Securities Law & Instruments

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NOTICE OF MINISTERIAL APPROVAL OF AMENDMENTS TO
NATIONAL INSTRUMENT 31-103 REGISTRATION REQUIREMENTS AND EXEMPTIONS

AND

RELATED INSTRUMENTS



On May 30, 2011, the Minister of Finance approved amendments made by the Ontario Securities Commission (the Commission or OSC) to National Instrument 31-103 Registration Requirements and Exemptions, now renamed National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), National Instrument 33-109 Registration Information (NI 33-109) and Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information (OSC Rule 33-506) (the Amendments). The Amendments are set out in Appendix A.

An earlier version of the Amendments was approved by the Commission on March 29, 2011. A quorum of the Commission approved the following minor changes which are reflected in the Amendments:

(i) On April 7, 2011, changes to OSC Rule 33-506 and its registration forms and procedures, for the purposes of the Commodity Futures Act (Ontario) (CFA), that correspond to the amendments approved by the Commission in respect of NI 33-109; and

(ii) On May 24, 2011, changes to each of the amending instruments to NI 31-103, NI 33-109 and OSC Rule 33-506 expressly inserting a July 11, 2011 coming-into-force date.

The Amendments have an effective date of July 11, 2011. Except with regard to the May 24, 2011 changes described above, the Amendments were published in a Supplement to the Bulletin on April 15, 2011.

The Commission also adopted amendments to the policies related to NI 31-103 and NI 33-109 on March 29, 2011. On June 28, 2011, a quorum of the Commission approved corresponding changes, for purposes of the CFA, to the policy related to OSC Rule 33-506 similar to the amendments approved by the Commission in respect of the policy related to NI 33-109 (together, the amendments to the policies related to NI 31-103, NI 33-109 and OSC Rule 33-506 are referred to as the Policy Amendments). The Policy Amendments are set out in Appendix B. The Policy Amendments become effective on the same date as the Amendments. The policies related to NI 31-103 and NI 33-109, and a summary of the policy related to OSC Rule 33-506, were published in a Supplement to the Bulletin on April 15, 2011. The policy related to OSC Rule 33-506 is being published in Chapter 5 of this Bulletin dated July 8, 2011.

July 8, 2011

 

APPENDIX A

RULES AND AMENDMENTS

Amendments approved by the Minister of Finance on May 30, 2011:

Amendments to National Instrument 31-103 Registration Requirements and Exemptions (now renamed as National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations)

Amendments to National Instrument 33-109 Registration Information

Amendments to Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information

 

APPENDIX B

POLICY AMENDMENTS

Policy Amendments adopted by the Commission:

• Amendments to Companion Policy 31-103CP Registration Requirements and Exemptions (now renamed as Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations), adopted on March 29, 2011

• Amendments to Companion Policy 33-109CP Registration Information, adopted on March 29, 2011

• Amendments to Companion Policy 33-506CP (Commodity Futures Act) Registration Information, adopted on June 28, 2011