CANADIAN SECURITIES ADMINISTRATORS NOTICE 11-313 WITHDRAWAL OF NOTICES AND POLICIES February 19, 2010 This notice formally withdraws a number of CSA and local notices and policies. In general, the withdrawn material will remain available for historical research purposes in the CSA members’ websites that permit comprehensive access to CSA notices. CSA Notices Staff of the members of the CSA have reviewed a number of CSA Notices. They have determined that some are outdated, no longer relevant, or no longer required. The following CSA Notices are therefore withdrawn, in the applicable CSA jurisdictions in which they have not already been withdrawn, effective immediately. 11-303 The Uniform Securities Legislation Project 11-304 Responses to Comments Received on Concept Proposal Blueprint for Uniform Securities Laws for Canada 11-306 Extension of Comment Period for Consultation Drafts of the Uniform Securities Act and the Model Securities Administration Act 11-307 Responses to Comments Received on Consultation Drafts for a Uniform Securities Act and a Model Securities Administration Act 11-308 Guidelines for Use of Mobility Exemptions Under Part 5 of Multilateral Instrument 11-101 Principal Regulator System 11-402 Concept Proposal for Uniform Securities Legislation 11-404 Consultation Drafts of the Uniform Securities Act and the Model Administration Act 12-303 Exemptive Relief Applications and Year End 12-401 National Application System Concept Proposal 13-306 Guidance for SEDAR Users
13-307 Notice of Amendments to the SEDAR Filer Manual 13-308 Increases to SEDAR Annual Filing Service Charges 13-314 2005 Changes to SEDAR Annual Filing Service Charges 13-316 Amendments to the SEDAR Filer Manual 21-301 Canadian Venture Exchange 21-302 Confidentiality of Forms Filed under National Instrument 21-101 Marketplace Operation 23-305 Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) 31-308 Frequently Asked Questions Regarding NI 31-101 National Registration System and NP 31-201 National Registration System 31-309 Proposed National Instrument 31-103 Registration Requirements and Proposed Companion Policy 31-103CP Registration Requirements 31-310 Proposed NI 31-103 Registration Requirements and Proposed 31-103CP Registration Requirements 33-304 CSA Distribution Structures Committee Position Paper 33-307 List of Canadian Registrant and Non-registrant Firms that Completed the CSA STP Readiness Assessment Survey 33-401 Canadian Capital Market Association – T+1 White Paper 33-402 Joint Forum Requests Comments on Principles and Practices for the Sale of Products and Services in the Financial Sector 41-304 Income Trusts: Prospectus Disclosure of Distributable Cash 43-305 CSA Mining Technical Advisory and Monitoring Committee 44-401 Concept Proposal for an Integrated Disclosure System 45-302 Frequently Asked Questions Regarding the Resale Rules 45-305 Frequently Asked Questions Regarding National Instrument 45-106 Prospectus and Registration Exemptions
46-302 Consent to Amend Existing Escrow Agreements 51-301 Conversion of Corporate Issuers to Trusts 51-305 Canadian Capital Markets Association - Corporate Actions and Other Entitlements White Paper - October 2002 51-315 Guidance Regarding the Determination of Constant Prices for Bitumen Reserves under National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities 51-401 Concept Proposal for an Integrated Disclosure System 51-402 Illegal Insider Trading in Canada: Recommendations on Prevention, Detection and Deterrence Report 52-319 Status of Proposed Repeal and Replacement of Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings 52-401 Discussion Paper – Financial Reporting in Canada’s Capital Markets 58-301 Extension of Comment Period for Proposed Multilateral Policy 58-201 Effective Corporate Governance and Proposed Multilateral Instrument 58-101 Disclosure Of Corporate Governance Practices 58-302 Implementation of Corporate Governance Policy and Related Disclosure Instrument 58-304 Review of National Instrument 58-101 Disclosure of Corporate Governance Practices and National Policy 58-201 Corporate Governance Guidelines 62-201 Bids Made Only in Certain Jurisdictions 62-301 Implementation of the Zimmerman Amendments Governing the Conduct of Take-over and Issuer Bids 62-303 Identifying the Offeror in a Take-over Bid 62-304 Conditions in Financing Arrangements for Take-over Bids and Issuer Bids 72-301 Distributions Outside the Local Jurisdiction Proposed Multilateral Instrument 72-101 81-310 Frequently Asked Questions – Fund of Fund Amendments
