4 - Distribution Requirements

Decision Information

Decision Content

Changes to Companion Policy 44-101CP to National Instrument 44-101 Short Form Prospectus Distributions 1. The changes to Companion Policy 44-101CP to National Instrument 44-101 Short Form Prospectus Distributions are set out in this Schedule. 2. Part 1 is changed by adding the following after subsection 1.7(5): 1.8 Bought Deal Provisions - Issuers and investment dealers relying on the bought deal provisions in Part 7 of NI 44-101 should refer to the guidance in Part 6 of the Companion Policy to NI 41-101. 1.9 Marketing Activities - Issuers and investment dealers should also refer to the guidance on marketing activities in Part 6 of the Companion Policy to NI 41-101. While NI 44-101 has provisions on marketing after the announcement of a bought deal and before a receipt for a preliminary short form prospectus, NI 41-101 has general provisions that apply to marketing during the waiting period and after a receipt for a final prospectus.. 3. Section 3.6 is changed (a) in the heading, by adding "or Marketing Materials" after "Reports", and (b) by adding the words "or a subsequently filed template version of marketing materials" after "a subsequently filed material change report". 4. These changes become effective on August 13, 2013.
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