Securities Law

11-202 - Process for Prospectus Reviews in Multiple Jurisdictions [NP - Rescinded]

Published Date: 2008-03-10
Effective Date: 2008-03-17
Rescinded Date: 2009-09-28
Document(s):

Concurrently Published:

PART 1 APPLICATION
1.1  Scope and application

PART 2 DEFINITIONS
2.1 Definitions
2.2 Further definitions

PART 3 OVERVIEW AND PRINCIPAL REGULATOR
3.1 Overview
3.2 Passport Prospectus
3.3 Dual Prospectus
3.4 Principal Regulator
3.5 Discretionary change in principal regulator

PART 4 FILING MATERIALS
4.1 Election to file under this policy, identification of principal regulator
4.2 Filing for distribution to purchasers only in jurisdictions outside principal jurisdiction
4.3 Blacklined document
4.4 Seasoned Prospectuses

PART 5 REVIEW OF MATERIALS
5.1 General
5.2 Passport prospectus
5.3 Dual prospectus
5.4 Review period for preliminary long form prospectuses and pro forma prospectuses
5.5 Review period for preliminary short form prospectuses and preliminary shelf prospectuses
5.6 Novel and substantive issue
5.7 Form of response

PART 6 OPTING OUT OF A DUAL REVIEW
6.1 Opting Out

PART 7 RECEIPTS
7.1 Effect of prospectus receipt
7.2 Conditions to issuance of preliminary receipt
7.3 Conditions to issuance of final receipt for a prospectus
7.4 Translations

PART 8 PRE-FILINGS AND WAIVER APPLICATIONS
8.1 General
8.2 Procedure
8.3 Information to be provided with related materials
8.4 Effect of prospectus receipt when waiver application submitted
8.5 Resolution of pre-filing

PART 9 APPLICATIONS
9.1 Applications in multiple jurisdictions
9.2 Timing of application
9.3 Additional information to be provided

PART 10  AMENDMENTS
10.1 Conditions to issuance of receipt for preliminary prospectus amendments
10.2 Receipt for preliminary prospectus amendments
10.3  Review period for preliminary prospectus amendments
10.4 Review period for prospectus amendments
10.5 Conditions to issuance of prospectus amendment receipt
10.6 Prospectus amendment receipt

PART 11  HOLIDAYS
11.1 Holidays

PART 12 EFFECTIVE DATE AND TRANSITION
12.1 Effective date - This policy comes into effect on March 17, 2008.
12.2 Prospectus filed before March 17, 2008 - The process set out in National Policy 43-201 Mutual Reliance Review System for Prospectuses will continue to apply to
Annex A
Examples of Pre-Filings and Waiver Applications Dealt With
under Part 8 of National Policy 11-202