Securities Law & Instruments

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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 December 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

 

58-307

Staff Review of Women on Boards and in Executive Officer Positions -- Compliance with NI 58-101 Disclosure of Corporate Governance Practices

Published October 1, 2015

 

21-101

Marketplace Operation -- Amendments

Ministerial approval published October 1, 2015

 

23-101

Trading Rules -- Amendments

Ministerial approval published October 1, 2015

 

21-706

Marketplaces' Initial Operations and Material System Changes

Published October 1, 2015

 

13-502

Fees -- Amendments

Commission approval published October 1, 2015

 

11-739

Policy Reformulation Table of Concordance and New Instruments (Revised)

Published October 8, 2015

 

45-714

Summaries of Exempt Distribution Information

Published October 15, 2015

 

11-737

Securities Advisory Committee (Revised)

Published October 22, 2015

 

45-106

Prospectus Exemptions -- Amendments (Offering Memorandum)

Commission approval published October 29, 2015

 

52-107

Acceptable Accounting Principles and Auditing Standards -- Amendments (Offering Memorandum)

Commission approval published October 29, 2015

 

45-102

Resale of Securities -- Amendments (Offering Memorandum)

Commission approval published October 29, 2015

 

11-203

Process for Exempt Relief Applications in Multiple Jurisdictions -- Amendments (Offering Memorandum)

Commission approval published October 29, 2015

 

11-501

Requirement for the Electronic Delivery of Documents to the Ontario Securities Commission -- Amendments (Offering Memorandum)

Commission approval published October 29, 2015

 

13-502

Fees -- Amendments (Offering Memorandum)

Commission approval published October 29, 2015

 

45-501

Exempt Distributions -- Amendments (Offering Memorandum)

Commission approval published October 29, 2015

 

15-601

Whistleblower Policy

Request for comment published October 29, 2015

 

48-501

Trading During Distributions, Formal Bids and Share Exchange Transactions -- Amendments

Ministerial approval of amendments published October 29, 2015

 

45-108

Crowdfunding

Commission approval published November 5, 2015

 

45-102

Resale of Securities -- Amendments (Crowdfunding)

Commission approval published November 5, 2015

 

11-501

Requirement for Electronic Delivery of Documents to the Ontario Securities Commission -- Amendments (Crowdfunding)

Commission approval published November 5, 2015

 

51-345

Disclosure of Abandonment and Reclamation Costs in National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities and Related Forms

Published November 5, 2015

 

11-773

The Investor Perspective

Published November 5, 2015

 

41-101

General Prospectus Requirements -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

44-101

Short Form Prospectus Distribution -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

45-106

Prospectus Exemptions -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

51-102

Continuous Disclosure Obligations -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

52-109

Certification of Disclosure in Issuers' Annual and Interim Filings (Aequitas)

Ministerial approval published November 5, 2015

 

52-110

Audit Committees -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

58-101

Disclosure of Corporate Governance Practices -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

61-101

Protection of Minority Security Holders in Special Transactions -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

71-102

Continuous Disclosure and Other Exemptions Relating to Foreign Issuers -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

81-101

Mutual Fund Prospectus Disclosure -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

46-201

Escrow for Initial Public Offerings -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

56-501

Restricted Shares -- Amendments (Aequitas)

Ministerial approval published November 5, 2015

 

31-343

Conflicts of interest in distributing securities of related or connected issuers

Published November 26, 2015

 

91-507

Trade Repositories and Derivatives Trade Reporting -- Amendments

Request for comment published November 5, 2015

 

24-102

Clearing Agency Requirements

Commission approval published December 3, 2015

 

45-106

Prospectus Exemptions -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

41-101

General Prospectus Requirements -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

44-101

Short Form Prospectus Distributions -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

45-102

Resale of Securities -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

45-101

Rights Offerings -- Amendments (Rights Offerings)

Ministerial approval of repeal published December 3, 2015

 

13-101

System for Electronic Document Analysis and Retrieval (SEDAR) -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

13-102

System Fees for SEDAR and NRD -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

11-501

Electronic Delivery of Documents to the Ontario Securities Commission -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

13-502

Fees -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

61-101

Protection of Minority Security Holders in Special Transactions -- Amendments (Rights Offerings)

Ministerial approval published December 3, 2015

 

13-502

Fees -- Amendments

Ministerial approval published December 3, 2015

 

24-102CP

Clearing Agency Requirements -- Amendments

Request for comment published December 3, 2015

 

13-315

Securities Regulatory Authority Closed Dates 2016 (Revised)

Published December 10, 2015

 

81-102

Investment Funds -- Amendments (CSA Mutual Fund Risk Classification Methodology)

Request for comment published December 10, 2015

 

81-101

Mutual Fund Prospectus Disclosure -- Amendments (CSA Mutual Fund Risk Classification Methodology)

Request for comment published December 10, 2015

 

41-101

General Prospectus Requirements -- Amendments (CSA Mutual Fund Risk Classification Methodology)

Request for comment published December 10, 2015

 

13-706

SEDAR Filer Manual Update

Published December 17, 2015

For further information, contact:

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

January 14, 2016