43-201 - Mutual Reliance Review System For Prospectuses [NP Proposed Amendment - Lapsed]
| Published Date: | 2006-12-22 |
|---|---|
| Document(s): |
Concurrently Published:
1.1 National Policy 43-201 Mutual Reliance Review System for Prospectuses is amended by this Instrument.
1.2 Section 2.1 is amended by
(a) adding the following definition after "MI 11-101":
"NI 41-101" means National Instrument 41-101, General Prospectus Requirements;
(b) repealing "OSC 41-501";
(c) repealing "Q-28".
1.3 Item 1. in Section 7.4 is repealed.
1.4 Section 7.5 is amended by striking out ",other than subsection 7.4(1)".
1.5 Subsections 10.1(2) and (3) are repealed.
1.6 Section 10.9 is repealed and the following is substituted:
10.9 Other requirements - Filers are reminded that the securities legislation and securities directions of certain jurisdictions provide that a distribution or additional distribution must not proceed until a receipt for a prospectus amendment is issued.
1.7 Appendix A is amended
(a) by repealing the final paragraph under item 4 and substituting the following:
If a distribution is made under NI 41-101 or NI 44-101, a completed authorization form in the form of Appendix A to NI 41-101 Personal Information Form and Authorization of Indirect Collection, Use and Disclosure of Personal Information must be delivered.
(b) by repealing "PRELIMINARY OR PRO FORMA LONG FORM PROSPECTUS" and substituting the following:
PRELIMINARY OR PRO FORMA LONG FORM PROSPECTUS
An issuer that files a preliminary long form prospectus or a pro forma long form prospectus pursuant to NI 41-101 must file and/or deliver the documents required to be filed and/or delivered as set out in section 9.2 of NI 41-101, along with
1. Filing fees; and
2. A letter to the principal regulator prepared in accordance with section 7.2.2 of this Policy.
(c) by repealing "FINAL LONG FORM PROSPECTUS" and substituting the following:
FINAL LONG FROM PROSPECTUS
An issuer that files a final long form prospectus pursuant to NI 41-101 must file and/or deliver the documents required to be filed and/or delivered as set out in section 9.3 of NI 41-101, along with
1. Filing fees and other applicable fees including participation fees; and
2. A letter to the principal regulator prepared in accordance with section 7.4.4 of this Policy.
(d) by repealing "AMENDMENTS TO PRELIMINARY PROSPECTUS AND PROSPECTUS (SHORT FORM AND LONG FORM)" and substituting the following:
AMENDMENTS TO PRELIMINARY PROSPECTUS AND PROSPECTUS (SHORT FORM AND LONG FORM)"
An issuer that files an amendment pursuant to NI 41-101 shall file and/or deliver the documents required to be filed and/or delivered as set out in sections 6.2 and 6.3 of NI 41-101, along with
1. Filing fees;
2. A letter prepared in accordance with section 10.1(2) of this Policy, if applicable; and
3. A letter to the principal regulator
(a) for a preliminary prospectus amendment, prepared in accordance with section 10.2.2 of this Policy; or
(b) for a prospectus amendment, prepared in accordance with section 10.6.4 of this Policy.