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Office of the Superintendent of Securities

33-105 Underwriting Conflicts [NI]

National Instrument

National Instrument 33-105 Underwriting Conflicts

History: In effect from March 17, 2008

Status: As Amended September 8, 2015

Description: Imposes requirements on distributions where the relationship between the selling security holder and the registrant acting as underwriter raises the possibility of a conflict between its own interests or those of the selling secuirity holder, and those of investors.

Documents related to NI 33-105

Amendment to NI 33-105, effective September 8, 2015

Amendment to NI 33-105, effective May 5, 2015

Companion Policy 33-105CP,  September 28, 2009

CSA Notices

Notice of amendments to NI 33-105, June 25, 2015