ASC Notices and Policies Staff of the Alberta Securities Commission have reviewed a number of ASC Notices and Policies. They have determined that some are outdated, no longer relevant, or no longer required. The following ASC Notices and Policies are therefore withdrawn, effective immediately. 22-701 Notice of Public Forum to Discuss “Nets” and Market Fragmentation 33-601 Surrender of Registration and Rescission of Uniform Act Policy No. 2-07 91-701 Alberta Securities Commission Policy 5.4 – Strip Bonds 10 Cease Trade Orders Issued Due to Delinquency In Filing Financial Statements 57-603 Defaulting Reporting Issuers – OSC Proposed Policy 57–603 OSC Notices Staff of the Ontario Securities Commission have reviewed a number of OSC Notices. They have determined that some are outdated, no longer relevant, or no longer required. The following OSC Notices are therefore withdrawn, effective immediately. 11-721 Policy Reformulation Table of Concordance and List of New Instruments 11-725 Policy Reformulation Table of Concordance and List of New Instruments 11-726 Assignment of Policy Numbers 11-727 Assignment of Policy Numbers 11-730 Policy Reformulation Table of Concordance and List of New Instruments 11-731 Policy Reformulation Table of Concordance and List of New Instruments 11-732 Proposal for the Ontario Securities Administration Act 11-733 Policy Reformulation Table of Concordance and List of New Instruments 11-734 Policy Reformulation Table of Concordance and List of New Instruments 11-735 IOSCO and International Joint Forum Publish Reports on Outsourcing of Financial Services for Public Comment
11-736 North American Securities Administrators Association (NASAA) Seeks Public Comment on Proposal to Extend the Model Secondary Market Trading Exemption for Qualifying Canadian Securities to TSX Venture Exchange 11-738 IOSCO Seeks Public Comment on Draft Code of Conduct Fundamentals for Credit Rating Agencies 11-740 International Joint Forum Publishes Consultation Report on Credit Risk Transfer 11-741 IOSCO Publishes Draft Consultation Policy and Procedures for Public Comment 11-743 IOSCO Publishes Consultation Report Concerning Governance of Collective Investment Schemes 11-744 IOSCO and International Joint Forum Publish Final Recommendations about Outsourcing of Financial Services 11-745 IOSCO Publishes for Consultation Best Practices Standards on Anti-Market Timing and Anti-Money Laundering Guidance for Collective Investment Schemes 11-746 IOSCO Publishes Consultation Report: Policies on Error Trades 11-747 IOSCO and Basel Committee Publish Consultation Document on the Application of Basel II to Trading Activities and the Treatment of Double Default Effects 11-748 IOSCO Publishes a Discussion Paper of the Compliance Function at Market Intermediaries 11-749 International Joint Forum Publishes Final Report on Credit Risk Transfer 11-750 IOSCO Releases Survey Report on the Regulation and Oversight of Auditors 11-751 IOSCO Finalizes Consultation Policy and Procedures 45-706 OSC Small Business Advisory Committee 51-703 Implementation of Reporting Issuer Continuous Disclosure Review Program, Corporate Finance Branch 51-704 Office of the Chief Accountant MD&A Guide 51-708 Continuous Disclosure Review Program Report – August 2002
51-712 Corporate Finance Review Program Report – August 2003 51-715 Corporate Finance Review Program Report – October 2004 52-715 CICA Assurance Standards Board Exposure Draft – Auditor Assistance to Underwriters and Others 52-716 Filing Extensions for Continuous Disclosure Financial Statements AMF Notices Staff of the Autorité des marchés financiers have reviewed a number of AMF Notices. They have determined that some are outdated, no longer relevant, or no longer required. The following AMF Notices are therefore withdrawn, effective immediately. CVMQ notice dated March 9, 2001 Offres publiques – Entrée en vigueur dans certaines provinces le 31 mars 2001 de modifications concernant les règles de conduite des offres publiques – la situation au Québec CVMQ notice dated March 7, 2003 Forum conjoint des autorités de réglementation du marché financier – Projet de principes et pratiques relatifs à la vente de produits et services dans le secteur financier Questions regarding this notice may be directed to: Noreen Bent Simon Thompson British Columbia Securities Commission Ontario Securities Commission Tel: (604) 899-6741 Tel: (416) 593-8261 nbent@bcsc.bc.ca sthompson@osc.gov.on.ca Kari Horn Sylvia Pateras Alberta Securities Commission Autorité des marchés financiers Tel: (403) 297-4698 Tel: (514) 395-0558, extension 2536 kari.horn@asc.ca sylvia.pateras@lautorite.qc.ca Manon Losier Barbara Shourounis New Brunswick Securities Commission Saskatchewan Financial Services Commission Tel: (506) 643-7690 Tel: (306) 787-5842 manon.losier@nbsc-cvmnb.ca bshourounis@sfsc.gov.sk.ca Chris Besko Shirley Lee The Manitoba Securities Commission Nova Scotia Securities Commission Tel: (204) 945-2561 Tel: (902) 424-5441 Chris.Besko@gov.mb.ca leesp@gov.ns.ca
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