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Securities Law

5 - Ongoing Requirements for Issuers & Insiders

Document
51-101 Standards of Disclosure for Oil and Gas Activities
51-102 Continuous Disclosure Obligations
51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
51-107 Disclosure of Climate-Related Matters
51-201 Disclosure Standards
51-309 Acceptance of Certain Foreign Professional Boards as a “Professional Organization”
51-310 CSA Multilateral Staff Notice - Report on Staff’s Continuous Disclosure Review of Income Trust Issuers
51-311 Frequently Asked Questions regarding National Instrument 51-102 Continuous Disclosure Obligations
51-312 Harmonized Continuous Disclosure Review Program
51-316 Continuous Disclosure Review of Smaller Issuers
51-319 Report on staff’s second continuous disclosure review of income trust issuers
51-320 Options Backdating
51-322 Reporting Issuer Defaults
51-323 XBRL filing program and request for volunteers
51-324 Glossary to NI 51-101 Standards of Disclosure for Oil and Gas Activities (Revised)
51-327 Guidance on Oil and Gas Disclosure
51-328 Continuous Disclosure Considerations Related to Current Economic Conditions
51-330 Guidance Regarding the Application of Forward-looking Information Requirements under National Instrument 51-102 Continuous Disclosure Obligations
51-331 Report on Staff’s Review of Executive Compensation Disclosure
51-333 Environmental Reporting Guidance
51-339 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2013
51-341 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2014
51-342 Staff Review of Issuers Entering Into Medical Marijuana Business Opportunities
51-343 Venture Issuers with Securities Listed on the Bolsa de Santiago, Venture Market
51-344 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2015
51-345 Disclosure of Abandonment and Reclamation Costs in National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities and Related Forms
51-346 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2016
51-347 Disclosure of cyber security risks and incidents
51-348 Staff’s Review of Social Media Used by Reporting Issuers
51-350 Extension of Consultation Period
51-351 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017
51-352 Issuers with U.S. Marijuana-Related Activities
51-353 Update on CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers
51-354 Report on Climate change-related Disclosure Project
51-355 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2018 and March 31, 2017
51-356 Problematic promotional activities by issuers
51-357 Staff Review of Reporting Issuers in the Cannabis Industry
51-358 Reporting of Climate Change-related Risks
51-359 Corporate Governance Related Disclosure Expectations for Reporting Issuers in the Cannabis Industry
51-361 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2020 and March 31, 2019
51-363 Observations on Disclosure by Crypto Assets Reporting Issuers
51-364 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2022 and March 31, 2021
51-365 CSA Staff Notice 51-365 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2024 and March 31, 2023
51-512 Certain Private Placements
51-513 Venture issuers traded on the Santiago Stock Exchange, Venture Market
51-514 Exemption from the requirement to send financial statements and related disclosure to securityholders during a disruption in postal service
51-519 Promotional Activity Disclosure Requirements
51-703 "Clear and Conspicuous” Disclosure of Investor Relations Activities under Section 52(2) of the Securities Act, RSBC 1996, c. 418
51-930 CSA Coordinated Blanket Order 51-930 Exemption From the Director Election Form of Proxy Requirement
52-107 Acceptable Accounting Principles and Auditing Standards
52-108 Auditor Oversight
52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings
52-110 Audit Committees
52-112 Non-GAAP and Other Financial Measures Disclosure
52-304 Application of National Policy Statement 31 Change of Auditor of a Reporting Issuer and National Instrument 81-102 Mutual Funds when a reporting issuer appoints a new auditor as a result of Arthur Andersen LLP - Canada ceasing to practise public accounting
52-306 Non-GAAP Financial Measures (Revised)
52-315 Certification Compliance Review
52-320 Disclosure of Expected Changes in Accounting Policies Relating to Changeover to International Financial Reporting Standards
52-321 Early adoption of International Financial Reporting Standards, use of US GAAP and reference to IFRS-IASB
52-323 Coming into Force of National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings and Consequential Policy Amendments
52-324 Issues relating to changeover to International Financial Reporting Standards
52-325 Certification Compliance Review
