54-101CP - Communications With Beneficial Owners of Securities of a Reporting Issuer [CP - Rescinded]
Published Date: | 2005-05-12 |
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Effective Date: | 2005-02-11 |
Rescinded Date: | 2013-02-11 |
Document(s): |
COMPANION POLICY 54-101CP
TO NATIONAL INSTRUMENT 54-101
COMMUNICATION WITH BENEFICIAL OWNERS
OF SECURITIES OF A REPORTING ISSUER
TABLE OF CONTENTS
PART | TITLE |
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PART 1 | BACKGROUND |
1.1 | History |
1.2 | Fundamental Principles |
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PART 2 | GENERAL |
2.1 | Application of Instrument |
2.2 | Application to Foreign Securityholders and U.S. Issuers |
2.3 | Interim Financial Statements |
2.4 | “Client” and “Intermediary” to be Distinguished From “Beneficial Owner” |
2.5 | Definition of “Corporate Law” |
2.6 | Fees |
2.7 | Agent |
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PART 3 | REPORTING ISSUERS |
3.1 | Timing for Notice of Meeting and Record Dates and Intermediary Searches |
3.2 | Adjournment or Change in Meeting |
3.3 | Request for Beneficial Ownership Information |
3.4 | Depository’s Index of Meetings |
3.5 | Voting Instructions |
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PART 4 | INTERMEDIARIES |
4.1 | Client Response Form |
4.2 | Separate Accounts |
4.3 | Reconciliation of Positions |
4.4 | Identification of Intermediary |
4.5 | Changes to Intermediary Master List |
4.6 | Incomplete or Late Deliveries |
4.7 | Other Obligations of Intermediaries |
4.8 | Instructions from Existing Clients |
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PART 5 | MEANS OF SENDING |
5.1 | General |
5.2 | Materials in Bulk for Sending to Beneficial Owners |
5.3 | Number of Sets of Materials |
5.4 | Electronic Communication |
5.5 | Multiple Deliveries to One Person or Company |
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PART 6 | USE OF NOBO LIST |
6.1 | Use of NOBO List |
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PART 7 | EXEMPTIONS |
7.1 | Materials Sent Less Than 21 Days Before Meeting |
7.2 | Delay of Audited Annual Financial Statements or Annual Report |
7.3 | Additional Costs if Time Limitations Shortened |
7.4 | Applications |
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PART 8 | APPENDIX A |
8.1 | Appendix A |