Section 1.1 BEFORE amended by BC Reg 228/2009, effective September 28, 2009.
Definitions
1.1 In this Instrument,
"equivalent provision" means, for a provision listed in Appendix D below the name of a jurisdiction, the provision set opposite that provision below the name of another jurisdiction;
"national prospectus instrument" means
(a) National Instrument 41-101 General Prospectus Requirements,
(b) National Instrument 44-101 Short Form Prospectus Distributions,
(c) National Instrument 44-102 Shelf Distributions,
(d) National Instrument 44-103 Post-Receipt Pricing, or
(e) National Instrument 81-101 Mutual Fund Prospectus Disclosure;
"preliminary prospectus" includes an amendment to a preliminary prospectus;
"principal jurisdiction" means, for a person or company, the jurisdiction of the principal regulator;
"principal regulator" means, for a person or company, the securities regulatory authority or regulator determined in accordance with Part 3 or 4, as applicable;
"prospectus" includes an amendment to a prospectus;
"SEDAR" has the same meaning as in National Instrument 13-101 System for Electronic Document Analysis and Retrieval.
Section 1.1 BEFORE amended by BC Reg 238/2014, effective January 11, 2015.
"NI 31-103" means National Instrument 31-103 Registration Requirements and Exemptions;
Section 1.1 definition of "principal regulator" BEFORE amended by BC Reg 158/2016, effective June 23, 2016.
"principal regulator" means, for a person or company, the securities regulatory authority or regulator determined in accordance with Part 3, 4 or 4A, as applicable;
Section 1.1 definition of "SEDAR" BEFORE repealed by BC Reg 139/2023, effective June 9, 2023.
"SEDAR" has the same meaning as in National Instrument 13-101 System for Electronic Document Analysis and Retrieval;
Section 1.1 definition of "SEDAR+" was added by BC Reg 139/2023, effective June 9, 2023.
Section 3.3 (1) (b) BEFORE amended by BC Reg 139/2023, effective June 9, 2023.
(b) at the time of filing the preliminary prospectus, the filer indicates on SEDAR that it is filing the preliminary prospectus under this Instrument,
Section 3.3 (2) (b) (ii) BEFORE amended by BC Reg 139/2023, effective June 9, 2023.
(ii) indicated on SEDAR that it filed the related pro forma prospectus under this Instrument at the time of filing the related pro forma prospectus,
Section 3.4 BEFORE repealed by BC Reg 228/2009, effective September 28, 2009.
Exemption from non-harmonized prospectus requirements
3.4 (1) A provision listed in Appendix C does not apply to a preliminary prospectus if
(a) the preliminary prospectus is filed under a provision set out in Appendix B and under a national prospectus instrument,
(b) the preliminary prospectus is filed in at least one other jurisdiction of Canada, and
(c) a jurisdiction where the preliminary prospectus is filed is the principal jurisdiction for the filing of the preliminary prospectus.
(2) A provision listed in Appendix C does not apply to a prospectus, other than a preliminary prospectus, if
(a) the prospectus is filed under a provision set out in Appendix B and under a national prospectus instrument,
(b) the prospectus is filed in at least one other jurisdiction of Canada, and
(c) a jurisdiction where the prospectus is filed is the principal jurisdiction for the filing of the prospectus.
Section 4.4 BEFORE amended by BC Reg 228/2009, effective September 28, 2009.
Principal regulator — head office not in a specified jurisdiction
4.4 Subject to sections 4.5 and 4.6, if the jurisdiction identified under section 4.2 or 4.3, as applicable, is not a specified jurisdiction, the principal regulator for the application is the securities regulatory authority or regulator of the specified jurisdiction with which,
(a) in the case of an application for an exemption from a provision related to insider reporting listed in Appendix D, the reporting issuer has the most significant connection,
(b) in the case of an application for an exemption related to a provision related to take-over bids listed in Appendix D, the issuer whose securities are subject to the take-over bid has the most significant connection, or
(c) in any other case, the person or company, or in the case of an investment fund, the investment fund manager, has the most significant connection.
Section 4.5 (1) and (2) BEFORE amended by BC Reg 228/2009, effective September 28, 2009.
(1) Subject to subsection (2), if a person or company is not seeking an exemption in the jurisdiction of the principal regulator, as determined under section 4.2, 4.3 or 4.4, as applicable, the principal regulator for the application is the securities regulatory authority or regulator in the specified jurisdiction
(a) in which the person or company is seeking the exemption, and
(b) with which
(i) in the case of an application for an exemption from a provision related to insider reporting, the reporting issuer has the most significant connection,
(ii) in the case of an application for an exemption from a provision related to take-over bids, the issuer whose securities are subject to the take-over bid has the most significant connection, or
(iii) in any other case, the person or company, or in the case of an investment fund, the investment fund manager, has the most significant connection.
(2) If at any one time a person or company is seeking more than one exemption and not all of the exemptions are needed in the jurisdiction of the principal regulator, as determined under section 4.2, 4.3 or 4.4 or subsection (1), as applicable, the person or company may make the application to the securities regulatory authority or regulator in the specified jurisdiction
(a) in which the person or company is seeking all of the exemptions, and
(b) with which,
(i) in the case of an application for an exemption from a provision related to insider reporting, the reporting issuer has the most significant connection,
(ii) in the case of an application for exemption from a provision related to take-over bids, the issuer whose securities are subject to the take-over bid has the most significant connection, or
(iii) in any other case, the person or company, or in the case of an investment fund, the investment fund manager, has the most significant connection.
Section 4.7 (1) BEFORE amended by BC Reg 228/2009, effective September 28, 2009.
