Securities Law & Instruments

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CSA Staff Notice 11-339
Notice of Local Changes in Alberta



November 1, 2018

From time to time, a local jurisdiction may amend a national or multilateral instrument or change a policy or companion policy that affects activity only in that jurisdiction. The CSA recognize that such a local amendment or change may nonetheless be of interest or importance beyond the local jurisdiction and CSA staff are issuing this notice to identify changes implemented in Alberta. For public convenience, CSA members in other jurisdictions will update the text of the applicable material on their websites to reflect these local changes.

The local changes referred to in this notice comprise those shown in Annex A of this notice from Alberta to:

• Companion Policy 45-102 Resale of Securities

The text of this policy consolidation on the websites of CSA members will be updated as necessary to reflect these local changes. For further background on Annex A, see ASC Notice of Repeal and Replacement of Alberta Securities Commission Rule 72-501 Distributions to Purchasers Outside Alberta dated August 10, 2018. You may direct questions regarding this notice to:

Samir Sabharwal
Sylvia Pateras
Alberta Securities Commission
Autorité des marchés financiers
Tel: 403-297-7389
Tel: 514-395-0337, ext. 2536
<<samir.sabharwal@asc.ca>>
<<sylvia.pateras@lautorite.qc.ca>>
 
Chris Besko
Simon Thompson
Manitoba Securities Commission
Ontario Securities Commission
Tel: 204-945-2561
Tel: 416-593-8261
<<chris.besko@gov.mb.ca>>
<<sthompson@osc.gov.on.ca>>
 
Alicia Love
Sonne Udemgba
Financial and Consumer Services Commission (New Brunswick)
Financial and Consumer Affairs Authority of Saskatchewan
Tel: 506-658-2648
Tel: 306-787-5879
<<alicia.love@fcnb.ca>>
<<sonne.udemgba@gov.sk.ca>>
 
Steven Dowling
H. Jane Anderson
Securities Division, Prince Edward Island
Nova Scotia Securities Commission
Tel: 902-368-4551
Tel: 902-424-0179
<<sddowling@gov.pe.ca>>
<<jane.anderson@novascotia.ca>>
 
Jeff Mason
Rhonda Horte
Office of Superintendent of Securities Nunavut
Office of Yukon Superintendent of Securities
Tel: 867-975-6591
Tel: 867-667-5466
<<JMason@gov.nu.ca>>
<<rhonda.horte@gov.yk.ca>>
 
Renée Dyer, Superintendent of Securities
Thomas Hall
Office of the Superintendent of Securities, Service NL
Department of Justice Government of the Northwest Territories
Tel: 709-729-4909
Tel: 867-767-9260 ext. 82180
<<reneedyer@gov.nl.ca>>
<<tom_hall@gov.nt.ca>>

 

ANNEX A

CHANGES TO COMPANION POLICY 45-102 RESALE OF SECURITIES

1. Companion Policy 45-102 Resale of Securities is changed by this Document.

2. Subsection 1.1(3) is changed by replacing the words "Alberta Securities Commission Blanket Order 45-519 Prospectus Exemptions for Resale Outside Canada" with the words "sections 10 and 11 of Alberta Securities Commission Rule 72-501 Distributions to Purchasers Outside Alberta".

3. These changes became effective on August 31, 2018.