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Department of Community Services
Rules
Yukon Securities Office
National Policies
| National Policy 11-201 Delivery of Documents by Electronic Means In effect March 17, 2008 States the views of the CSA on how obligations imposed by securities legislation to deliver documents can be satisfied by electronic means. |
| National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions In effect March 17, 2008 As Amended Sept 28, 2009 Sets out the processes for the filing and review of prospectuses in multiple jurisdictions and includes interfaces for market participants in passport applications to gain access to the Ontario markets. |
| National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions In effect March 17, 2008 As amended Sept 28, 2009 Sets out the processes for the filing and review of exemptive relief applications in multiple jurisdictions and includes interfaces for market participants in passport applications to gain access to the Ontario markets. |
| National Policy 11-204 Process for Registration in Multiple Jurisdictions In effect Sept 28, 2009 Describes procedures for a firm or individual to register in more than one Canadian jurisdiction. |
| National Policy 12-202 Revocation of a Compliance-related Cease Trade Order In effect March 17, 2008. Amendment to National Policy (IFRS) Effective January 1, 2011 Outlines what issuers, security-holders or other parties must do to apply for a partial or full revocation of a compliance-related cease trade order. |
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National Policy 12-203 Cease Trade Orders for Continuous Disclosure Defaults |
| National Policy 31-201 – National Registration System In effect September 28, 2009 Provides guidance on registration requirements and related matters |
| Multilateral Policy 34-202 Registrants Acting as Corporate Directors In effect March 17, 2008 As amended September 28, 2009 Expresses the views of the CSA as to the potential for conflicts of interest arising if a registrant acts as a director of or advisor to a reporting issuer. |
| National Policy 41-201 Income Trusts and Other Indirect Offerings In effect March 17, 2008 Amendment (IFRS Transition) effective January 1, 2011 Provides guidance and clarification relating to requirements of NI 51-102 Continuous Disclosure Obligations with the primary focus on income trusts. |
| National Policy 46-201 Escrow for Initial Public Offerings In effect September 28, 2009 Form 46-201 F1 Escrow Agreement Describes the circumstances in which securities regulators will require an escrow of shares of a company on a initial public offering. Describes uniform terms of an escrow agreement to be used throughout Canada. |
| National Policy 47-201 Trading Securities Using the Internet and Other Electronic Means In effect March 17, 2008 States the views of the CSA on a number of matters relating to the use of the Internet and other electronic means of communication in connection with trades and distributions of securities. |
| National Policy 51-201 Disclosure Standards In effect March 17, 2008 Describes timely disclosure obligations for reporting issues and provides guidance on legislative prohibitions against selective disclosure. Also lists "best disclosure" practices and gives examples of types of information likely to be material. |
| National Policy 58-201 Corporate Governance Standards NP 58-201 Corporate Governance Practices In effect March 17, 2008 Provides guidance on corporate governance practices. NI 58-101 Disclosure of Corporate Governance Practices In effect March 17, 2008 Requires issuers to disclose the corporate governance practices that it has adopted. Also requires issuers to file any written code that they have adopted. |
| National Policy 62-202 Take-over Bids - Defensive Tactics In effect March 17, 2008 States the view of the CSA on take-over bid defensive tactics. Indicates that securities regulatory authorities will take appropriate action if they become aware of defensive tactics that are likely to deny or limit the ability of shareholders to respond to a take-over bid or competing bid. |
| National Policy 62-203 Take-Over Bids and Issuer Bids In Effect February 1, 2008 Contains explanations and discussions of Multilateral Instrument 62-104 Take-Over Bids and Issuer Bids, Part XX - Take-Over Bids and Issuer Bids of the Securities Act (Ontario) and Ontario Securities Commission Rule 62-504 Take-Over Bids and Issuer Bids. |