(1) If an application is made in the principal jurisdiction for an exemption from a provision of securities legislation listed in Appendix D, the equivalent provision of the local jurisdiction does not apply if
(a) the local jurisdiction is not the principal jurisdiction for the application,
(b) the principal regulator for the application granted the exemption,
(c) the person or company that made the application gives notice to the securities regulatory authority or regulator that this subsection is intended to be relied upon for the equivalent provision of the local jurisdiction, and
(d) the person or company relying on the exemption complies with any terms, conditions, restrictions or requirements imposed by the principal regulator as if they were imposed in the local jurisdiction.
Appendix A BEFORE repealed by BC Reg 228/2009, effective September 28, 2009.
Appendix A
Non-harmonized Continuous Disclosure Provisions
| Jurisdiction | Provisions |
| British Columbia | sections 2 (Foreign financial statements and reports), and 3, other than subsection 3 (3), (Preparation of financial statements) of the Securities Rules |
| Alberta | none |
| Saskatchewan | none |
| Manitoba | none |
| Québec | none |
| New Brunswick | none |
| Nova Scotia | none |
| Prince Edward Island | none |
| Newfoundland and Labrador | none |
| Yukon | none |
| Northwest Territories | none |
| Nunavut | none |
Appendix B, jurisdictions PEI, Yukon, NWT and Nunavut BEFORE amended by BC Reg 228/2009, effective September 28, 2009.
| Jurisdiction | Securities Act provisions |
| Prince Edward Island | section 94 (Prospectus required) |
| Yukon | section 94 (Prospectus required) |
| Northwest Territories | section 27 (2) (Prohibition) |
| Nunavut | section 27 (2) (Prohibition) |
Appendix C BEFORE repealed by BC Reg 228/2009, effective September 28, 2009.
Appendix C — Non-harmonized Prospectus Provisions
| Jurisdiction | Provisions |
| British Columbia | sections 2 (Foreign financial statements and reports), and 3, other than subsection 3 (3), (Preparation of financial statements) of the Securities Rules |
| Alberta | none |
| Saskatchewan | none |
| Manitoba | none |
| Québec | section 25 (Distribution made by the issuer itself) of Securities Regulation |
| New Brunswick | none |
| Nova Scotia | none |
| Prince Edward Island | none |
| Newfoundland and Labrador | none |
| Yukon | none |
| Northwest Territories | none |
| Nunavut | none |
Appendix D BEFORE amended by BC Reg 228/2009, effective September 28, 2009.
Appendix D — Equivalent Provisions
All references are to provisions of the Securities Act of the relevant jurisdiction unless otherwise noted. All references to 'NI' are to 'National Instruments'. All references to 'MI' are to 'Multilateral Instruments'.
| Provision | British Columbia | Alberta | Saskatchewan | Manitoba | Québec | Nova Scotia | New Brunswick | Prince Edward Island | Newfoundland and Labrador | Yukon | Northwest Territories | Nunavut | Ontario |
| SEDAR | NI 13-101 | ||||||||||||
| Marketplace operation | NI 21-101 (only Parts 6, 7-11, as they apply to an ATS, and 13) | ||||||||||||
| Trading rules | NI 23-101 (only Parts 4 and 8-11) | ||||||||||||
| Institutional trade matching and settlement | NI 24-101 | n/a | NI 24-101 | ||||||||||
| National registration database (NRD) | NI 31-102 | ||||||||||||
| Underwriting conflicts | NI 33-105 | ||||||||||||
| Registrant information | NI 33-109 | ||||||||||||
| Prospectus disclosure requirements | NI 41-101 (except as noted below) | ||||||||||||
| Certificate of issuer | s. 5.3 (1) of NI 41-101 | s. 58 | |||||||||||
| Certificate of corporate issuer | s. 5.4 (1) of NI 41-101 | s. 58 | |||||||||||
| Certificate of issuer involved in reverse takeover | s. 5.8 of NI 41-101 | n/a | |||||||||||
| Certificate of underwriter | s. 5.9 (1) of NI 41-101 | s. 59 (1) | |||||||||||
| Certificate of promoter | s. 5.11 (1) of NI 41-101 | s. 58 (1) | |||||||||||
| Delivery of amendments | s. 6.4 of NI 41-101 | s. 57 (3) | |||||||||||
| Amendment to a preliminary prospectus | s. 6.5 (1) of NI 41-101 | s. 57 (1) | |||||||||||
| Amendment to a final prospectus | s. 6.6 (1) of NI 41-101 | s. 57 (1) | |||||||||||
| Amendment to a final prospectus | s. 6.6 (2) of NI 41-101 | s. 57 (2) | |||||||||||
| Regulator must issue receipt | s. 6.6 (3) of NI 41-101 | s. 57 (2.1) | |||||||||||
| Regulator must not refuse a receipt | s. 6.6 (4) of NI 41-101 | ss. 57 (2.1) and 61 (3) | |||||||||||
