Department of Community Services

Rules

Yukon Securities Office

CSA Notices

The Canadian Securities Administrators publish Notices to keep market participants informed of new developments in securities regulation. Certain notices also give guidance on CSA staff interpretation of certain instruments, as well as providing frameworks for approaching certain applications.

CSA Notice	Description	Effective Date
11-312	National Numbering System Sets out the system for numbering securities regulatory instruments.	Feb 19, 2010
11-314	Update of CSA Instruments From time to time, a local jurisdiction may amend a national or multilateral instrument to reflect changes that affect activity only in that particular local jurisdiction. Such local amendments may nonetheless be of interest or importance beyond the local jurisdiction. Annex A to this notice sets out a number of changes that have already been made locally to the indicated instruments.	May 6, 2011
12-307	Application for a Decision that an Issuer is not a Reporting Issuer Sets out a revised procedure for applications to cease to be a reporting issuer	Mar 17, 2008
13-315	Securities Regulatory Authority Closed Dates Sets out the list of closed dates of the securities regulatory authorities for 2011.	Feb 21, 2011
13-317	Amendment to SEDAR Filer Manual Gives notice of an updated SEDAR Filer Manual	Dec 13, 2010
24-305	Frequently Asked Question Regarding National Instrument 24-101 To assist market participants in complying with National Instrument 24-101 - Institutional Trade Matching and Settlement (NI 24-101 or the Instrument), we have compiled some frequently asked questions (FAQs) with our responses. This list of FAQs is not exhaustive, but includes issues and questions raised by stakeholders.	May 6, 2011
24-306	Exception Reporting Under NI 24-101 Institutional Trade Matching Sets out information on how to make exception reports under NI 24-101	Feb 8, 2008
31-313	Frequently Asked Questions Concerning Registration under NI 31-103 NI 31-103 Registration Requirements and Exemptions and Related Instruments Frequently Asked Questions	Dec 18, 2009
31-314	Frequently Asked Questions Concerning Registration under NI 31-103 Further FAQ concerning NI 31-103 Registration Requirements and Exemptions and Related Instruments.	Feb 5, 2010
31-315	Omnibus/Blanket orders Concerning Exemptions from NI 31-13 Registration Omnibus / blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements and Exemptions	Feb 25, 2010
31-317	Reporting Obligations Related to Terrorist Financing Provides registrants with information on the new consolidated reporting form that will be used by each principal regulator, provides information regarding the submission of monthly reports and advises registrants, exempt dealers and exempt advisers that the report may be filed with the principal regulator by e-mail, and provides summary information on the laws which impose the monthly reporting requirements on registrants. Update July 20, 2010: Monthly Suppression of Terrorism and UN Sanctions Report	April 16, 2010 Revised: July 30, 2010
31-318	Blanket Order Exempting mortgage Investment Entities from Certain Registration Gives notice that CSA members have issued orders exempting mortgage investment entities from the requirement to register as investment fund managers and advisers until December 31, 2010 while the CSA reviews the registration requirements that apply to them.	Aug 20, 2010
31-319	Further Blanket Orders Exempting Registrants from Certain Registration	Sept 10, 2010
31-321	Further Blanket Orders Exempting Registrants from Certain Registration	Dec 3, 2010
31-323 31-325 31-327 31-328 31-329	Guidance Related to Registration Obligatons of Mortgage Investment Entities Clarifies the registration requirements that apply to mortgage investment entities under National Instrument 31-103 Marketing Practices of Portfolio Managers This notice summarizes our findings from the review and provides guidance to portfolio managers on suggested practices in the preparation, review and use of marketing materials. Broker-Dealer Registration in the Exempt Market Dealer Category This notice outlines our concerns and our interim response to this problem and to advise that we will be examining these activites in a wider consulation and review process. Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of NI 31-103 NI 31-103 provides equivalent or broader relief to that provided for in the orders, subject to minor difference in the case of the order referred to in item 8. Omnibus/Blanket Orders Exempting Registrants from Certain Provisions in Respect of National Instrument 31-103 This notice summarizes the orders and related staff positions.	Feb 25, 2011 July 5, 2011 Sept 2, 2011 Sept 16, 2011 Sept 28. 2011
