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CSA Staff Notice 21-310 Information Processor for Corporate Debt Securities
26 Jun 2009
The Canadian Securities Administrators (CSA) are publishing CSA Staff Notice 21-310 Information Processor for Corporate Debt Securities. The Staff Notice announces that CanPX Inc. (CanPX) will continue to act as an information processor for corporate debt securities for a further period of five years, commencing July 1, 2009. The Notice explains the general function of an information processor for corporate debt securities, provides a brief historical review of CanPX’s role as information processor, and summarizes the terms on which CanPX will carry out the function. Further information may be obtained through the staff members listed in the Notice.
CSA Staff Notice 21-310 Information Processor for Corporate Debt Securities
CSA Staff Notice and Request for Comment Implementation of Point of Sale Disclosure for Mutual Funds
19 Jun 2009
The Canadian Securities Administrators (CSA) today published a CSA Staff Notice and Request for Comment together with proposed amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure (the Proposed Rule) and Companion Policy 81-101CP Mutual Fund Prospectus Disclosure (the Companion Policy), New Form 81-101F3 Contents of Fund Facts Document and related amendments. The Proposed Rule and Companion Policy are referred to as the Instrument.
The Instrument, together with related amendments, sets out the first phase of the CSA’s proposed approach to implement the shared vision of securities and insurance regulators to provide investors with more meaningful and effective prospectus disclosure of mutual funds and segregated funds, as described in Framework 81-406 Point of Sale Disclosure for Mutual Funds and Segregated Funds published by the Joint Forum of Financial Market Regulators (Joint Forum) on October 24, 2008.
CSA Staff Notice and Request for Comment Implementation of Point of Sale Disclosure for Mutual Funds
CSA Staff Notice 31-311 Proposed National Instrument 31-103 Registration Requirements and Exemptions – Transition into the New Registration Regime
12 Jun 2009
The Canadian Securities Administrators (CSA) today published CSA Staff Notice 31-311, which provides guidance on CSA staff’s proposals for the transition from the existing registration regime to the new registration regime under proposed National Instrument 31-103 Registration Requirements and Exemptions (NI 31-103).
In an effort to make the transition as smooth and efficient as possible, CSA staff have outlined in the Notice several items of which registrants should be aware, including proposed changes to the National Registration Database (NRD), the conversion by firms and individuals to new categories of registration, and the transition period to comply with new requirements under NI 31-103.
NI 31-103 is subject to final approvals by securities regulatory authorities, and ministries in certain jurisdictions. If approved, CSA staff expect to publish NI 31-103 on July 17, 2009. It would come into force on September 28, 2009.
CSA Staff Notice 31-311 Proposed National Instrument 31-103 Registration Requirements and Exemptions – Transition into the New Registration Regime
View Proposed National Instrument 31-103 and related documents
CSA Staff Notice CSA Staff Notice 21-309 Information Processor for Exchange-Traded Securities Other than Options
5 Jun 2009
The Canadian Securities Administrators (CSA) are publishing CSA Staff Notice 21-309 Information Processor for Exchange-Traded Securities Other than Options. The Staff Notice announces that TSX Inc. will act as an information processor for exchange-traded securities other than options for five years, commencing July 1, 2009. The Notice outlines the need for an information processor, provides background, and summarizes the basis on which TSX Inc. will carry out the function.
CSA Staff Notice CSA Staff Notice 21-309 Information Processor for Exchange-Traded Securities Other than Options