Securities Law

41-101 - General Prospectus Requirements [NI Amendment Advance Notice - Lapsed]

Published Date: 2007-12-21
Document(s):

Concurrently Published:

TABLE OF CONTENTS

 

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 date

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