41-101 - General Prospectus Requirements [NI Proposed - Lapsed]
Published Date: | 2006-12-22 |
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Document(s): |
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Concurrently Published:
- 41-101CP - General Prospectus Requirements [CP Proposed - Lapsed]
- 41-101F1 - Information Required in a Prospectus [F Proposed - Lapsed]
- 41-101F2 - Information Required in an Investment Fund Prospectus [F Proposed - Lapsed]
- BCN 2006/30 - Publication for Comment of National Instrument 41-101 General Prospectus Requirements Related Instruments and Proposed Consequential Amendments [BCN - Lapsed]
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"
1.6 Referencing instruments
1.7 Powers and duties of the regulator in British Columbia
PART 2 Requirements for All Prospectus Distributions
2.1 Application of the Instrument
2.2 Language
2.3 General requirements
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 substantial beneficiary of the offering
5.14 Certificate of selling security holders
5.15 Certificate of operating company
5.16 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 Distribution period
8.2 Minimum amount of funds
PART 9 Requirements for Filing a Prospectus
9.1 Application and interpretation
9.2 Required documents for filing a preliminary long form prospectus
9.3 Required documents for filing a final long form prospectus
PART 10 Consents and Licences, Registrations and Approvals
10.1 Consents of experts
10.2 Licences, registrations and approvals
PART 11 Over-Allocation and Underwriters
11.1 Definitions
11.2 Over-allocation
11.3 Distribution of securities under a prospectus to an underwriter
11.4 Take-up by underwriter
PART 12 Restricted Securities
12.1 Application and definitions
12.2 Use of restricted security term
12.3 Prospectus filing restriction
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 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, Repeal, and Effective Date
20.1 Applicable rules
20.2 Repeal
20.3 Effective date
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