| Prohibition against distribution | s. 6.6 (5) of NI 41-101 | s. 57 (2.2) | |||||||||||
| Distribution of preliminary prospectus and distribution list | s. 16.1 of NI 41-101 | ss. 66 and 67 | |||||||||||
| Statement of rights | s. 18.1 of NI 41-101 | s. 60 | |||||||||||
| Disclosure standards for mineral projects | NI 43-101 | ||||||||||||
| Short form prospectus distribution requirements | NI 44-101 | ||||||||||||
| Shelf prospectus requirements | NI 44-102 | ||||||||||||
| Post receipt pricing | NI 44-103 | ||||||||||||
| Rights offering requirements | NI 45-101 | ||||||||||||
| Resale of securities | NI 45-102 | ||||||||||||
| Standards of disclosure for oil and gas activities | NI 51-101 | n/a | NI 51-101 | ||||||||||
| Continuous disclosure obligations | NI 51-102 (except as noted below) | n/a | NI 51-102 (except as noted below) | ||||||||||
| Publication of material change | s. 7.1 of NI 51-102 | n/a | s. 75 of Securities Act and s. 3 (1.1) of Regulation 1015 (General) | ||||||||||
| Accounting principles, auditing standards and reporting currency requirements | NI 52-107 | ||||||||||||
| Auditor oversight | NI 52-108 | ||||||||||||
| Certification of disclosure in annual and interim filings | NI 52-109 | ||||||||||||
| Audit committees | NI 52-110 | ||||||||||||
| Communication with beneficial owners | NI 54-101 | n/a | NI 54-101 | ||||||||||
| System for electronic disclosure by insiders (SEDI) | NI 55-102 | n/a | NI 55-102 | ||||||||||
| Insider reporting for certain derivative transactions (EM) – Reporting requirement | ss. 87 (2), (5) and (6) | s. 2.1 of MI 55-103 | n/a | s. 2.1 of MI 55-103 | |||||||||
| EM – Existing agreements which continue in force | s. 87.1 | s. 2.3 of MI 55-103 | n/a | s. 2.3 of MI 55-103 | |||||||||
| EM – Existing agreements entered into prior to becoming insider | s. 87 (2) and (6) | s. 2.4 of MI 55-103 | n/a | s. 2.4 of MI 55-103 | |||||||||
| EM – Form and timing of report | s. 87 (2), (5) and (6) of Securities Act and s. 155.1 (1), (2) and (3) of Securities Rules | s. 3.1 of MI 55-103 | n/a | s. 3.1 of MI 55-103 | |||||||||
| EM – Form and timing of report for existing agreements | s. 87.1 of Securities Act and s. 155.1 (4) of Securities Rules | s. 3.2 of MI 55-103 | n/a | s. 3.2 of MI 55-103 | |||||||||
| EM – Form and timing of report for existing agreements entered into prior to becoming insider | s. 87 (2) and (6) of Securities Act and s. 155.1 (1) and (3) of Securities Rules | s. 3.3 of MI 55-103 | n/a | s. 3.3 of MI-55-103 | |||||||||
| Disclosure of corporate governance practices | NI 58-101 | n/a | NI 58-101 | ||||||||||
| Protection of minority security holders in special transactions | n/a | MI 61-101 | n/a | MI 61-101 | |||||||||
| Early warning reports and other take-over bid and insider reporting requirements | NI 62-103 | n/a | NI 62-103 | ||||||||||
| Take-over bids and issuer bid requirements (TOB/IB) – Restrictions on acquisitions during take-over bid | s. 2.2 (1) of MI 62-104 | s. 93.1 (1) | |||||||||||
| TOB/IB – Restrictions on acquisitions during issuer bid | s. 2.3 (1) of MI 62-104 | s. 93.1 (4) | |||||||||||
| TOB/IB – Restrictions on acquisitions before take-over bid | s. 2.4 (1) of MI 62-104 | s. 93.2 (1) | |||||||||||
| TOB/IB – Restrictions on acquisitions after bid | s. 2.5 of MI 62-104 | s. 93.3 (1) | |||||||||||
| TOB/IB – Restrictions on sales during formal bid | s. 2.7 (1) of MI 62-104 | s. 97.3 (1) | |||||||||||
| TOB/IB – Duty to make bid to all security holders | s. 2.8 of MI 62-104 | s. 94 | |||||||||||
| TOB/IB – Commencement of bid | s. 2.9 of MI 62-104 | s. 94.1 (1) and (2) | |||||||||||
| TOB/IB – Offeror's circular | s. 2.10 of MI 62-104 | s. 94.2 (1) - (4) of Securities Act and s. 3.1 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Change in information | s. 2.11 (1) of MI 62-104 | s. 94.3 (1) | |||||||||||
| TOB/IB – Notice of change | s. 2.11 (4) of MI 62-104 | s. 94.3 (4) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Variation of terms | s. 2.12 (1) of MI 62-104 | s. 94.4 (1) | |||||||||||
| TOB/IB – Notice of variation | s. 2.12 (2) of MI 62-104 | s. 94.4 (2) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Expiry date of bid if notice of variation | s. 2.12 (3) of MI 62-104 | s. 94.4 (3) | |||||||||||
| TOB/IB – No variation after expiry | s. 2.12 (5) of MI 62-104 | s. 94.4 (5) | |||||||||||
