Final National Instrument (effective April 1, 1997): NI - 14-101 - National Definitions
Final National Instrument (effective April 1, 1997): NI - 14-101 - National Definitions
DEFINITIONS
NOTICE OF RULE UNDER THE SECURITIES ACT
NATIONAL INSTRUMENT
14-101
DEFINITIONS
PART 1 PART DEFINITIONS AND INTERPRETATION
1.1 Definitions and Interpretation
(I) Every term that is defined or interpreted in the statute of the local jurisdiction referred to in Appendix B, the definition or interpretation of which is notrestricted to a specific portion of the statute, has, if used in a national instrument, the meaning ascribed to it in that statute unless the context otherwise requires.
(2) A provision or reference within a provision of a national instrument that specifically refers by name to a jurisdiction other than the local jurisdiction shall nothave any effect in the local jurisdiction, unless otherwise stated in the national instrument.
(3) In a national instrument
"1933 Act" means the Securities Act of 1933 of the United States of America;
"1934 Act" means the Securities Exchange Act of 1934 of the United States of America;
"blanket rulings and orders" means rulings and orders issued under Canadian securities legislation in certain jurisdictions that are applicable to a class of persons,trades, intended trades, securities, exchange contracts or transactions;
"Canadian auditor's report" means an auditor's report prepared in accordance with Canadian GAAS;
"Canadian financial institution" means a bank, loan corporation, trust company, insurance company, treasury branch, credit union or caisse populaire that, in eachcase, is authorized to carry on business in Canada or a jurisdiction, or the Confédération des caisses populaires et d'économie Desjardins du Québec;
"Canadian GAAP" means generally accepted accounting principles determined with reference to the Handbook;
"Canadian GAAS" means generally accepted auditing standards determined with reference to the Handbook;
"Canadian securities directions" means the instruments listed in Appendix A;
"Canadian securities legislation" means the statutes and the other instruments listed in Appendix B;
"Canadian securities regulatory authorities" means the securities commissions and similar regulatory authorities listed in Appendix C;
"CIPF" means the Canadian Investor Protection Fund;
"CSA" means the Canadian Securities Administrators;
"foreign jurisdiction" means a country other than Canada or a political subdivision of a country other than Canada;
"Handbook" means the Handbook of the Canadian Institute of Chartered Accountants, as amended from time to time;
"implementing law of a jurisdiction" means, for a local jurisdiction, a regulation, rule, ruling or order of the Canadian securities regulatory authority thatimplements a national instrument in the local jurisdiction;
"ITA" means the Income Tax Act (Canada);
"jurisdiction" means a province or territory of Canada except when used in the term foreign jurisdiction;
"local jurisdiction" means, in a national instrument adopted or made by a Canadian securities regulatory authority, the jurisdiction in which the Canadiansecurities regulatory authority is situate;
"national instrument" means an instrument described by the CSA as a national instrument, and adopted or made by the securities regulatory authority;
"person or company", for the purpose of a national instrument in British Columbia, means "person" as defined in section 1 of the Securities Act (BritishColumbia), and for the purpose of a national instrument in Quebec, means "person" as used in the Securities Act (Quebec);
"regulator" means, for the local jurisdiction, the person referred to in Appendix D opposite the name of the local jurisdiction;
"SEC" means the Securities and Exchange Commission of the United States of America;
"securities directions" means, for the local jurisdiction, the instruments listed in Appendix A opposite the name of the local jurisdiction;
"securities legislation" means, for the local jurisdiction, the statute and other instruments listed in Appendix B opposite the name of the local jurisdiction;
"securities regulatory authority" means, for the local jurisdiction, the securities commission or similar regulatory authority listed in Appendix C opposite thename of the local jurisdiction; and
"SRO" means a self-regulatory organization, a self-regulatory body or an exchange.
PART 2 EFFECTIVE DATE
2.1 Effective Date - This National Instrument comes into force on April 1, 1997.
ALBERTA The policy statements and the written interpretations issued by the securities regulatory authority.
BRITISH COLUMBIA The policy statements and the written interpretations issued by the securities regulatory authority.
MANITOBA The policy statements and the written interpretations issued by the securities regulatory authority.
NEW BRUNSWICK The policy statements and the written interpretations issued by the securities regulatory authority.
