5 - Ongoing Requirements for Issuers and Insiders

54-101CP Communications With Beneficial Owners of Securities of a Reporting Issuer [CP - Rescinded]
Published May 12, 2005
Effective February 11, 2005
Rescinded/Lapsed February 11, 2013
View PDF of 54-101CP PDF 

COMPANION POLICY 54-101CP
TO NATIONAL INSTRUMENT 54-101
COMMUNICATION WITH BENEFICIAL OWNERS
OF SECURITIES OF A REPORTING ISSUER

TABLE OF CONTENTS

 

PART

TITLE

 

 

PART 1

BACKGROUND

1.1

History

1.2

Fundamental Principles

 

 

PART 2

GENERAL

2.1

Application of Instrument

2.2

Application to Foreign Securityholders and U.S. Issuers

2.3

Interim Financial Statements

2.4

“Client” and “Intermediary” to be Distinguished From “Beneficial Owner”

2.5

Definition of “Corporate Law”

2.6

Fees

2.7

Agent

 

 

PART 3

REPORTING ISSUERS

3.1

Timing for Notice of Meeting and Record Dates and Intermediary Searches

3.2

Adjournment or Change in Meeting

3.3

Request for Beneficial Ownership Information

3.4

Depository’s Index of Meetings

3.5

Voting Instructions

 

 

PART 4

INTERMEDIARIES

4.1

Client Response Form

4.2

Separate Accounts

4.3

Reconciliation of Positions

4.4

Identification of Intermediary

4.5

Changes to Intermediary Master List

4.6

Incomplete or Late Deliveries

4.7

Other Obligations of Intermediaries

4.8

Instructions from Existing Clients

 

 

PART 5

MEANS OF SENDING

5.1

General

5.2

Materials in Bulk for Sending to Beneficial Owners

5.3

Number of Sets of Materials

5.4

Electronic Communication

5.5

Multiple Deliveries to One Person or Company

 

 

PART 6

USE OF NOBO LIST

6.1

Use of NOBO List

 

 

PART 7

EXEMPTIONS

7.1

Materials Sent Less Than 21 Days Before Meeting

7.2

Delay of Audited Annual Financial Statements or Annual Report

7.3

Additional Costs if Time Limitations Shortened

7.4

Applications

 

 

PART 8

APPENDIX A

8.1

Appendix A