| TOB/IB – Filing and sending notice of change or notice of variation | s. 2.13 of MI 62-104 | s. 94.5 | |||||||||||
| TOB/IB – Change or variation in advertised take-over bid | s. 2.14 (1) of MI 62-104 | s. 94.6 (1) | |||||||||||
| TOB/IB – Consent of expert – bid circular | s. 2.1 5(2) of MI 62-104 | s. 94.7 (1) | |||||||||||
| TOB/IB – Delivery and date of bid documents | s. 2.16 (1) of MI 62-104 | s. 94.8 (1) | |||||||||||
| TOB/IB – Duty to prepare and send directors' circular | s. 2.17 of MI 62-104 | s. 95 (1) - (4) of Securities Act and s. 3.2 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Notice of change | s. 2.18 of MI 62-104 | s. 95.1 (1) and (2) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Filing directors' circular or notice of change | s. 2.19 of MI 62-104 | s. 95.2 | |||||||||||
| TOB/IB – Change in information in director's or officer's circular or notice of change | s. 2.20 (2) of MI 62-104 | s. 96 (2) | |||||||||||
| TOB/IB – Form of director's or officer's circular | s. 2.20 (3) of MI 62-104 | s. 96 (3) of Securities Act and s. 3.3 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Send director's or officer's circular or notice of change to securityholders | s. 2.20 (5) of MI 62-104 | s. 96 (5) | |||||||||||
| TOB/IB – File and send to offeror director's or officer's circular or notice of change | s. 2.20 (6) of MI 62-104 | s. 96 (6) | |||||||||||
| TOB/IB – Form of notice of change for director's or officer's circular | s. 2.20 (7) of MI 62-104 | s. 96 (7) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Consent of expert, directors' circular, etc. | s. 2.21 of MI 62-104 | s. 96.1 | |||||||||||
| TOB/IB – Delivery and date of offeree issuer's documents | s. 2.22 (1) of MI 62-104 | s. 96.2 (1) | |||||||||||
| TOB/IB – Consideration | s. 2.23 (1) of MI 62-104 | s. 97 (1) | |||||||||||
| TOB/IB – Variation of consideration | s. 2.23 (3) of MI 62-104 | s. 97 (3) | |||||||||||
| TOB/IB – Prohibition against collateral agreements | s. 2.24 of MI 62-104 | s. 97.1 (1) | |||||||||||
| TOB/IB – Proportionate take up and payment | s. 2.26 (1) of MI 62-104 | s. 97.2 (1) | |||||||||||
| TOB/IB – Financing arrangements | s. 2.27 (1) of MI 62-104 | s. 97.3 (1) | |||||||||||
| TOB/IB – Minimum deposit period | s. 2.28 of MI 62-104 | s. 98 (1) | |||||||||||
| TOB/IB – Prohibition on take up | s. 2.29 of MI 62-104 | s. 98 (2) | |||||||||||
| TOB/IB – Obligation to take up and pay for deposited securities | s. 2.32 of MI 62-104 | s. 98.3 | |||||||||||
| TOB/IB – Return of deposited securities | s. 2.33 of MI 62-104 | s. 98.5 | |||||||||||
| TOB/IB – News release on expiry of bid | s. 2.34 of MI 62-104 | s. 98.6 | |||||||||||
| TOB/IB – Language of bid documents | s. 3.1 of MI 62-104 | n/a | |||||||||||
| TOB/IB – Filing of documents by offeror | s. 3.2 (1) of MI 62-104 | s. 98.7 of Securities Act and s. 5.1 (1) of OSC Rule 62 504 | |||||||||||
| TOB/IB – Filing of documents by offeree issuer | s. 3.2 (2) of MI 62-104 | s. 5.1 (2) of OSC Rule 62-504 | |||||||||||
| TOB/IB – Time period for filing | s. 3.2 (3) of MI 62-104 | s. 5.1 (3) of OSC Rule 62-504 | |||||||||||
| TOB/IB – Filing of subsequent agreement | s. 3.2 (4) of MI 62-104 | s. 5.1 (4) of OSC Rule 62-504 | |||||||||||
| TOB/IB – Certification of bid circulars | s. 3.3 (1) of MI 62-104 | s. 99 (1) | |||||||||||
| TOB/IB – All directors and officers sign | s. 3.3 (2) of MI 62-104 | s. 99 (2) | |||||||||||
| TOB/IB – Certification of directors' circular | s. 3.3 (3) of MI 62-104 | s. 99 (3) | |||||||||||
| TOB/IB – Certification of individual director's or officer's circular | s. 3.3 (4) of MI 62-104 | s. 99 (4) | |||||||||||
| TOB/IB – Obligation to provide security holder list | s. 3.4 (1) of MI 62-104 | s. 99.1 (1) | |||||||||||
| TOB/IB – Application of Canada Business Corporations Act | s. 3.4 (2) of MI 62-104 | s. 99.1 (2) | |||||||||||
| TOB/IB – Early Warning | s. 5.2 of MI 62-104 | s. 102.1 (1) - (4) of Securities Act and s. 7.1 of OSC Rule 62-504 | |||||||||||
| TOB/IB – Acquisitions during bid | s. 5.3 of MI 62-104 | s. 102.2 (1) and (2) of Securities Act and s. 7.2 (1) of OSC Rule 62-504 | |||||||||||
| TOB/IB – Copies of news release and report | s. 5.5 of MI 62-104 | s. 7.2 (3) of OSC Rule 62-504 | |||||||||||
| Multi-jurisdictional disclosure system | NI 71-101 | ||||||||||||
| Mutual fund prospectus disclosure | NI 81-101 | ||||||||||||
