Securities Law

62-103 - The Early Warning System and Related Take-Over Bid and Insider Reporting Issues [NI - Rescinded]

Published Date: 2010-04-30
Effective Date: 2010-04-30
Rescinded Date: 2014-09-22
Document(s):

Concurrently Published:

Table of Contents

 

PART TITLE 
PART 1DEFINITIONS AND INTERPRETATION
1.1 Definitions
1.2 Deemed Effective Control
PART 2GENERAL RELIANCE AND REPORTING PROVISIONS
2.1 Reliance on Reported Outstanding Shares
2.2 Copies of News Release and Report
2.3 No Duplication of News Releases or Reports
PART 3EARLY WARNING REQUIREMENTS
3.1 Contents of News Releases and Reports
3.2 Filing Relief for Joint Actors
3.3 Exemption from Early Warning Requirements for Mutual Fund Securities
PART 4ALTERNATIVE MONTHLY REPORTING SYSTEM
4.1 Exemption from the Early Warning Requirements
4.2 Disqualification
4.3 Reporting and Filing Requirements
4.4 Restrictions on Acquisitions
4.5 Filing Obligations under this Part
4.6 Change Reports
4.7 Contents of Reports
4.8 Exemptions
PART 5AGGREGATION RELIEF
5.1 Separate Business Units
5.2 Securities Held by an Investment Fund
5.3 Reporting and Record Keeping
5.4 No Requirement to Satisfy Insider Reporting Requirement
PART 6ISSUER ACTIONS
6.1 Issuer Actions
PART 7UNDERWRITING EXEMPTION
7.1 Underwriting Exemption
PART 8RELIEF FOR PLEDGEES
8.1 Relief for Pledgees
8.2 Further Relief for de minimis Pledgees
8.3 Corresponding Insider Reporting Relief
PART 9INSIDER REPORTING EXEMPTION; EARLY WARNING DECREASE REPORTS
9.1 Insider Reporting Exemption; Early Warning Decrease Reports
PART 10MORATORIUM RELIEF
10.1 Moratorium Relief
PART 11EXEMPTIONS
11.1 Exemptions
PART 12EFFECTIVE DATE
12.1 Effective Date
APPENDIX ACONTROL BLOCK DISTRIBUTION
DEFINITION
APPENDIX B[REPEALED]
APPENDIX C[REPEALED]
APPENDIX DSECURITY OWNERSHIP AND CONTROL
PROVISIONS
APPENDIX EREQUIRED DISCLOSURE IN NEWS RELEASE FILED UNDER EARLY WARNING REQUIREMENTS
APPENDIX FREQUIRED DISCLOSURE IN NEWS RELEASE AND REPORT FILED BY AN ELIGIBLE INSTITUTIONAL INVESTOR UNDER SECTION 4.3
APPENDIX GREQUIRED DISCLOSURE IN REPORT FILED BY AN ELIGIBLE INSTITUTIONAL INVESTOR UNDER PART 4