December 7, 2017

From time to time, a local jurisdiction may amend a national or multilateral instrument or change a policy or companion policy that affects activity only in that jurisdiction. The CSA recognize that such a local amendment or change may nonetheless be of interest or importance beyond the local jurisdiction and CSA staff are issuing this Notice to identify amendments and changes implemented in Alberta, Manitoba and New Brunswick. For public convenience, CSA members in other jurisdictions will update the text of the applicable material on their websites to reflect these local amendments and changes.

The local amendments and changes referred to in this notice comprise those shown in Annexes A to D of this notice. These local amendments are to the following instruments:

•        Multilateral Instrument 11-102 Passport System (Alberta, Manitoba and New Brunswick);

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•        National Policy 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions (Manitoba and New Brunswick);

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•        National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) (Alberta, Manitoba and New Brunswick); and

•        National Instrument 14-101 Definitions (New Brunswick).

The text of rule and policy consolidations on the websites of CSA members will be updated, as necessary, to reflect these local amendments and changes. You may direct questions regarding this Notice to:

ANNEX A

THE MANITOBA SECURITIES COMMISSION

MSC Rule No. 2017-13

(Section 149.1, The Securities Act)

LOCAL AMENDMENTS TO
MULTILATERAL INSTRUMENT 11-102 PASSPORT SYSTEM

IN ALBERTA, MANITOBA AND NEW BRUNSWICK

1. Multilateral Instrument 11-102 Passport System is amended by this Instrument.

2. Appendix D is amended by replacing the following row:

with the following:

3. These amendments became effective in Alberta, Manitoba and New Brunswick on July 31, 2017.

4. This Instrument may be cited as MSC Rule 2017-13.

ANNEX B

LOCAL CHANGES TO
NATIONAL POLICY 11-207 FAILURE-TO-FILE CEASE TRADE ORDERS AND REVOCATIONS IN MULTIPLE JURISDICTIONS IN MANITOBA AND NEW BRUNSWICK

Annex C to National Policy 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions is changed by adding the following under the headings “Jurisdiction” and “Legislative reference”:

Manitoba                             Subsections 148.4(3) to (8)

New Brunswick                   Section 184.1

The Manitoba change became effective on June 2, 2017 and the New Brunswick change became effective on June 28, 2016.

ANNEX C

THE MANITOBA SECURITIES COMMISSION

MSC Rule No. 2017-14

(Section 149.1, The Securities Act)

LOCAL AMENDMENTS TO
NATIONAL INSTRUMENT 13-101 SYSTEM FOR ELECTRONIC DOCUMENT ANALYSIS AND RETRIEVAL (SEDAR) IN ALBERTA, MANITOBA AND NEW BRUNSWICK

1. National Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) is amended by this Instrument.

2. Appendix A – Mandated Electronic Filings, section II Other Issuers (Reporting/Non-reporting), under C. Securities Acquisitions is amended by replacing item 3. with the following:

3.   Issuer Bid Reports                                                    Alta, Man, Ont, Que & NB.

3. Appendix A – Mandated Electronic Filings, section II Other Issuers (Reporting/Non-reporting), under D. Going Private and Related Party Transactions is amended by replacing items 1. and 2. with the following:

1.   Going Private Transaction Filings                               Alta, Man, Ont, Que & NB

2.   Related Party Transaction Filings                               Alta, Man, Ont, Que & NB.

4. Appendix A – Mandated Electronic Filings, section III Third Party Filers is amended by replacing item 5. with the following:

5.   Take-over Bid Reports                                              Alta, Man, Ont, Que & NB.

5. These amendments became effective in Alberta, Manitoba and New Brunswick on July 31, 2017.

6. This Instrument may be cited as MSC Rule 2017-14.

ANNEX D

Local Amendment to National Instrument 14-101 Definitions

in New Brunswick

Appendix C of National Instrument 14-101 Definitions is amended by replacing “New Brunswick Securities Commission” with “Financial and Consumer Services Commission”.

This amendment became effective on February 1, 2017.