| Mutual fund requirements | NI 81-102 | ||||||||||||
| Commodity pools | NI 81-104 | ||||||||||||
| Mutual fund sales practices | NI 81-105 | ||||||||||||
| Investment fund continuous disclosure | NI 81-106 | ||||||||||||
| Independent review committee | NI 81-107 | ||||||||||||
| Registration | |||||||||||||
| Dealer registration requirement | s. 34 (1) (a) | s. 75 (1) (a) | s. 27 (a) | s. 6 (1) | ss. 148 & 149 | s. 31 (1) (a) | s. 45 (a) | s. 86 (1) (a) | s. 26 (1) (a) | s. 86 (1) (a) | s. 4 | s. 4 | s. 25 (1) (a) |
| Underwriter registration requirement | s. 34 (1) (b) | s. 75 (1) (a) | n/a | s. 6 (1) | s. 148 | s. 31 (1) (b) | n/a | s. 86 (2) | s. 26 (1) (b) | s. 86 (2) | n/a | n/a | s. 25 (1) (a) |
| Adviser registration requirement | s. 34 (1) (c) | s. 75 (1) (b) | s. 27 (c) | s. 6 (7) | ss. 148 & 149 | s. 31 (1) (c) | s. 45 (b) | s. 86 (1) (b) | s. 26 (1) (c) | s. 86 (1) (b) | s. 4 | s. 4 | s. 25 (1) (c) |
| Trading in Securities Generally | |||||||||||||
| Registered dealer acting as principal | s. 51 | s. 94 | s. 45 | s. 70 | s. 163 of Securities Act and s. 234.3 of Securities Regulation | s. 45 | s. 59 | n/a | s. 40 | n/a | n/a | n/a | s. 39 |
| Disclosure of investor relations activities | s. 52 | n/a | n/a | n/a | n/a | n/a | s. 62 | n/a | n/a | n/a | n/a | n/a | n/a |
| Use of name of another registrant | s. 53 | s. 99 | s. 49 | s. 73 | n/a | s. 49 | s. 63 | n/a | s. 44 | n/a | n/a | n/a | s. 43 |
| Trading in Exchange Contracts | |||||||||||||
| Trading exchange contracts on an exchange in jurisdiction | s. 58 | ss. 106 & 107 | s. 40 | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |
| Trading exchange contracts on an exchange outside jurisdiction | s. 59 | ss. 108 & 109 | s. 41 | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |
| Prospectus | |||||||||||||
| Prospectus requirement | s. 61 | s. 110 | s. 58 | s. 37 | ss. 11 and 12 | s. 58 | s. 71 (1) | s. 94 | s. 54 | s. 94 | s. 27 | s. 27 | s. 53 |
| Contents of prospectus (full, true & plain disclosure) | s. 63 | s. 113 | s. 61 | s. 41 | ss. 13 and 20 | s. 61 | s. 74 | s. 99 | s. 57 | s. 99 | n/a | n/a | s. 56 |
| Waiting period communications | s. 78 | s. 123 | s. 73 | s. 38 | ss. 21 & 22 | s. 70 | s. 82 | s. 97 | s. 66 | s. 97 | n/a | n/a | s. 65 (2) |
| Obligation to send prospectus | s. 83 | s. 129 | s. 79 | s. 64 | ss. 29, 30, 31 and 32 | s. 76 | s. 88 | s. 101 (1) | s. 72 | s. 101 (1) | s. 28 | s. 28 | s. 71 (1) |
| Requirements when using prospectus exemptions | |||||||||||||
| Filing disclosure documents in connection with exemption | n/a | s. 127.2 of ASC Rules | s. 80.1 | n/a | s. 37.2 of Securities Regulation | n/a | s. 2.3 of Local Rule 45-802 | n/a | n/a | n/a | n/a | n/a | s. 6.4 of OSC Rule 45-501 |
| Filing report of exempt distribution | s. 139 of Securities Rules and ss. 6.1 and 6.3 of NI 45-106 | s. 129.1 of ASC Rules and ss. 6.1 and 6.3 of NI 45-106 | ss. 6.1 and 6.3 of NI 45-106 | s. 7 of Regulation and ss. 6.1 and 6.3 of NI 45-106 | ss. 6.1 and 6.3 of NI 45-106 | ss. 6.1 and 6.3 of NI 45-106 | ss. 6.1 and 6.3 of NI 45-106 | ss. 6.1 and 6.3 of NI 45-106 | ss. 6.1 and 6.3 of NI 45-106 | ss. 6.1 and 6.3 of NI 45-106 | n/a | n/a | s. 7.1 of OSC Rule 45-501 and ss. 6.1 and 6.3 of NI 45-106 |
| Continuous Disclosure | |||||||||||||
| Voting if proxies provided | s. 118 | s. 157 | s. 96 | s. 105 | n/a | s. 93 | ss. 102 and 103 (2) | n/a | s. 88 | n/a | n/a | n/a | s. 87 |
| Shares in name of registrant not to be voted | s. 182 of Securities Rules | s. 104 | s. 55 | s. 79 | s. 164 | s. 55 | s. 103 (3) - (7) | s. 163 | s. 50 | s. 163 | n/a | n/a | s. 49 |
| Insider Reporting | |||||||||||||
| Insider reports — filing upon becoming an insider of a reporting issuer | s. 87 (2) other than as it applies to a related financial instrument | s. 182 (1) | s. 116 (1) | s. 109 | s. 96 | ss. 113 (1) of Securities Act and 172 of General Securities Rules | s. 135 (1) | s. 1 (1) of Local Rule 55-501 | s. 108 (1) | n/a | n/a | n/a | s. 107 (1) |
| Insider reports — filing upon acquisition or change in securities | s. 87 (5) other than as it applies to a related financial instrument | s. 182 (2) | s. 116 (2) | s. 109 | s. 97 | s. 113 (2) | s. 135 (2) | s. 1 (2) of Local Rule 55-501 | s. 108 (2) | n/a | n/a | n/a | s. 107 (2) |
| Insider reports — filing upon being deemed an insider | s. 87 (6) other than as it applies to a related financial instrument | s. 182 (3) | s. 116 (3) | s. 109 | s. 98 | s. 113 (4) | s. 135 (3) | s. 1 (3) of Local Rule 55-501 | s. 108 (3) | n/a | n/a | n/a | s. 107 (3) |
