45-106CP - Prospectus and Registration Exemptions [CP - Rescinded]
| Published Date: | 2009-09-25 |
|---|---|
| Effective Date: | 2009-09-28 |
| Rescinded Date: | 2011-01-01 |
| Document(s): |
Concurrently Published:
Amended and Restated
Companion Policy 45-106CP
Prospectus and Registration Exemptions
PART 1 - INTRODUCTION
1.1 Purpose
1.2 All trades are subject to securities legislation
1.3 Multi-jurisdictional distributions
1.4 Other exemptions
1.5 Discretionary relief
1.6 Advisers
1.7 Underwriters
1.8 Persons created to use exemptions (“syndication”)
1.9 Responsibility for compliance
1.10 Prohibited activities
PART 2 - INTERPRETATION
2.1 Definitions
2.2 Executive officer (“policy making function”)
2.3 Directors, executive officers and officers of non-corporate issuers
2.4 Founder
2.5 Investment fund
2.6 Affiliate, control and related entity
2.7 Close personal friend
2.8 Close business associate
2.9 Indirect interest
PART 3 - CAPITAL RAISING EXEMPTIONS
3.1 Soliciting purchasers
3.2 Soliciting purchasers - Newfoundland and Labrador and Ontario
3.3 Advertising
3.4 Restrictions on finder’s fees or commissions
3.4.1 Reinvestment plans
3.5 Accredited investor
3.6 Private issuer
3.7 Family, friends and business associates
3.8 Offering memorandum
3.9 Minimum amount investment
PART 4 - OTHER EXEMPTIONS
4.1 Employee, executive officer, director and consultant exemptions
4.2 Business combination and reorganization
4.3 Asset acquisition - character of assets to be acquired
4.4 Securities for debt - bona fide debt
4.5 Take-over bid and issuer bid
4.6 Isolated distribution or trade
4.7 Mortgages
4.8 Not for profit issuer
4.9 Exchange contracts
PART 5 - FORMS
5.1 Report of Exempt Distribution
5.2 Forms required under the offering memorandum exemption
5.3 Real estate securities
5.4 Risk Acknowledgement Form Respecting Close Personal Friends and Close Business Associates - Saskatchewan
PART 6 - RESALE OF SECURITIES ACQUIRED UNDER AN EXEMPTION
6.1 Resale restrictions