Options |
Published June 27, 2014 |
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21-314 |
Information Processor for Corporate Debt Securities |
Published June 27, 2014 |
For further information, contact:
July 10, 2014