Department of Community Services

Office of the Superintendent of Securities

Consultation Materials

The consultation process is an important part of regulatory evolution. Both public and industry are encouraged to provide input into new or revised legislation. When the Office of the Yukon Superintendent of Securities or the CSA is of the opinion that new or revised regulation is required, the proposed new documents will typically be published for public comment.

Kindly be informed that the following new documents have been published in various Canadian jurisdictions for comment. Comments should be directed to the Office of the Superintendent of Securities by e-mailing securities@gov.yk.ca

CSA Instrument & Description of Proposal
of Proposal

Published
 

Comment Period
Ends

CSA Mulitlateral Notice of Aproval - Proposed MI 91-101 Derivatives:  Product Determination and MI 96-101 Trade Repositories and Derviatives Data Reporting, and Companion Policies January 22, 2016  n/a
CSA Notice and Request for Comment - Proposed NI 94-102 Derivatives:  Customer Clearing and Protection of Customer Collateral and Positions, and Related Companion Policy January 21, 2016 April 19, 2016
CSA Notice and Request for Comment - Proposed NI 94-101 Mandatory Central Counterparty Clearing of Derivatives  February 12, 2015  May 13, 2015

Notice and Request for Comment on Proposed Amendments to Certain National and Multilateral Instruments and Policies Related to the Recognition of Aequitas neo Exchange Inc.

 December 11, 2014  March 11, 2015

Notice and Request for comment on Proposed National Instrument 24-102 Clearing Agency Requirements and Related Companion Policy

 November 27, 2014  February 10, 2015

Notice and Request for comment on proposed National Policy 25-201 Guidance for Proxy Advisory Firms Extension

 April 24, 2014 Extended to: July 23, 2014

Multilateral CSA Notice Request for comment on Proposed Multilateral Instrrument 45-107 Listing Representation and Statutory Rights of Acton Disclosure Exemptions

 November 28, 2013  February 26, 2014

Mulilateral CSA Notice 45-312 and request for comment on Proposed Prospectus Exemption for Distributions to Existing Security Holders

 November 21, 2013  January 20, 2014

Notice and Request for comment on Proposed National Instrument 62-105 Security Holder Rights Plans, and Companion Policy

 March 14, 2013  Extended to: July 12, 2013

Notice and Request for Comment on Proposed amendments Facilitating CSA Information Technology Arrangements, NI 13-102 System Fees for SEDAR and NRD

 January 17, 2013  April 17, 2013

Request for Comment on Consultation Paper 21-401: Real-time Market Data Fees

 November 8, 2012  February 8, 2013

Request for Comment on Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers.

 October 25, 2012  February 22, 2013

Notice and Request for Comment on Republication of Proposed National Instrument 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers

September 13, 2012

December 12, 2012