- OSC publishes paper on Responsive Market Regulation
- Request for Comment: Proposed Amendments to NI 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution
- Request for Comment: Proposed NI 93-101 Derivatives: Business Conduct
- Transcript: Roundtable on Proposed Business Conduct Rules for Derivatives Dealers and Advisers
- Staff’s review of social media used by reporting issuers
- Disclosure of cyber security risks and incidents
- CSA mutual fund risk classification methodology for use in fund facts and ETF facts
- Mandatory central counterparty clearing of derivatives and related companion policy
- CSA Notice of National Instrument 94-102 Derivatives
- CSA staff notice 54-305 meeting vote reconciliation protocols
- Backgrounder: 81-408 consultation on the option of discontinuing embedded commissions
- Amendments to OSC rule 13-502 fees and OSC rule 13-503 (Commodity Futures Act) fees
- Mandating a summary disclosure document for exchange-traded mutual funds and its delivery
- CSA staff notice 33-318 review of practices firms use to compensate and provide incentives to their representatives
- Amendments to NI 81-102 - Investment Funds
- Report on the review of investment entities and guide for disclosure improvements
- 23-317 Order Protection Rule: Market Share Threshold
Instruments, Rules & Policies
- NI 45-106 - Prospectus Exemptions
- OSC Rule 13-502 - Fees
- NI 31-103 - Registration Requirements, Exemptions and Ongoing Registrant Obligations
- NI 51-102 - Continuous Disclosure Obligations
- NI 81-102 81-102CP - Investment Funds
- MI 45-108 - Crowdfunding
- Take-Over Bids and Special Transactions
- NI 58-101 - Disclosure of Corporate Governance Practices
- NI 41-101 - General Prospectus Requirements
- NI 43-101 - Standards of Disclosure for Mineral Projects
- OSC Rule 45-501 - Ontario Prospectus and Registration Exemptions
- OSC Rule 91-507 - Trade Repositories and Derivatives Data Reporting
Forms
- Form 13-502F1: Class 1 and Class 3B Reporting Issuers – Participation Fee
- Form 13-502F4: Capital Markets Participation Fee Calculation
- Form 45-106F1: Report of Exempt Distribution
- Form 31-103F1: Calculation of Excess Working Capital
- Form 33-109F4: Registration of Individuals and Review of Permitted Individuals
Other Related Information
Reports and Publications
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