| Time periods for filing insider reports | s. 155.1 of Securities Rules other than as it applies to a related financial instrument | s. 190 of ASC Rules | s. 165 (1) of Regulations | s. 109 | ss. 171, 171.1, 172 & 174 of Securities Regulation | s. 113 | s. 5 of Local Rule 11-502 | s. 1 of Local Rule 55-501 | s. 108 | n/a | n/a | n/a | s. 107 |
| Transfer reports | n/a | s. 182 (2) | s. 117 | n/a | s. 102 | s. 116 | s. 136 | n/a | s. 109 | n/a | s. 108 of Securities Act and s. 167 of Regulation 1015 (General) | ||
| Nominee reports | n/a | s. 183 | s. 118 | n/a | s. 103 | s. 117 | n/a | s. 110 | n/a | s. 109 of Securities Act and s. 168 of Regulation 1015 (General) | |||
| Take-Over Bids and Issuer Bids | |||||||||||||
| Directors must make recommendation on bid | s. 99 (1) (a) | s. 160 | s. 100 | s. 90 | ss. 113 & 114 | s. 105 (2) | s. 124 | s. 108 | s. 92 | s. 108 | n/a | n/a | ss. 95 and 96 |
| Investment Funds — Self Dealing | |||||||||||||
| Investments of mutual funds | s. 121 | s. 185 | s. 120 | n/a | s. 236 of Securities Regulation | s. 119 | s. 137 | n/a | n/a | n/a | n/a | n/a | s. 111 |
| Indirect investment | s. 122 | s. 186 | s. 121 | n/a | n/a | s. 120 | s. 138 | n/a | n/a | n/a | n/a | n/a | s. 112 |
| Fees on investment for mutual fund | s. 124 | s. 189 | s. 124 | n/a | n/a | s. 123 | s. 141 | n/a | n/a | n/a | n/a | n/a | s. 115 |
| Report of mutual fund manager | s. 126 | s. 191 | s. 126 | n/a | n/a | s. 125 | s. 143 | n/a | n/a | n/a | n/a | n/a | s. 117 |
| Restrictions on transactions with responsible persons | s. 127 | s. 192 | s. 127 | n/a | s. 236 of Securities Regulation | s. 126 | s. 144 | n/a | n/a | n/a | n/a | n/a | s. 118 |
| General | |||||||||||||
| Confidentiality | s. 169 | s. 221 | s. 152 | s. 149 (q) | s. 296 | s. 148 | s. 198 | s. 26 | s. 140 | s. 25 | s. 44 | s. 44 | s. 140 |
| Accounting principles, auditing standards and reporting requirements (other than in NI 52-107) | s. 3 (3) of Securities Rules | n/a | n/a | n/a | ss. 116 and 121 of Securities Regulation | s. 3 (4) of Reg. | n/a | n/a | n/a | n/a | n/a | n/a | s. 2 (1) of Regulation 1015 (General) |
Appendix "D" under "Investment Funds - Self Dealing" in column 2 (British Columbia) BEFORE amended by BC Reg 323/2009, effective December 23, 2009.
| Provision | British Columbia | Alberta | Saskatchewan | Manitoba | Québec | Nova Scotia | New Brunswick | Prince Edward Island | Newfoundland and Labrador | Yukon | Northwest Territories | Nunavut | Ontario |
| Investments of mutual funds | s.121 | s.185 | s.120 | n/a | s.119 | s.137 | n/a | s.112 | n/a | s.111 | |||
| Indirect investment | s.122 | s.186 | s.121 | n/a | s.120 | s.138 | n/a | s.113 | n/a | s.112 | |||
| Fees on investment for mutual fund | s.124 | s.189 | s.124 | n/a | s.123 | s.141 | n/a | s.116 | n/a | s.115 | |||
| Report of mutual fund manager | s.126 | s.191 | s.126 | n/a | s.125 | s.143 | n/a | s.118 | n/a | s.117 | |||
Appendix D, historical note BEFORE amended by BC Reg 267/2010, effective October 25, 2010.
[en. B.C. Reg. 228/2009, Sch. B, s. 12; am. B.C. Regs. 323/2009, s. (b); 104/2010, Sch. C.]
Appendix D, all rows that refer to "MI 55-103" BEFORE amended by BC Reg 104/2010, effective April 30, 2010.
| Insider reporting for certain derivative transactions (EM) - Reporting requirement | ss.87(2),(5) and (6) | s.2.1 of MI 55-103 | s.2.1 of MI 55-103 | ||||||||||
| EM – Existing agreements which continue in force | s.87.1 | s.2.3 of MI 55-103 | s.2.3 of MI 55-103 | ||||||||||
| EM – Existing agreements entered into prior to becoming insider | s.87(2) and (6) | s.2.4 of MI 55-103 | s.2.4 of MI 55-103 | ||||||||||
| EM – Form and timing of report | s.87(2), (5) and (6) of Securities Act and s.155.1(1), (2) and (3) of Securities Rules | s.3.1 of MI 55-103 | s.3.1 of MI 55-103 | ||||||||||
| EM – Form and timing of report for existing agreements | s.87.1 of Securities Act and s.155.1(4) of Securities Rules | s.3.2 of MI 55-103 | s.3.2 of MI 55-103 | ||||||||||
| EM – Form and timing of report for existing agreements entered into prior to becoming insider | s.87 (2) and (6) of Securities Act and s.155.1(1) and (3) of Securities Rules | s.3.3 of MI 55-103 | s.3.3 of MI 55-103 | ||||||||||
Appendix D, the Part entitled "Insider Reporting" BEFORE amended by BC Reg 104/2010, effective April 30, 2010.
