CANADIAN SECURITIES EXCHANGE
NOTICE OF APPROVAL
FORM 9 NOTICE OF PROPOSED ISSUANCE OF LISTED SECURITIES AND POLICY 6 DISTRIBUTIONS
In accordance with the Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1 and the Exhibits Thereto, CNSX Markets Inc. (“CSE”) has adopted, and the Ontario Securities Commission has approved, public interest rule amendments to Form 9 – Notice of Proposed Issuance of Listed Securities (“Form 9”) and consequential housekeeping rule amendments to Policy 6 – Distributions (“Policy 6”) published for comment August 31, 2018.
The public interest rule amendments repeal the requirement for listed issuers to post to the CSE website certain information related to purchasers in an exempt distribution. Only investors that are Related Persons, as defined in CSE Policy 1, must be identified in the posted Form 9. There are related changes proposed to Policy 6 to clarify filing procedures.
Following publication of the notice, it was determined that non-material changes would be made to Form 9 related to Issuer certification that it had obtained consent from applicable individuals in disclosing their information. The text of the additional non-material changes is included in the CSE notice.