Securities Law & Instruments

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OSC STAFF NOTICE 11-739 (REVISED)

POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS



April 9, 2015

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 March 31, 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

Instrument

Title

Status

 

 

None

 

New Instruments

Instrument

Title

Status

 

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Amendments

Minister's approval published January 15, 2015$

 

33-109

Registration Information -- Amendments

Minister's approval published January 15, 2015

 

52-107

Acceptable Accounting Principles and Auditing Standards -- Amendments

Minister's approval published January 15, 2015

 

23-102

Use of Client Brokerage Commissions -- Amendments

Minister's approval published January 15, 2015

 

24-101

Institutional Trade Matching and Settlement -- Amendments

Minister's approval published January 15, 2015

 

81-107

Independent Review Committee for Investment Funds -- Amendments

Minister's approval published January 15, 2015

 

45-501CP

Companion Policy 45-501CP -- Ontario Prospectus and Registration Exemptions -- Amendments

Minister's approval published January 15, 2015

 

91-501

Strip Bonds -- Amendments

Minister's approval published January 15, 2015

 

91-502

Trades in Recognized Options -- Amendments

Minister's approval published January 15, 2015

 

33-506

(Commodity Futures Act) Registration Information -- Amendments

Minister's approval published January 15, 2015

 

35-502

Non-Resident Advisers -- Amendments

Minister's approval published January 15, 2015

 

44-305

2015 Update -- Structured Notes Distributed Under the Shelf Prospectus System

Published January 22, 2015

 

13-705

Reduced Late Fee for Certain Outside Business Activities Filings

Published January 22, 2015

 

11-739

Policy Reformulation -- Table of Concordance and List of New Instruments (Revised)

Published January 22, 2015

 

81-325

Status Report on Consultation under CSA Notice 81-324 and Request for Comment on Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts

Published January 29, 2015

 

54-303

Progress Report on Review of the Proxy Voting Infrastructure

Published January 29, 2015

 

92-401

Derivatives Trading Facilities

Published for comment on January 29, 2015

 

51-724

Report on Staff's Review of REIT Distributions Disclosure

Published January 29, 2015

 

11-312

National Numbering System (Revised)

Published January 29, 2015

 

51-723

Report on Staff's Review of Related Party Transaction Disclosure and Guidance

Published January 29, 2015

 

13-502

Fees -- Revocation and Replacement

Commission approval published February 5, 2015

 

13-503

(Commodity Futures Act) Fees -- Revocation and Replacement

Commission approval published February 5, 2015

 

45-501

Ontario Prospectus and Registration Exemptions -- Amendments

Ministerial approval of amendments published February 5, 2015

 

45-102

Resale of Securities -- Amendments

Ministerial approval of amendments published February 5, 2015

 

15-401

Proposed Framework for an OSC Whistleblower Program

Published for comment February 5, 2015

 

81-326

Update on an Alternative Funds Framework for Investment Funds

Published February 12, 2015

 

81-101

Mutual Fund Prospectus Disclosure -- Amendments

Minister's approval published February 12, 2015

 

91-506

Derivatives: Product Determination -- Amendments

Commission approval published February 12, 2015

 

91-507

Trade Repositories and Derivatives Data Reporting -- Amendments

Commission approval published February 12, 2015

 

94-101

Mandatory Central Counterparty Clearing of Derivatives

Published for comment on February 12, 2015

 

45-106

Prospectus and Registration Exemptions -- Amendments

Commission approval published February 19, 2015

 

45-102

Resale of Securities -- Amendments

Commission approval published February 19, 2015

 

45-501

Ontario Prospectus and Registration Exemptions -- Amendments

Commission approval published February 19, 2015

 

13-102

System Fees for SEDAR and NRD -- Amendments

Commission approval published February 19, 2015

 

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Amendments (includes amendments to 31-103CP)

Commission approval published February 19, 2015

 

32-102

Registration Exemptions for Non-Resident Investment Fund Managers -- Amendments

Commission approval published February 19, 2015

 

33-105

Underwriting Conflicts -- Amendments

Commission approval published February 19, 2015

 

41-101

General Prospectus Requirements -- Amendments

Commission approval published February 19, 2015

 

45-102

Resale of Securities -- Amendments (includes amendments to 45-102CP)

Commission approval published February 19, 2015

 

51-102

Continuous Disclosure Obligations -- Amendments

Commission approval published February 19, 2015

 

52-107

Acceptable Accounting Principles and Auditing Standards -- Amendments

Commission approval published February 19, 2015

 

62-103

Early Warning System and Related Take-Over Bid and Reporting Issues -- Amendments

Commission approval published February 19, 2015

 

62-104

Take-Over Bids and Issuer Bids -- Amendments

Commission approval published February 19, 2015

 

11-203

Process for Exemptive Relief Applications in Multiple Jurisdictions -- Amendments

Commission approval published February 19, 2015

 

23-103CP

Electronic Trading and Direct Electronic Access to Marketplaces --Amendments

Commission approval published February 19, 2015

 

81-726

2014 Summary Report for Investment Fund and Structured Product Issuers

Published February 26, 2015

 

51-342

Staff Review of Issuers Entering into Medical Marijuana Business Opportunities

Published February 26, 2015

 

51-101

Standards of Disclosure for Oil and Gas Activities -- Amendments

Ministerial approval published March 5, 2015

 

11-328

Notice of Local Amendments in Alberta and the Adoption of Multilateral Amendments in Yukon

Published March 12, 2015

 

31-340

OBSI Joint Regulators Committee Annual Report for 2014

Published March 19, 2015

For further information, contact:

Darlene Watson
Project Specialist
Ontario Securities Commission
416-593-8148