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Notifications of acquisition transactions

Registered firms are required under section 11.9 or section 11.10 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to notify staff when a registered firm’s securities assets are acquired or sold.

Notification form

To assist firms to provide sufficient information, CSA staff developed a standard template that filers may use to prepare 11.9 and 11.10 notices. The template provides the type of information that staff typically request when reviewing these notices. The template may make it easier for firms to prepare and submit these notices.

The use of this template is voluntary and is provided as a guide for preparing the notice. The template is offered as a fillable PDF document which we recommend you access in Adobe Acrobat Reader DC and save once completed, if you wish to retain it.

The form can be viewed here.