52-326 IFRS Transition Disclosure Review
52-327 Certification Compliance Update
52-328 Disclosure about Accounting Policies in the Year of Changeover to International Financial Reporting Standards
52-329 Distribution Disclosures and Non-GAAP Financial Measures in the Real Estate Industry
52-330 Update on CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence
52-404 Approach to Director and Audit Committee Member Independence
52-512 Exemptions from National Instrument 52-110 Audit Committees
52-513 Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure
54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer
54-302 Update on CSA Consultation Paper 54-401 Review of the Proxy Voting Infrastructure
54-305 Meeting Vote Reconciliation Protocols
54-401 Review of the Proxy Voting Infrastructure
55-102 System for Electronic Disclosure by Insiders (SEDI)
55-104 Insider Reporting Requirements and Exemptions
55-312 Insider Reporting Guidelines for Certain Derivative Transactions (Equity Monetization) (REVISED)
55-315 Frequently Asked Questions about National Instrument 55-104 Insider Reporting Requirements and Exemptions
55-316 Questions and answers on Insider Reporting and the System for Electronic Disclosure by Insiders (SEDI)
55-317 Automatic Securities Disposition Plans
57-501 Partial Variation for Cease Trade Orders of Certain Issuers
57-502 Partial variation of certain cease trade orders issued under section 164 to permit sales to investment dealers
57-503 Partial variation of certain cease trade orders issued under section 161(1)(b) to permit sales to investment dealers
58-101 Disclosure of Corporate Governance Practices
58-201 Corporate Governance Guidelines
58-303 Corporate Governance Disclosure Compliance Review
58-305 Status Report on the Proposed Changes to the Corporate Governance Regime
58-306 2010 Corporate Governance Disclosure Compliance Review
58-315 Proposed Amendments to Form 58-101F1 Corporate Governance Disclosure of National Instrument 58-101 Disclosure of Corporate Governance Practices and Proposed Changes to National Policy 58-201 Corporate Governance Guidelines
58-501 Disclosure of Corporate Governance Practices
Document
51-101 Standards of Disclosure for Oil and Gas Activities
51-102 Continuous Disclosure Obligations
51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers
51-104 Disclosure of Corporate Governance Practices
51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
51-106 Continuous Disclosure Requirements for Securitized Products
51-107 Acceptable Accounting Principles and Auditing Standards
51-201 Disclosure Standards
51-301 Conversion of Corporate Issuers to Trusts
51-302 The Year 2000 Challenge Disclosure Issues
51-303 CSA Follow-up of Inadequate Year 2000 Disclosure
51-304 Report on Staff’s Review of Executive Compensation Disclosure
51-305 Canadian Capital Markets Association - Corporate Actions and Other Entitlements White Paper- October 2002
51-306 Status of Proposed Continuous Disclosure Rule
51-307 Status of Proposed Continuous Disclosure Rule
51-308 Filing of Management’s Discussion and Analysis and National Instrument 51-102 Continuous Disclosure Obligations
51-309 Acceptance of Certain Foreign Professional Boards as a “Professional Organization”
51-311 Frequently asked questions regarding National Instrument 51-102 Continuous Disclosure Obligations
51-312 Harmonized Continuous Disclosure Review Program
51-313 Frequently Asked Questions National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities
51-315 Guidance Regarding the Determination of Constant Prices for Bitumen Reserves under National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities
51-317 National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities Application of Canadian Oil and Gas Evaluation Handbook
51-321 Questions and answers concerning resources and possible reserves
51-324 Glossary to NI 51-101 Standards of Disclosure for Oil and Gas Activities
51-325 Status of Proposed Repeal and Substitution of Form 51-102F6 Statement of Executive Compensation
51-326 Continuous Disclosure Review Program Activities for Fiscal 2008
51-327 Oil and Gas Disclosure: Resources Other Than Reserves Data
51-329 Continuous disclosure review program activities for the fiscal year ended March 31, 2009
51-332 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2010
51-334 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2011
51-337 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2012
51-340 Update on proposed National Instrument 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers
51-352 Issuers with U.S. Marijuana-Related Activities
51-360 Frequently asked questions regarding filing extension relief granted by way of a blanket order in response to COVID-19 (Updated)
