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 September 30, 2020 has been posted to the OSC Website at www.osc.gov.on.ca.
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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
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Reformulation
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Instrument |
Title |
Status |
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31-358 |
Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments |
Published for comment on July 2, 2020 |
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25-402 |
Consultation on the Self-Regulatory Organization Framework |
Published for comment on July 2, 2020 |
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11-739 |
Policy Reformulation Table of Concordance and List of New Instruments |
Published July 16, 2020 |
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45-106 |
Amendments to National Instrument 45-16 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations-- Syndicated Mortgages |
Commission approval and request for comment published August 6, 2020 |
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11-342 |
Notice of Local Amendments and Changes in Certain Jurisdictions |
Published August 6, 2020 |
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45-506 |
Start-Up Crowdfunding Registration and Prospectus Exemptions (Interim Class Order) |
Published August 6, 2020 |
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48-501 |
Amendments to OSC Rule 48-501 -- Trading During Distributions, Formal Bids and Share Exchange Transactions |
Published for comment on August 6, 2020 |
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51-102 |
Amendments to NI 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements |
Commission approval published August 20, 2020 |
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23-327 |
Update on Internalization within the Canadian Equity Market |
Published August 20, 2020 |
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44-102 |
Amendments -- Shelf Distributions |
Ministerial approval published August 27, 2020 |
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21-101 |
Amendments -- Marketplace Operation |
Ministerial approval published August 27, 2020 |
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31-359 |
OBSI Joint regulators Committee Annual Report for 2019 |
Published August 27, 2020 |
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94-101 |
Amendments -- Mandatory Central Counterparty Clearing of Derivatives |
Published for comment September 3, 2020 |
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21-101 |
Amendments -- Marketplace Operation |
Ministerial approval published September 10, 2020 |
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21-706 |
Variation of Exchange Recognition Orders, ATS Protocol, and Revocation of OSC Staff Notice |
Published September 10, 2020 |
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33-751 |
Summary Report for Dealers, Advisers and Investment Fund Managers |
Published September 17, 2020 |
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81-105 |
Amendments-- Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination was required |
Commission approval published September 17, 2020 |
For further information, contact:
Darlene Watson
Project Manager
Ontario Securities Commission
416-593-8148
October 22, 2020