NEWFOUNDLAND The policy statements and the written interpretations issued by the securities regulatory authority.
NORTHWEST TERRITORIES The policy statements and the written interpretations issued by the securities regulatory authority.
NOVA SCOTIA The policy statements and the written interpretations issued by the securities regulatory authority.
ONTARIO None.
PRINCE EDWARD ISLAND The policy statements and the written interpretations issued by the securities regulatory authority.
QUEBEC The policy statements and the written interpretations issued by the securities regulatory authority.
SASKATCHEWAN The policy statements and the written interpretations issued by the securities regulatory authority.
YUKON TERRITORY The policy statements and the written interpretations issued by the securities regulatory authority.
ALBERTA Securities Act and the regulations and rules under that Act and the blanket rulings and orders issued by the securities regulatory authority.
BRITISH COLUMBIA Securities Act and the regulations, rules and forms under that Act and the blanket rulings and orders issued by the securities regulatoryauthority.
MANITOBA The Securities Act and the regulations under that Act and the blanket rulings and orders issued by the securities regulatory authority.
NEW BRUNSWICK Security Frauds Prevention Act and the regulations under that Act and the orders issued by the securities regulatory authority.
NEWFOUNDLAND Securities Act and the regulations under that Act and the blanket rulings and orders issued by the securities regulatory authority.
NORTHWEST TERRITORIES Securities Act and the regulations under that Act and the blanket rulings and orders issued by the securities regulatory authority.
NOVA SCOTIA Securities Act and the regulations under that Act and the blanket rulings and orders issued by the securities regulatory authority.
ONTARIO Securities Act and the regulations and rules under that Act.
PRINCE EDWARD ISLAND Securities Act and the regulations under that Act and the blanket rulings and orders issued by the securities regulatory authority.
QUEBEC Securities Act and the regulations under that Act and the blanket rulings and orders issued by the securities regulatory authority.
SASKATCHEWAN The Securities Act, 1988 and the regulations and rules under that Act and the blanket rulings and orders issued by the securities regulatoryauthority.
YUKON TERRITORY Securities Act and the regulations under that Act and the blanket rulings and orders issued by the securities regulatory authority.
ALBERTA Alberta Securities Commission
BRITISH COLUMBIA British Columbia Securities Commission
MANITOBA The Manitoba Securities Commission
NEW BRUNSWICK Office of the Administrator, New Brunswick
NEWFOUNDLAND Securities Commission of Newfoundland
NORTHWEST TERRITORIES Securities Registry, Government of the Northwest Territories
NOVA SCOTIA Nova Scotia Securities Commission
ONTARIO Ontario Securities Commission
PRINCE EDWARD ISLAND Registrar of Securities, Prince Edward Island
QUEBEC Commission des valeurs mobilières du Québec
SASKATCHEWAN Saskatchewan Securities Commission
YUKON TERRITORY Registrar of Securities, Government of the Yukon Territory
DEFINITIONS
APPENDIX D
REGULATORLOCAL
JURISDICTION REGULATOR
ALBERTA Executive Director, as defined under section 1 of the Securities Act (Alberta).
BRITISH COLUMBIA Executive Director, as defined under section 1 of the Securities Act (British Columbia).
MANITOBA Director, as defined under subsection 1(1) of The Securities Act (Manitoba).
NEW BRUNSWICK Administrator, as defined under section 1 of the Security Frauds Prevention Act (New Brunswick).
NEWFOUNDLAND Director of Securities, designated under section 7 of the Securities Act (Newfoundland).
NORTHWEST TERRITORIES Registrar, as defined under section 1 of the Securities Act (Northwest Territories).
NOVA SCOTIA Director, as defined under section 1 of the Securities Act (Nova Scotia).
ONTARIO Director, as defined under section 1 of the Securities Act (Ontario).
PRINCE EDWARD ISLAND Registrar, as defined under section 1 of the Securities Act (Prince Edward Island).
QUEBEC la Commission des valeurs mobilières du Québec continued under the Securities Act (Quebec).
SASKATCHEWAN Director, as defined in section 1 of The Securities Act, 1988 (Saskatchewan).
YUKON TERRITORY Registrar, as defined under section 1 of the Securities Act (Yukon Territory).