Securities Law

41-101 - General Prospectus Requirements and Companion Policy [NI Blackline Amendment Proposed - Lapsed]

Published Date: 2009-09-25
Rescinded Date: 2011-01-01
Document(s):

Concurrently Published:

PART 1 Definitions and Interpretations
1.1  Definitions
1.2  Interpretation of “prospectus”, “preliminary prospectus”, “final prospectus”, “long form prospectus”, and “short form prospectus”
1.3  Interpretation of “business”
1.4  Interpretation of “affiliate”
1.5  Interpretation of “payments to be made”

PART 2 Requirements for All Prospectus Distributions
2.1  Application of the Instrument
2.2  Language
2.3  General requirements
2.4 Special warrants

PART 3 Form of Prospectus
3.1  Form of prospectus

PART 4 Financial Statements and Related Documents in a Long Form Prospectus
4.1 Application
4.2  Audit of financial statements
4.3  Review of unaudited financial statements
4.4  Approval of financial statements and related documents

PART 5 Certificates
5.1  Interpretation
5.2  Date of certificates
5.3  Certificate of issuer
5.4  Corporate issuer
5.5  Trust issuer
5.6  Limited partnership issuer
5.7  Other issuer
5.8  Reverse takeovers
5.9  Certificate of underwriter
5.10  Certificate of investment fund manager
5.11  Certificate of promoter
5.12  Certificate of credit supporter
5.13 Certificate of selling securityholders
5.14  Certificate of operating entity
5.15  Certificate of other persons

PART 6 Amendments
6.1  Form of amendment
6.2  Required documents for filing an amendment
6.3  Auditor’s comfort letter
6.4  Delivery of amendments
6.5  Amendment to a preliminary prospectus
6.6  Amendment to a final prospectus

PART 7 Non-fixed Price Offerings and Reduction of Offering Price under a Final Prospectus
7.1  Application
7.2  Non-fixed price offerings and reduction of offering price

PART 8 Best Efforts Distributions
8.1  Application
8.2 Distribution period
8.3  Minimum amount of funds

PART 9 Requirements for Filing a Long Form Prospectus
9.1  Required documents for filing a preliminary or pro forma long form prospectus
9.2  Required documents for filing a final long form prospectus
9.3 Material contracts

PART 10 Consents and Licenses, Registrations and Approvals
10.1  Consents of experts
10.2 Licences, registrations and approvals

PART 11 Over-Allocation and Underwriters
11.1  Over-allocation
11.2  Distribution of securities under a prospectus to an underwriter
11.3  Take-up by underwriter

PART 12 Restricted Securities
12.1  Application
12.2  Use of restricted security term
12.3  Prospectus filing eligibility

PART 13 Advertising and Marketing in Connection with Prospectus Offerings
13.1  Legend for communications during the waiting period
13.2  Legend for communications following receipt for the final prospectus
13.3  Advertising for investment funds during the waiting period

PART 14 Custodianship of Portfolio Assets of an Investment Fund
14.1  General
14.2  Who may act as custodian or sub-custodian
14.3  Standard of care
14.4  Appointment of sub-custodian
14.5  Content of agreements
14.6  Review and compliance reports
14.7  Holding of portfolio assets and payment of fees
14.8  Custodian provisions relating to derivatives and securities lending, repurchases and reverse repurchase agreements
14.9  Separate account for paying expenses

PART 15 Documents Incorporated by Reference by Investment Funds
15.1  Application
15.2 Incorporation by reference

PART 16 Distribution of Preliminary Prospectus and Distribution List
16.1  Distribution of preliminary prospectus and distribution list

PART 17 Lapse Date
17.1  Pro forma prospectus
17.2 Refiling of prospectus

PART 18 Statement of Rights
18.1  Statement of rights

PART 19 Exemption
19.1  Exemption
19.2  Application for exemption
19.3  Evidence of exemption

PART 20 Transition, Effective Date, and Repeal
20.1  Transition
20.2  Effective dateDate
20.3  Repeal

APPENDIX A: PERSONAL INFORMATION FORM AND AUTHORIZATION OF INDIRECT COLLECTION, USE AND DISCLOSURE OF PERSONAL INFORMATION

APPENDIX B: ISSUER FORM OF SUBMISSION TO JURISDICTION AND APPOINTMENT OF AGENT FOR SERVICE OF PROCESS

APPENDIX C: NON-ISSUER FORM OF SUBMISSION TO JURISDICTION AND APPOINTMENT OF AGENT FOR SERVICE OF PROCESS