| Insider Reporting | |||||||||||||
| Insider reports – filing upon becoming an insider of a reporting issuer | s.87(2) other than as it applies to a related financial instrument | s.182(1) | s.116(1) | s.109 | s.96 | ss.113(1) of Securities Act and 172 of General Securities Rules | s.135(1) | s.1(1) of Local Rule 55-501 | s.108(1) | s.1(1) of Local Rule 55-501 | s.2(1) of Local Rule 55-501 | Local Rule 55-501 | s.107(1) |
| Insider reports – filing upon acquisition or change in securities | s.87 (5) other than as it applies to a related financial instrument | s.182(2) | s.116(2) | s.109 | s.97 | s.113(2) | s.135(2) | s.1(2) of Local Rule 55-501 | s.108(2) | s.1(2) of Local Rule 55-501 | s.2(2) of Local Rule 55-501 | Local Rule 55-501 | s.107(2) |
| Insider reports – filing upon being deemed an insider | s.87 (6) other than as it applies to a related financial instrument | s.182(3) | s.116(3) | s.109 | s.98 | s.113(4) | s.135(3) | s.1(3) of Local Rule 55-501 | s.108(3) | s.1(3) of Local Rule 55-501 | s.2(3) of Local Rule 55-501 | Local Rule 55-501 | s.107(3) |
| Time periods for filing insider reports | s.155.1 of Securities Rules other than as it applies to a related financial instrument | s.190 of ASC Rules (General) | s.165(1) of Regulations | s.109 | ss.171, 171.1, 172 and 174 of Securities Regulation | s.113 | s.5 of Local Rule 11-502 | s.1 of Local Rule 55-501 | s.108 | s.1 of Local Rule 55-501 | s.2 of Local Rule 55-501 | Local Rule 55-501 | s.107 |
| Transfer reports | n/a | s.182(2) | s.117 | n/a | s.102 | s.116 | s.136 | n/a | s.109 | n/a | s.2(4) of Local Rule 55-501 | n/a | s.108 of Securities Act and s.167 of Regulation 1015 (General) |
| Nominee reports | n/a | s.183 | s.118 | n/a | s.103 | s.117 | n/a | s.110 | n/a | s.2(5) of Local Rule 55-501 | n/a | s.109 of Securities Act and s.168 of Regulation 1015 (General) | |
Appendix D, row that refers to "NI 52-107" BEFORE amended by BC Reg 383/2010, effective January 1, 2011.
| Accounting principles, auditing standards and reporting currency requirements | NI 52-107 (except as noted below) | ||||||||||||
Appendix D, row that refers to "Marketplace operation" BEFORE amended by BC Reg 201/2012, effective July 6, 2012.
| Marketplace operation | NI 21-101 (only Parts 6, 7 – 11, as they apply to an ATS, and 13) | ||||||||||||
Appendix D, row that refers to "Electronic trading" was added by BC Reg 61/2013, effective March 1, 2013.
Appendix D, row that refers to "Electronic trading" BEFORE amended by BC Reg 24/2014, effective March 1, 2014.
| Electronic trading | NI 23-103 (only sections 3 (1), 3 (2), 3 (3) (a) to 3 (3) (d), 3 (4) to 3 (7), 4, and 5 (3)) | ||||||||||||
Appendix D, row that refers to "Rights offering requirements" BEFORE repealed by BC Reg 230/2015, effective December 8, 2015.
| Rights offering requirements | NI 45-101 | ||||||||||||
Appendix D, rows that refer to "Take-over bids and issuer bid requirements (TOB/IB)" BEFORE replaced with "Take-over bid and issuer bid requirements" by BC Reg 106/2016, effective May 9, 2016.
| Take-over bids and issuer bid requirements (TOB/IB) — Restrictions on acquisitions during take-over bid | s. 2.2(1) of MI 62-104 | s. 93.1(1) | |||||||||||
| TOB/IB — Restrictions on acquisitions during issuer bid | s. 2.3(1) of MI 62-104 | s. 93.1(4) | |||||||||||
| TOB/IB — Restrictions on acquisitions before take-over bid | s. 2.4(1) of MI 62-104 | s. 93.2(1) | |||||||||||
| TOB/IB — Restrictions on acquisitions after bid | s. 2.5 of MI 62-104 | s. 93.3(1) | |||||||||||
| TOB/IB — Restrictions on sales during formal bid | s. 2.7(1) of MI 62-104 | s. 97.3(1) | |||||||||||
| TOB/IB — Duty to make bid to all security holders | s. 2.8 of MI 62-104 | s. 94 | |||||||||||
| TOB/IB — Commencement of bid | s. 2.9 of MI 62-104 | s. 94.1(1) and (2) | |||||||||||
| TOB/IB — Offeror's circular | s. 2.10 of MI 62-104 | s. 94.2(1) - (4) of Securities Act and s. 3.1 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Change in information | s. 2.11(1) of MI 62-104 | s. 94.3(1) | |||||||||||
| TOB/IB — Notice of change | s. 2.11(4) of MI 62-104 | s. 94.3(4) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Variation of terms | s. 2.12(1) of MI 62-104 | s. 94.4(1) | |||||||||||
| TOB/IB — Notice of variation | s. 2.12(2) of MI 62-104 | s. 94.4(2) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Expiry date of bid if notice of variation | s. 2.12(3) of MI 62-104 | s. 94.4(3) | |||||||||||
| TOB/IB — No variation after expiry | s. 2.12(5) of MI 62-104 | s. 94.4(5) | |||||||||||
| TOB/IB — Filing and sending notice of change or notice of variation | s. 2.13 of MI 62-104 | s. 94.5 | |||||||||||
| TOB/IB — Change or variation in advertised take-over bid | s. 2.14(1) of MI 62-104 | s. 94.6(1) | |||||||||||