51-362 Staff Review of COVID-19 Disclosures and Guide for Disclosure Improvements
51-401 Notice and Request for Comment - Concept Proposal for an Integrated Disclosure System
51-402 Request for Comment - Illegal Insider Trading in Canada: Recommendations on Prevention, Detection and Deterrence Report
51-403 Tailoring Venture Issuer Regulation
51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers
51-405 Consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers
51-501 BC Transitional Orders Relating to Former Alberta and Vancouver Stock Exchange Issuers
51-502 Transitional Orders Relating To Former Alberta Stock Exchange Issuers
51-503 Transitional Orders Relating To Former CDN Quoted Issuers And Former TSE Issuers
51-504 Transitional Exemptions Relating To WSE Issuers
51-505 Transitional exemptions for Bourse de Montréal issuers
51-506 Exemption for Reporting Issuers from the Requirement to File Report
51-507 Venture issuers traded on certain foreign markets
51-508 Exemption for interim periods in non-standard financial years
51-509 Issuers Quoted in the U.S. Over-the-Counter Markets
51-510 Exemption from the requirement to send financial statements and related disclosure to securityholders during a disruption in postal service
51-511 Exemptions from Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets
51-514 Exemption from the requirement to send financial statements and related disclosure to securityholders during a disruption in postal service
51-515 Temporary Exemption from Certain Corporate Finance Requirements
51-516 Temporary Exemptions from Certain Requirements to File or Send Securityholder Materials
51-517 Temporary Exemption from Certain Corporate Finance Requirements with Deadlines during the Period from June 2 to August 31, 2020
51-518 Temporary Exemption from Certain Business Acquisition Report Requirements
51-701 Continuous Disclosure Review Program - April 2000 Staff Report (Previously NIN 2000/15)
51-702 Continuous Disclosure Update No. 1
51-801 Implementing National Instrument 51-102 Continuous Disclosure Obligations and National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency
51-901 Quarterly And Year End Report
51-902 Personal Information for Directors, Officers, Promoters & Control Persons
51-903 Annual Filing of Reporting Issuer
51-904 Statement Of Executive Compensation
51-905 Prospectus / Annual Information Form
51-906 Notice of Change of Status
51-907 Notice of Change in Year-End
52-101 Future-Oriented Financial Information
52-102 Use of Currencies
52-103 Change of Auditor
52-107 Acceptable Accounting Principles and Auditing Standards
52-108 Auditor Oversight
52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings
52-110 Audit Committees
52-112 Non-GAAP and Other Financial Measures Disclosure
52-302 Dual Reporting of Financial Information
52-303 Non-GAAP Earnings Measures
52-304 Application of National Policy Statement 31 Change of Auditor of a Reporting Issuer and National Instrument 81-102 Mutual Funds when a reporting issuer appoints a new auditor as a result of Arthur Andersen LLP - Canada ceasing to practise public accounting
52-305 Optional Use of US GAAP and US GAAS by SEC Issuers
52-306 Non-GAAP Financial Measures and Additional GAAP Measures
52-307 Auditor Oversight and Financial Statements accompanied by an Audit Report dated on or after March 30, 2004
52-308 Status of Proposed Instrument regarding Reporting on Internal Control over Financial Reporting
52-310 Regarding Proposed Timing of Proposed Multilateral Instrument 52-111 and Companion Policy 52-111CP Reporting on Internal Control Over Financial Reporting
52-311 Regarding the Required Forms of Certificates under Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings
52-313 Status of Proposed Multilateral Instrument 52-111 Reporting on Internal Control over Financial Reporting and Proposed Amended and Restated Multilateral Instrument 52-109
52-314 Securities Regulators Want Your Feedback on XBRL
52-316 Certification of Design of Internal Control over Financial Reporting
52-317 Timing of Proposed National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings
52-319 Status of Proposed Repeal and Replacement of Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings
52-322 Status of Proposed Repeal and Replacement of Multilateral Instrument 52-109 Certification of Disclosure In Issuers’ Annual and Interim Filings
52-401 Canadian Securities Administrators Discussion Paper - Financial Reporting In Canada’s Capital Markets
52-402 Possible changes to securities rules relating to International Financial Reporting Standards
52-403 Auditor Oversight Issues in Foreign Jurisdictions
52-501 Consent - Use of Foreign GAAP in Continuous Disclosure Filings by Issuers Using OSC Prospectus Rule