33-315	Suitability Obligations and Know Your Product Reminds registrants of their duty under securities law to satisfy their suitability obligations to clients, and provides guidance on how to do that.	Sept 2,2009
45-307	Regulatory Developments Regarding Securitization Provides an update from Canadian Securities Administrator's staff on the development of regulatory proposals relating to securitized products, including asset-backed commercial paper and asset-backed securities.	June 18, 2010
51-309	NI 51-101 Disclosure for Oil and Gas Activities - Acceptance of Certain Foreign Professional Boards as a "Professional Organization" Gives notice that the CSA have added the listed professional boards in the United States to the list of professional organizations for the purposes of NI 51-101.	Mar 17, 2008
51-324	Glossary to NI 51-101 Disclosure for Oil and Gas Activities Explains the terminology used in National Instrument 51-101and its related documents.	Dec 30, 2010
51-327	Oil and Gas Disclosure - Resources Other than Reserves Data Provides guidance on recurring issues that CSA staff has found in reviewing reporting issuers' disclosure of resources other than reserves data.	Dec 30, 2010
51-328	Continuous Disclosure Considerations Related to Current Economic Conditions Gives notice of specific areas that issuers should note for disclosure to help investors understand the risks and circumstances facing issuers in the current unusual economic conditions.	Jan 8, 2009
51-330	Guidance Regarding the Application of Forward-looking Information Requirements	Nov 20,2009 Oct 27, 2011
51-333 51-336	Environmental Reporting Guidance CSA Multilateral Staff Notice This notice sets out the views of staff (staff or we) of the participating CSA Jurisdictions (Alberta, Ontario, Quebec, Nova Scotia, New Brunswick and Northwest Territories, collectively, the "Jurisdictions") with respect to companies (issuers) using television advertising in an apparent effort to promote interest in an issuer's securities.	Sept 13, 2011
55-312	Insider Reporting Guidelines for Certain Derivative Transactions Provides guidance to insiders on reporting of derivative-based transactions which are commonly referred to as "equity monetization" transactions.	June 11, 201
55-316	FAQ on Insider Reporting and SEDI Provides guidance to reporting insiders in relation to the reporting of certain derivative-based transactions, including transactions that are commonly referred to as "equity monetization" transactions.	July 11, 2010
62-305	Varying the Terms of Take-over Bids Sets out the view of the CSA staff regarding the ability of an offerer in a formal take-over bid to vary the terms of a bid in a manner that makes the bid less favourable to offeree security holders.	Dec 18, 2009
81-319	Status Report on POS implementation For Mutual Funds Outlines the CSA's plan to proceed with a staged implementation of point of sale delivery for mutual fund disclosure.	June 16, 2010
81-320	Update on International Reporting Standards for Investment Funds Updates investment funds and their advisers on the adoption of International Financial Reporting Standards by investment funds in Canada	Mar 23, 2010
81-321	Early Use of Fund Facts to Satisfy Prospectus Delivery Requirements Provides guidance on key terms and conditions that the CSA will look for when considering applications for exemptive relief to allow the early use of the Funds Facts to satisfy prospectus delivery requirements.	Feb 23, 2011
81-322	Status Report on the Implementation of the Modernization of Investment Fund Product Regulation Project Staff Notice 81-322 provides an update on the implementation of the Canadian Securities Administrators’ (CSA) project to modernize the product regulation of publicly offered investment funds (the Modernization Project). The CSA also seeks feedback from investors and industry stakeholders on the CSA’s proposal to focus next on developing an operational rule for non-redeemable investment funds, as part of a staged approach to proceeding with the Modernization Project.	May 26, 2011
91-904	OTC Derivatives Regulation in Canada Seeks input from the financial industry and the public on the CSA’s proposals for the regulation of OTC derivatives in Canada	Nov 1, 2010