45-106CP - Prospectus and Registration Exemptions [CP Blackline Advance Notice - Lapsed]
Published Date: | 2009-07-17 |
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Effective Date: | 2009-09-28 |
Rescinded Date: | 2009-09-25 |
Document(s): |
Concurrently Published:
PART 1 - INTRODUCTION
1.1 Purpose
1.2 Status in Yukon1.3 All trades are subject to securities legislation1.41.3 Multi-jurisdictional tradesdistributions1.51.4 Other exemptions1.61.5 Discretionary relief1.71.6 Advisers1.81.7 Underwriters1.91.8 Persons created to use exemptions (“syndication”)1.101.9 Responsibility for compliance1.111.10 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 and unsolicited orders
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