Securities Law & Instruments

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OSC STAFF NOTICE 11-739 (REVISED)

POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS

 

The following revisions have been made to the Table of Concordance and List of New Instruments. A full version of the Table of Concordance and List of New Instruments as of March 31, 2019 has been posted to the OSC Website at www.osc.gov.on.ca.

Table of Concordance

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Item Key

The third digit of each instrument represents the following: 1-National/Multilateral Instrument; 2-National/Multilateral Policy; 3-CSA Notice; 4-CSA Concept Release; 5-Local Rule; 6-Local Policy; 7-Local Notice; 8-Implementing Instrument; 9-Miscellaneous

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Reformulation

Instrument

Title

Status

11-742

Securities Advisory Committee

Published January 10, 2019

23-324

Order Protection Rule: Market Share Threshold for the period April 1, 2019 to March 31, 2020

Published January 31, 2019

45-325

Filing Requirement and Fee Payable for Exempt Distributions involving Fully Managed Accounts

Published February 7, 2019

11-739

Policy Reformulation Table of Concordance and List of New Instruments

Published February 14, 2019

45-324

Update on the Start-up Crowdfunding Registration and Prospectus Exemptions

Published February 21, 2019

11-341

Withdrawal of Staff Notices

Published March 7, 2019

11-319

Extension of Consultation Period -- Consultation Paper 25-401 Potential Regulation of Proxy Advisory Forms

Withdrawn March 7, 2019

11-322

Extension of Consultation Period -- Proposed Amendments to Multilateral Instrument 62-104 Take-Over Bids and Issuer Bids and National Instrument 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues

Withdrawn March 7, 2019

11-327

Extension of Consultation Period -- Proposed National Policy 25-201 Guidance for Proxy Advisory Firms

Withdrawn March 7, 2019

21-306

Request for Filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors

Withdrawn March 7, 2019

23-301

Electronic Audit Trails

Withdrawn March 7, 2019

23-302

Electronic Audit Trail Initiative (TREATS)

Withdrawn March 7, 2019

23-304

Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)

Withdrawn March 7, 2019

23-306

Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)

Withdrawn March 7, 2019

31-339

Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Withdrawn March 7, 2019

31-341

Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Withdrawn March 7, 2019

33-305

Sale of Insurance Products by Dually Employed Salespersons

Withdrawn March 7, 2019

45-311

Exemptions from Certain Financial Statement-Related Requirements in the Offering Memorandum Exemption to Facilitate Access to Capital by Small Business

Withdrawn March 7, 2019

45-320

Exemptions for Certain Foreign Issuers from the Requirement to Identify Purchasers as Registrants or Insiders in Reports of Exempt Distribution

Withdrawn March 7, 2019

81-320

Update on International Financial Reporting Standards for Investment Funds

Withdrawn March 7, 2019

81-325

Status Report on Consultation under CSA Notice 81-324 and Request for Comment on Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts

Withdrawn March 7, 2019

81-326

Update on an Alternative Funds Framework for Investment Funds

Withdrawn March 7, 2019

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Custody Related Amendments

Commission Approval/Delivery to Minister published March 14, 2019

25-102

Designated Benchmarks and Benchmark Administrators

Published for comment March 14, 2019

25-501

Designated Benchmarks and Benchmark Administrators (Commodity Futures Act)

Published for comment March 14, 2019

21-402

Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms

Published for comment March 14, 2019

21-325

Follow-up on Marketplace Systems Incidents

Published March 21, 2019

21-326

Guidance for Reporting Material Systems Incidents

Published March 21, 2019

23-406

Joint CSA/IIROC Consultation Paper 23-406 Internalization within the Canadian Equity Market

Published for comment on March 21, 2019

45-106

Prospectus Exemptions -- Amendments (Related to Syndicated Mortgages)

Published for comment on March 21, 2019

31-103

Registration Requirements, Exemptions and Ongoing Registrant Obligations (Related to Syndicated Mortgages)

Published for comment on March 21, 2019

11-785

Statement of Priorities -- Request for Comments regarding Statement of Priorities for financial Year to End March 31, 2019

Published March 28, 2019

For further information, contact:

Darlene Watson
Project Specialist
Ontario Securities Commission
416-593-8148

May 2, 2019