52-502 Exemption From Audit Committee Review And Directors Approval Of Interim Financial Statements
52-503 Continuing Relief for Financial Statements of Certain Foreign Issuers
52-504 Directors’ Review of Interim Financial Statements
52-505 Exemption from the Requirement to Send Interim Financial Statements and Quarterly Reports to Security Holders of a Reporting Issuer
52-506 Exemption for Finance Issuers from the Requirement to File Report
52-507 Audit Committee Review of Interim Financial Statements of Exchange Issuers
52-508 US GAAP and US GAAS for SEC Issuers
52-509 Audit Committees
52-510 Transitional Variation of and Exemption from Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filing
52-511 Relief for OTC Reporting Issuers From Certain Certification Requirements
52-51X Transitional Variation of Multilateral Instrument 52-110 Audit Committees
52-701 Accounting for Business Combinations and Corporate Reorganizations
52-702 Use of Non-U.S. Foreign Accounting Principles and Non-U.S. Foreign Auditing Standards
52-703 Use of Currencies used in Material filed with Securities Regulatory Authorities
52-801 Implementing National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency
52-901 Management’s Discussion & Analysis
53-301 The Toronto Stock Exchange Committee on Corporate Disclosure - Final Report CSA Task Force on Civil Remedies
53-302 Proposal for a Statutory Civil Remedy for Investors in the Secondary Market and Response to the Proposed Change to the Definitions of "Material Fact" and "Material Change"
53-501 Relief respecting the requirement to send financial statements and quarterly reports to securityholders
53-502 Relief from concurrent delivery of financial statements and quarterly reports
53-901 Material change report under section 85 (1) of the Act
54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer
54-102 Interim Financial Statement and Report Exemption
54-303 Progress Report on Review of the Proxy Voting Infrastructure
54-304 Final Report on Review of the Proxy Voting Infrastructure and Request for Comments on Proposed Meeting Vote Reconciliation Protocols
54-501 Exemptions to Part 3.3 of National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer
54-701 National Policy Statement 41 Shareholder Communication - Removal of Exemption
54-901 Information Circular
54-902 Information Circular
55-101 Insider Reporting Exemptions
55-102 System for Electronic Disclosure by Insiders (SEDI)
55-104 Insider Reporting Requirements and Exemptions
55-301 Filing Insider Reports By Facsimile and Exemption Where Minimal Connection to Jurisdiction
55-302 National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI) Implementation Date Postponed
55-303 System for Electronic Disclosure by Insiders (SEDI) National Instrument 55-102
55-304 System For Electronic Disclosure By Insiders (Sedi) National Instrument 55-102
55-305 System For Electronic Disclosure By Insiders (SEDI) National Instrument 55-102
55-306 Applications for Relief from the Insider Reporting Requirements by certain Vice-Presidents
55-307 Reminder to file paper insider reports using the correct codes
55-308 Questions on Insider Reporting
55-309 Launch of the System for Electronic Disclosure by Insiders (SEDI) and Other Insider Reporting Matters
55-310 Questions and Answers on The System for Electronic Disclosure by Insiders (SEDI)
55-311 System for Electronic Disclosure by Insiders (SEDI) - Issuer Profile Supplement Filing Requirement
55-312 Insider Reporting Guidelines for Certain Derivative Transactions (Equity Monetization)
55-314 Use of the terms “senior officer”, “officer” and “insider” in National Instrument 55-101 Insider Reporting Exemptions
55-501 Filing Insider Reports By Facsimile
55-502 Extension of Filing and Reporting Deadlines for the System for Electronic Disclosure by Insiders (SEDI)
55-503 Interim Requirements during the Suspension of the System for Electronic Disclosure by Insiders (SEDI)
55-504 Exemption from Insider Reporting Requirements for Certain Officers
55-505 Interim Requirements during the Launch of the System for Electronic Disclosure by Insiders (SEDI)
55-506 Exemption from insider reporting requirements for certain derivative transactions
55-901 Insider Report
57-301 Failing to File Financial Statements on Time -- Management Cease Trade Orders
58-101 Disclosure of Corporate Governance Practices
58-201 Corporate Governance Guidelines
58-302 Implementation of Corporate Governance Policy and Related Disclosure Instrument
58-304 Review of National Instrument 58-101 Disclosure of Corporate Governance Practices and National Policy 58-201 Corporate Governance Guidelines
58-50X Exemption from National Instrument 58-101 Disclosure of Corporate Governance Practices