Part

Title

Part 1

Rescinded

Part 2

Application

2.1

Registration and Prospectus Requirements

2.2

Exemptions from Registration and Prospectus Requirements

2.3

Multi-Jurisdictional Trades and Distributions

2.4

Scope of Policy

Part 3

Statutory Exemptions - General

3.1

Responsibility for Compliance

3.2

Cease Trade Orders

3.3

Rescinded

3.4

Rescinded

3.5

Use of Multiple Exemptions

3.6

Baskets of Securities

3.7

Portfolio Manager and Others Purchasing as Principal

3.8

“Persons” Created Solely to Use Exemptions

3.9

Transfer of Securities into RRSP

3.10

Reliance on Registration Exemption

Part 4

Rescinded

Part 5

Rescinded

Part 6

Isolated Trade Exemption: Sections 45(2)(3) and 74(2)(2) of the Act

6.1

Statutory Framework

6.2

Inappropriate Use of the Isolated Trade Exemption

Part 7

Exempt Purchaser Exemption: Sections 45(2)(4) and 74(2)(3) of the Act

7.1

Statutory Framework

Part 8

$97,000 Exemption: Sections 45(2)(5) and 74(2)(4) of the Act

8.1

Statutory Framework

8.2

Rescinded

8.3

Rescinded

8.4

Type of Consideration

8.5

Where the Consideration Includes a Promise to Pay

Part 9

Asset and Resource Property Exemptions: Sections 45(2)(6), 45(2)(21), 74(2)(5) and 74(2)(18) of the Act

9.1

Statutory Framework

9.2

Fair Value

9.3

Direct and Indirect Acquisitions Under the Asset Exemption

9.4

Direct and Indirect Acquisitions Under the Resource Property Exemption

Part 10

Statutory Transaction Exemption: Sections 45(2)(9) and 74(2)(8) of the Act

10.1

Statutory Framework

10.2

Types of Transactions

10.3

Disclosure Record

Part 11

Employee and Management Company Exemptions: Sections 45(2)(10)

and 74(2)(9) of the Act and sections 89(f) and 128(g) of the Rules

11.1

Statutory Framework

11.2

Meaning of “Employee”

11.3

Management Services

Part 12

Take Over Bid and Issuer Bid Exemptions: Sections 45(2)(25), 45(2)(28), 74(2)(22) and 74(2)(25) through 74(2)(27) of the Act

12.1

Trades by a Holder

12.2

Trades by Offeror in Non-Exempt Bid

12.3

Trades by Offeror in Exempt Take Over Bid

12.4

Resale Rules

Part 13

Rescinded

Part 14

Rescinded

Part 15

Control Person Exemptions

15.1

Statutory Framework

15.2

Special Requirements for Control Persons

Part 16

Shares for Debt Exemption: Sections 89(c) and 128(e) of the Rules

16.1

Statutory Framework

16.2

Interpretation of “Genuine Debt”

16.3

Settlement of Debt

Part 17

Bonus or Finder’s Fee Exemption: Sections 89(e) and 128(f) of the Rules

17

Statutory Framework

Part 18

Rescinded

Part 19

Filing and Other Requirements

19.1

Filing of Required Forms

19.2

BC Form 45-903F

19.3

Offering Memorandum

19.4

BC Form 45-902F

Part 20

Resale Rules

20.1

Statutory Framework

20.2

Term of Hold Period

Part 21

Discretionary Orders

21.1

Types of Applications

21.2

Applications under Sections 48 and 76 of the Act

21.3

Applications in More than One Jurisdiction

21.4

Submission of Applications

21.5

Required Elements of the Application

21.5.1

Applications by or on Behalf of Issuers

21.5.2

Applications by Non-Issuers

21.5.3

All Applications

21.6

Conventions for Drafting Orders or Decisions

21.7

Filing Fees

21.8

Procedure For Processing Applications

21.9

Confidentiality ¹

¹ BC Policy 13-602 Confidentiality of Records supersedes section 21.9.