| TOB/IB — Consent of expert — bid circular | s. 2.15(2) of MI 62-104 | s. 94.7(1) | |||||||||||
| TOB/IB — Delivery and date of bid documents | s. 2.16(1) of MI 62-104 | s. 94.8(1) | |||||||||||
| TOB/IB — Duty to prepare and send directors' circular | s. 2.17 of MI 62-104 | s. 95(1) - (4) of Securities Act and s. 3.2 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Notice of change | s. 2.18 of MI 62-104 | s. 95.1(1) and (2) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Filing directors' circular or notice of change | s. 2.19 of MI 62-104 | s. 95.2 | |||||||||||
| TOB/IB — Change in information in director's or officer's circular or notice of change | s. 2.20(2) of MI 62-104 | s. 96(2) | |||||||||||
| TOB/IB — Form of director's or officer's circular | s. 2.20(3) of MI 62-104 | s. 96(3) of Securities Act and s. 3.3 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Send director's or officer's circular or notice of change to securityholders | s. 2.20(5) of MI 62-104 | s. 96(5) | |||||||||||
| TOB/IB — File and send to offeror director's or officer's circular or notice of change | s. 2.20(6) of MI 62-104 | s. 96(6) | |||||||||||
| TOB/IB — Form of notice of change for director's or officer's circular | s. 2.20(7) of MI 62-104 | s. 96(7) of Securities Act and s. 3.4 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Consent of expert, directors' circular, etc. | s. 2.21 of MI 62-104 | s. 96.1 | |||||||||||
| TOB/IB — Delivery and date of offeree issuer's documents | s. 2.22(1) of MI 62-104 | s. 96.2(1) | |||||||||||
| TOB/IB — Consideration | s. 2.23(1) of MI 62-104 | s. 97(1) | |||||||||||
| TOB/IB — Variation of consideration | s. 2.23(3) of MI 62-104 | s. 97(3) | |||||||||||
| TOB/IB — Prohibition against collateral agreements | s. 2.24 of MI 62-104 | s. 97.1(1) | |||||||||||
| TOB/IB — Proportionate take up and payment | s. 2.26(1) of MI 62-104 | s. 97.2(1) | |||||||||||
| TOB/IB — Financing arrangements | s. 2.27(1) of MI 62-104 | s. 97.3(1) | |||||||||||
| TOB/IB — Minimum deposit period | s. 2.28 of MI 62-104 | s. 98(1) | |||||||||||
| TOB/IB — Prohibition on take up | s. 2.29 of MI 62-104 | s. 98(2) | |||||||||||
| TOB/IB — Obligation to take up and pay for deposited securities | s. 2.32 of MI 62-104 | s. 98.3 | |||||||||||
| TOB/IB — Return of deposited securities | s. 2.33 of MI 62-104 | s. 98.5 | |||||||||||
| TOB/IB — News release on expiry of bid | s. 2.34 of MI 62-104 | s. 98.6 | |||||||||||
| TOB/IB — Language of bid documents | s. 3.1 of MI 62-104 | n/a | |||||||||||
| TOB/IB — Filing of documents by offeror | s. 3.2(1) of MI 62-104 | s. 98.7 of Securities Act and s. 5.1(1) of OSC Rule 62-504 | |||||||||||
| TOB/IB — Filing of documents by offeree issuer | s. 3.2(2) of MI 62-104 | s. 5.1(2) of OSC Rule 62-504 | |||||||||||
| TOB/IB — Time period for filing | s. 3.2(3) of MI 62-104 | s. 5.1(3) of OSC Rule 62-504 | |||||||||||
| TOB/IB — Filing of subsequent agreement | s. 3.2(4) of MI 62-104 | s. 5.1(4) of OSC Rule 62-504 | |||||||||||
| TOB/IB — Certification of bid circulars | s. 3.3(1) of MI 62-104 | s. 99(1) | |||||||||||
| TOB/IB — All directors and officers sign | s. 3.3(2) of MI 62-104 | s. 99(2) | |||||||||||
| TOB/IB — Certification of directors' circular | s. 3.3(3) of MI 62-104 | s. 99(3) | |||||||||||
| TOB/IB — Certification of individual director's or officer's circular | s. 3.3(4) of MI 62-104 | s. 99(4) | |||||||||||
| TOB/IB — Obligation to provide security holder list | s. 3.4(1) of MI 62-104 | s. 99.1(1) | |||||||||||
| TOB/IB — Application of Canada Business Corporations Act | s. 3.4(2) of MI 62-104 | s. 99.1(2) | |||||||||||
| TOB/IB — Early Warning | s. 5.2 of MI 62-104 | s. 102.1(1) — (4) of Securities Act and s. 7.1 of OSC Rule 62-504 | |||||||||||
| TOB/IB — Acquisitions during bid | s. 5.3 of MI 62-104 | s. 102.2(1) and (2) of Securities Act and s. 7.2(1) of OSC Rule 62-504 | |||||||||||
| TOB/IB — Copies of news release and report | s. 5.5 of MI 62-104 | s. 7.2(3) of OSC Rule 62-504 | |||||||||||
Appendix D, row that refers to "Commodity pools" BEFORE amended by BC Reg 287/2018, effective January 3, 2019.
| Commodity pools | NI 81-104 | ||||||||||||
Appendix D, items BEFORE amended by BC Reg 63/2023, effective March 2, 2023.
| Protection of minority security holders in special transactions | n/a | MI 61-101 | n/a | MI 61-101 | |||||||||
| Trading exchange contracts on an exchange in jurisdiction | s. 58 | ss. 106 and 107 | s. 40 | n/a | s. 70.1 | n/a | |||||||
| Trading exchange contracts on an exchange outside jurisdiction | s. 59 | ss. 108 and 109 | s. 41 | n/a | s. 70.2 | n/a | |||||||
| Offering memorandum in required form | s. 2.9 (5) of NI 45-106 | n/a | |||||||||||
| Requirement to file offering memorandum within prescribed time | s. 2.9 (17) of NI 45-106 | n/a | |||||||||||