Securities Law

45-106CP - Prospectus and Registration Exemptions [CP Advance Notice - Lapsed]

Published Date: 2005-07-08
Document(s):

Concurrently Published:

PART 1 -INTRODUCTION
1.1      Purpose
1.2
     Status in Yukon
1.3     
 All trades are subject to securities legislation
1.4     
 Multi-jurisdictional trades
1.5     
 Other exemptions
1.6     
 Discretionary relief
1.7     
 Advisers
1.8     
 Underwriters
1.9     
 Persons created to use exemptions (“syndication”)
1.10   
 Responsibility for compliance
1.11   
 Prohibited activities 

PART 2 -INTERPRETATION
2.1      Definitions
2.2     
 Executive officer (“policy making function”)
2.3     
 Directors, executive officers and officers of non-corporate issuers
2.4     
 Founder
2.5     
 Investment fund
2.6     
 Affiliate, control and related entity
2.7     
 Close personal friend
2.8     
 Close business associate

PART 3 - CAPITAL RAISING EXEMPTIONS
3.1      Soliciting purchasers
3.2     
 Soliciting purchasers - Newfoundland and Labrador and Ontario
3.3     
 Advertising
3.4     
 Restrictions on finder’s fees or commissions
3.5     
 Accredited investor
3.6     
 Private issuer
3.7     
 Family, friends and business associates
3.8     
 Offering memorandum
3.9     
 Minimum amount investment 

PART 4 - OTHER EXEMPTIONS
4.1      Employee, executive officer, director and consultant exemptions
4.2     
 Business combination and reorganization
4.3     
 Asset acquisition - character of assets to be acquired
4.4     
 Securities for debt - bonafide debt
4.5     
 Take-over bid and issuer bid
4.6     
 Isolated trade
4.7     
 Mortgages
4.8     
 Not for profit issuer
4.9     
 Exchange contracts 

PART 5 - FORMS
5.1      Report of Exempt Distribution
5.2     
 Forms required under the offering memorandum exemption
5.3     
 Real estate securities
5.4     
 Risk Acknowledgement Form Respecting Close Personal Friends and Close Business Associates - Saskatchewan 

PART 6 - RESALE OF SECURITIES ACQUIRED UNDER AN EXEMPTION
6.1      Resale restrictions