Alberta Securities Act and Regulation 2018 + CD

ISBN/ISSN/Product Number: 978-0-7798-7910-6
Product Type: Book S.O. + CD-ROM
Anticip. Upkeep Cost: New editions supplied twice per year on standing order subscription
Number of Pages: Approximately 3450 pages
Number of Volumes: 1 volume bound
Binding: softcover
Publication Date: 2017-12-29
Publisher: Carswell
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Description

Stay up to date with relevant statute law and policies

Editors: Norton Rose Fulbright Canada LLP

Stay up to date with the Alberta Securities Act and Regulation 2018 – a biannual consolidation of the relevant statute law and policies.

What’s New

The following highlighted items, among others, have been updated or are new in this edition:

Updated:

  • Securities Act amendments brought about by Bill 6 - Securities Amendment Act, 2016, S.A. 2016 c. 13 per ASC Notice 15-702 dated May 11, 2017 and Order in Council 152/2017 dated April 21, 2017, amendments to section 29(m) and section 42 came into force on June 1, 2017, as well as Bill 13 - Securities Amendment Act, 2017, SA 2017 c12
  • ASC Rules (General) – Replacement of Section 4 - Amendments set out in ASC Notice 15-702 – Expenses and Allowances for Summonsed Witnesses published 11-May-17 effective June1, 2017
  • Multilateral Instrument 11-102 - Passport System – amendments effective July 31, 2017
  • ASC Notice 15-702 - Expenses and Allowances for Summonsed Witnesses -
  • 13-101 System for Electronic Document Analysis and Retrieval (SEDAR), amendments published July 20 and effective July 31, 2017
  • 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations – amendments published July 27, 2017 which will go into force June 4, 2018
  • 31-103CP – Companion Policy -  Registration Requirements, Exemptions and Ongoing Registrant Obligations amendments published July 27, 2017 which will go into force June 4, 2018

New:            

  • CSA Notice and Request for Comment - Adoption of a T+2 Settlement Cycle for Conventional Mutual Funds and Proposed Amendments to National Instrument 81-102 Investment Funds
  • 15-702 - ASC Notice (new) - Expenses and Allowances for Summonsed Witnesses Relates to amendments to the Securities Act and ASC Rules (General)
  • 23-318 - CSA Staff Notice (new)  - Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under National Instrument 23-101 - Trading Rules
  • 24-316 - CSA Staff Notice - Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment
  • 31-349 – CSA Staff Notice (new) - Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
  • 31-350 - CSA Staff Notice  - Guidance on Small Firms Compliance and Regulatory Obligations
  • 33-319 - CSA Staff Notice - Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
  • 33-320 - CSA Staff Notice - The Requirement for True and Complete Applications for Registration
  • 33-705 - ASC Notice - Exempt Market Sweep
  • 45-323 - CSA Staff Notice - Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions
  • 61-101 - Multilateral Instrument  - Protection of Minority Security Holders in Special Transactions
  • 61-101 - Companion Policy to Multilateral Instrument 61-101 - Protection Of Minority Security Holders In Special Transactions
  • 61-302 - CSA Multilateral Staff Notice - Staff Review and Commentary on Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions
  • 81-408 - CSA Consultation Paper – Consultation on the Option of Discontinuing Embedded Commissions
  • 81-504 - ASC Blanket Order - Re Mutual Fund Audit Reports, 2017 ABASC 106 Relates to CSA Multilateral Staff Notice 81-328
  • 93-301 - CSA Staff Notice - Derivatives Business Conduct Rule - No Overlap with Derivatives Registration Rule Comment Period

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