62-103 - The Early Warning System and Related Take-Over Bid and Insider Reporting Issues [NI - Rescinded]
| Published Date: | 2010-04-30 |
|---|---|
| Effective Date: | 2010-04-30 |
| Rescinded Date: | 2014-09-22 |
| Document(s): |
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Concurrently Published:
Table of Contents
| PART | TITLE |
| PART 1 | DEFINITIONS AND INTERPRETATION 1.1 Definitions 1.2 Deemed Effective Control |
| PART 2 | GENERAL RELIANCE AND REPORTING PROVISIONS 2.1 Reliance on Reported Outstanding Shares 2.2 Copies of News Release and Report 2.3 No Duplication of News Releases or Reports |
| PART 3 | EARLY WARNING REQUIREMENTS 3.1 Contents of News Releases and Reports 3.2 Filing Relief for Joint Actors 3.3 Exemption from Early Warning Requirements for Mutual Fund Securities |
| PART 4 | ALTERNATIVE MONTHLY REPORTING SYSTEM 4.1 Exemption from the Early Warning Requirements 4.2 Disqualification 4.3 Reporting and Filing Requirements 4.4 Restrictions on Acquisitions 4.5 Filing Obligations under this Part 4.6 Change Reports 4.7 Contents of Reports 4.8 Exemptions |
| PART 5 | AGGREGATION RELIEF 5.1 Separate Business Units 5.2 Securities Held by an Investment Fund 5.3 Reporting and Record Keeping 5.4 No Requirement to Satisfy Insider Reporting Requirement |
| PART 6 | ISSUER ACTIONS 6.1 Issuer Actions |
| PART 7 | UNDERWRITING EXEMPTION 7.1 Underwriting Exemption |
| PART 8 | RELIEF FOR PLEDGEES 8.1 Relief for Pledgees 8.2 Further Relief for de minimis Pledgees 8.3 Corresponding Insider Reporting Relief |
| PART 9 | INSIDER REPORTING EXEMPTION; EARLY WARNING DECREASE REPORTS 9.1 Insider Reporting Exemption; Early Warning Decrease Reports |
| PART 10 | MORATORIUM RELIEF 10.1 Moratorium Relief |
| PART 11 | EXEMPTIONS 11.1 Exemptions |
| PART 12 | EFFECTIVE DATE 12.1 Effective Date |
| APPENDIX A | CONTROL BLOCK DISTRIBUTION DEFINITION |
| APPENDIX B | [REPEALED] |
| APPENDIX C | [REPEALED] |
| APPENDIX D | SECURITY OWNERSHIP AND CONTROL PROVISIONS |
| APPENDIX E | REQUIRED DISCLOSURE IN NEWS RELEASE FILED UNDER EARLY WARNING REQUIREMENTS |
| APPENDIX F | REQUIRED DISCLOSURE IN NEWS RELEASE AND REPORT FILED BY AN ELIGIBLE INSTITUTIONAL INVESTOR UNDER SECTION 4.3 |
| APPENDIX G | REQUIRED DISCLOSURE IN REPORT FILED BY AN ELIGIBLE INSTITUTIONAL INVESTOR UNDER PART 4 |