OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments

OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments

OSC Notice

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, 2020 has been posted to the OSC Website at www.osc.gov.on.ca.

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Table of Concordance

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

 

81-105

Notice of Correction -- CSA Notice of Amendments to NI 81-105 Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination Was Required -- Annex F

Published October 8, 2020

 

11-737

(Revised) Securities Advisory Committee -- Vacancies

Published October 8, 2020

 

11-739

Policy Reformulation Table of Concordance and List of New Instruments

Published October 22, 2020

 

51-361

Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2020 and March 31, 2019

Published October 29, 2020

 

13-708

Fees Under OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees

Published November 12, 2020

 

11-790

Protecting Aging Investors through Behavioural Insights

Published November 12, 2020

 

51-731

Corporate Branch 2020 Annual Report

Published November 19, 2020

 

11-791

Statement of Priorities -- Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2022

Published November 19, 2020

 

51-102 and 41-101

Ministerial Approval of Amendments to NI 51-102 Continuous Disclosure Obligations Related to Business Acquisition Report Requirements

Ministerial Approval published November 19, 2020

 

25-302

Matters Relating to CDOR, LIBOR and Other Interest Rate Benchmarks

Published November 26, 2020

 

48-503

OSC Notice of General Order -- Temporary Exemption from Certain Provisions of Ontario Securities Commission Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions

Published December 3, 2020

 

25-403

Activist Short Selling

Published for comment on December 3, 2020

 

32-506

OSC Rule (Under the Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers -- Proposed Amendment to OSC Rule 91-502 Trades in Recognized Options under the Securities Act

Published for comment on December 3, 2020

 

13-315

(Revised) Securities Regulatory Authority Closed Dates 2021

Published December 10, 2020

 

45-501

Notice of Amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions relating to Syndicated Mortgages

Published December 10, 2020

 

55-317

Automatic Securities Disposition Plans

Published December 10, 2020

 

45-317

Ontario's Exempt Market

Published December 10, 2020

 

81-105

Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination Was Required

Ministerial Approval published December 10, 2020

 

11-742

(Revised) Securities Advisory Committee

Published December 24, 2020

For further information, contact:

Darlene Watson

Project Manager

Ontario Securities Commission

416-593-8148 -

January 14, 2021