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 <<firstname.lastname@example.org>> <<email@example.com>> Chris Besko Simon Thompson Manitoba Securities Commission Ontario Securities Commission Tel: 204-945-2561 Tel: 416-593-8261 <<firstname.lastname@example.org>> <<email@example.com>> 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 <<firstname.lastname@example.org>> <<email@example.com>> Steven Dowling H. Jane Anderson Securities Division, Prince Edward Island Nova Scotia Securities Commission Tel: 902-368-4551 Tel: 902-424-0179 <<firstname.lastname@example.org>> <<email@example.com>> 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>> <<firstname.lastname@example.org>> 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 <<email@example.com>> <<firstname.lastname@example.org>>
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.