Services aux collectivités

Office of the Superintendent of Securities

Blanket Orders

CURRENT BLANKET EXEMPTION ORDERS

SO2017-05 Relief from Certain Derivatives Reporting Requirements (96-501)
SO2017-03 Exemption from the mandatory clearing requirements in NI 94-101 Mandatory Central Counterparty Clearing of Derivatives for certain counterparites
SO2017-02 Exemption from Prescribed Form of Mutual Fund Audit Reports in National Instrument 81-102 Investment Funds
SO2017-01  Exemption from certain requirements to publicly disseminate data under MI 96-101 Trade Repositories and Derivatives Data Reporting
SO2016-08 Yukon Eligible Small Business Registration and Prospectus Exemption
SO2016-02 Exemptions from certain requirements in Form 45-106F1 Report of Exempt Distribution
SO2015-08 Exemptions for Certain Private Placements to Permitted Clients
SO2015-07 Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders 
SO2015-06 Exemption from certain CRM2 provisions of NI 31-103
SO2015-05 Exemption from the dealer and adviser registration requirement in respect of trades and advice for U.S. resident clients 
SO2015-04 Exemption from Certain Requirements of Securities Legislation for Issuers whose securities are listed on the Aequitas Neo Exchange Inc.
SO2014-12 Relief from certain CRM2 requirements prescribed by NI 31-103 for IIROC members
SO2014-11 Relief from certain CRM2 requirements prescribed by NI 31-103 for MFDA members
SO2010-13 Exemption from restriction on paying commissions and finder fees in offering memorandum exemption in NI45-106
SO2010-09 Registration Exemption for Trades in connection with certain Prospectus Exempt Distributions and Companion Policy (Northwest Exemption)


EXPIRED/REVOKED BLANKET EXEMPTION ORDERS

2016

SO2016-03  Relief from certain derivatives reporting requirements:  Expired Dec 15, 2017
SO2016-07 Exemption from derivatives reporting requirements in MI 96-101 for certain derivatives reported to certain data centers: Expired August 15, 2016


2015

SO2015-01 Exemption from the Registration Requirement in NI 31-103 for Trades in Short Term Debt Instruments: Expired July 11, 2015
SO2015-09 Exemption from certain requirements in part 6 of National Instrument 23-101 : Expired July 6, 2016
SO 2015-10 Exemption from certain requirements of NI 13-101 SEDAR: Expired May 24, 2016


2014

SO2014-01 Transitional exemption from complying with consequential amendments to NI 13-101, NI 31-102 and NI55-102 (until operations transferred from CDS to CGI): Expired Jan. 13, 2014                   
SO2014-05 Exemption from Prospectus Requirements for Certain Trades to Existing Security Holders: Revoked by SO2015-07, June 1, 2015
SO2014-19 Exemption from the Registration Requirement in NI31-103 for Trades in Short Term Debt Instruments: Revoked by SO2015-01, Jan. 8, 2015


2013

SO2013-09 Transitional Relief from Requirement to Provide Relationship Disclosure Information for IIROC Member Firms: Expired March 26, 2014
SO2013-10 Transitional Exemption from complying with consequential amendments until operations transfer from CDS to CGI:  Revoked by SO2014-10, Jan. 13, 2014


2012

SO2012-08 Transitional Relief from the Requirement to Register as an Investment Fund Manager: Expired Dec. 31, 2012
SO2012-09 Transitional Relief from the Requirement to Provide Dispute Resolution Services: Expired May 1, 2014
SO2012-11  Exemptions from Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets: Revoked by SO2015-08, Aug. 31, 2015
SO2012-12 Exemptions from certain financial statement requirements of form 45-106F2: Expired December 21, 2014


2011

SO2011-07 Revocation of Certain Superintendent's Orders: Effective May 18, 2011
SO2011-08 Revocation of Certain Registration Related Superintendent's Orders: Effective May 18, 2011
SO2011-11 Renewal of Superintendent's Order 2010-08 (Exemptions regarding Short-Term Debt): Expired March 31, 2014
SO2011-12 Transitional Relief from Requirement to Provide Relationship Disclosure Information for IIROC Member Firms: Expired December 31, 2013


2010

SO2010-02  Exemption from Certain Sections of NI 31-103 in Connection with Transition and Grandfathering Matters:  Revoked May 18, 2011 by SO 2011-08
SO2010-03 Exemption from Sections 3.6, 3.10 and 3.14 of NI 31-103 for Chief Compliance Officers of Portfolio Managers Adding a Category: Revoked May 18, 2011 by SO 2011-08
SO2010-04 Exemption from Sections 3.5 and 3.9 of NI 31-103 for Portfolio Managers Adding a Category: Revoked May 18, 2011 by SO 2011-08
SO2010-05 Exemption from Section 3.3 of NI 31-103 for Representatives of Scholarship Plan Dealers: Revoked May 18, 2011 by SO 2011-08
SO2010-06 Exemption from Section 14.5 of NI 31-103 for certain Canadian Firms: Revoked May 18, 2011 by SO 2011-08
SO2010-07 Exemption from Section 13.2(2)(b) of NI 31-103 for Mutual Fund Dealers: Revoked November 5, 2010 by SO 2010-20
SO2010-08 Exemption from the Registration Requirement in NI 31-103 for Trades in Short-term Debt Instruments: Expired September 28, 2011
SO2010-16 Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers: Revoked December 31, 2010 by SO 2010-23
SO2010-17 Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for MFDA member firms: Expired Sept. 28, 2011
SO2010-18 Transitional relief from the requirement to provide the relationship disclosure information prescribed by section 14.2(1) of NI 31-103 for IIROC member firms: Expired Sept. 28, 2011
SO2010-19

Relief from the requirement under section 13.2(2)(b) of NI 31-103 to establish whether a client is an insider: Revoked May 18, 2011 by SO 2011-08

SO2010-20

Relief from the requirement under subparagraph 13.2(3)(b)(i) of NI 31-103 for mutual fund and scholarship dealers:  Revoked May 18, 2011 by SO 2011-08

SO2010-23

Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers: Expired March 31, 2011


2008

SO2008-01 Specification of Required Forms, revoked May 18, 2011 by SO 2011-07
SO2008-07 Relief for Venture Issuers, MI 52-109, revoked May 18, 2011 by SO 2011-07
SO2008-08 Additional Specification of Required Forms, revoked May 18, 2011 by SO 2011-07
SO2008-09 Exemption for Dividend Reinvestment Plans, repealed May 18, 2011 by SO 2011-07

1999

RO1999-38 Yukon Small Business Investment Tax Credit Exemption (Registrar's Order)revoked Nov. 28, 2016 by SO 2016-08

SO2016-03 Relief from certain derivatives reporting requirements