Annotated Alberta Securities Legislation

Front Cover
CCH Canadian Limited, 2002 - 1926 pages
 

Selected pages

Contents

Tables of Concordance
xxvii
24
xxviii
Policy No Page
xxx
28
xxxiv
SECURITIES ACT
1
Definitions
7
Affiliation
16
Policy
40
Form
188
Fees on investment
189
Standard of care
190
Filing by management companies
191
Portfolio managers
192
Trades by mutual fund insiders
193
6570
206
75120
213

Part 5 Registration
44
Instrument No Page
45
Registration
49
Registration by Executive Director 77 Suspension cancellation and restrictions
50
Voluntary surrender 79 Further application 80 Application
51
Address for service 82 Further information 83 Nonresidents
52
Notice of changes
53
Part 6 Exemptions From Registration
54
Exemption of certain advisors 86 Exemption of trades by certain parties
55
Exemption of trades in certain securities
62
Exemption of trades in certain exchange contracts 89 Exemption of certain underwriters
64
Part 7Trading in Securities and Exchange Contracts Generally 90 Requirements for confirmation of trade 91 Attendance on or calls to residences 92 ...
65
Prohibited transaction
66
Dealer as principal 95 Disclosure by advisors 96 Disclosure by registered dealer 97 Disclosure by registered dealer
67
Provision of risk disclosure statement 99 Use of name 100 Holding out 101 Representations
69
Margin contracts 103 Declaration of short position
70
Rights of beneficial owners
71
Part 8Trading in Exchange Contracts 106 Trading on recognized exchange etc 107 Form of exchange contract
72
Trading on recognized exchange 109 Recognition of exchange Part 9 Distribution by Prospectuses 110 Filing prospectus
73
Preliminary prospectus 112 Receipt for preliminary prospectus 113 Prospectus and supplemental material
74
Instrument No Page
75
Underwriters certificate 118 Statement of Rights 119 Other forms of prospectus
78
Receipts for prospectuses and referrals
79
Time limits on distributions
80
Distribution of previously issued securities
81
Part 10 Distribution Generally 123 Distribution of material 124 Distribution of preliminary prospectus 125 Distribution list
82
Defective preliminary prospectus 127 Material given on distribution 128 Order to cease trading 129 Obligation to deliver prospectus
83
Revocation of purchase Part 11 Exemptions From Prospectus Requirements 131 Exemptions from prospectus requirements
84
F༠ ྃ ཌ སྶ གླ ཟླ 8ah88 8898
88
Filing report of the trade 133 Filing offering memorandum 134 First trades are distributions
91
Deemed distribution
93
First trades are distributions 137 Exception from deemed distribution 138 Exception from deemed distribution 139 First trades are distribution 140 E...
96
Reporting issuer default 142 Reporting issuer time 143 Exemptions of securities from prospectus requirements
97
Discretionary exemptions 145 Reporting issuer by declaration
98
Part 12Continuous Disclosure 146 Disclosure of material changes
99
Disclosure of material fact or change
100
Interim financial statement 149 Comparative financial statements
102
Delivery of financial statements 151 Exemptions for reporting issuers 152 Filing of information circular
103
154157
104
Mandatory solicitation 156 Restrictions on solicitation 157 Voting proxies
105
TakeOver Bids and Issuer Bids 158 Interpretation
106
Acting jointly or in concert 160 Deemed references 161 Exemptionstakeover bids
110
Exemptionsissuer bids 163 Exchange bids 164 Acquisition by offeror
114
Restrictions on offeror
115
Rules for bids
116
Payment in cash 168 Identical consideration 169 Bid circular
118
Variation of terms 171 Form and contents
119
Directors circular 173 Additional circulars
120
Form and contents 175 Commencement of bids
121
News release
123
Part 16 Enforcement 194 General offences and penalties
131
Interpretation
134
Extraprovincial warrant 197 Declaration of noncompliance
135
Cease trading order
136
Administrative penalty 200 Filing decision with Court 201 Limitation period 202 Payment of costs
137
203211
138
Civil liabilityoffering memorandum
140
Civil liabilitycircular
141
Liability of dealer or offeror 207 Liability material fact or change
143
Action by the Executive Director
146
Rescission of contract 210 Rescission by purchasemutual fund
148
212231
149
General exemption 214 Revoke or vary decisions 215 Selfincrimination 216 Requirement to disclose personal information
150
Sending of document 218 Admissibility of certified statements 219 Applications to a court 220 Service on Commission 221 Filing and confidentiality
151
Immunities
152
Lieutenant Governor in Council regulations
153
Commission rules 225 Publication of rules
158
Evidence re rule 227 Application of regulations and rules 228 Incorporation by reference 229 Exemption from a regulation or rule 230 Offence 231...
159
SECURITIES REGULATION
161
22
169
ALBERTA SECURITIES COMMISSION GENERAL RULES
171
News release
175
Earlier report or release required
178
Orders available to Commission
179
Orders available to Court
180
7
181
Reports of insider
182
Report of a legal owner
183
Interpretation
184
Loans and investments of mutual funds
185
Indirect investment
186
Discretionary exemption
187
163169
240
192
252
88
285
9
292
12
299
16
409
38
491
43
502
NATIONAL AND ASC POLICY DOCUMENTS
507
11701
517
12302
532
12601
538
12701
548
9
549
13306
560
13308
564
CERTAIN CAPITAL MARKET PARTICIPANTS
573
21301
636
32101
659
Instrument No Page
664
33105CP Underwriting Conflicts Companion Policy
680
35101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service
704
ASĆ Blanket Order
711
43101F Technical Report Form
733
10
752
44101F1 AIF Form
831
44101F2 MDA Form
841
44101CP Short Form Prospectus Distributions Companion Policy 869
848
44102CP Shelf Distributions Companion Policy
937
44103CP PostReceipt Pricing Companion Policy
951
45101F Information Required in a Rights Offering Circular Form
976
Order
995
45102F1 Report Made under Subsection 2 71 of Multilateral Instrument 45102
999
45102CP Resale of Securities Companion Policy
1005
45103F1 Offering Memorandum for NonQualifying Issuers Form
1015
45103F2 Offering Memorandum for Qualifying Issuers Form
1028
45103F3 Risk Acknowledgment Form
1037
46201F Escrow Agreement Form
1070
46501F1 Escrow Agreement for a Junior Capital Pool Issuer ASC Form
1098
ONGOING REQUIREMENTS FOR ISSUERS AND INSIDERS
1117
Instrument No Page
1143
54101F1 Explanation To Clients And Client Response Form Form
1177
54101F8 Legal Proxy Form
1190
55102F1 Insider Profile Form
1221
55102F6 Insider Report Form
1236
Instrument No Page
1255
TAKEOVER BIDS AND SPECIAL TRANSACTIONS
1265
SECURITIES TRANSACTIONS OUTSIDE THE JURISDICTION
1299
71101F1 Forms of Submission to Jurisdiction and Appointment of Agent
1328
72501CP Distributions to Purchasers Outside Alberta ASC Companion Policy
1348
81101F1 Contents of Simplified Prospectus Form
1358
81101F2 Contents of Annual Information Form Form
1383
81101CP Mutual Fund Prospectus Disclosure Companion Policy
1399
81102CP Mutual Funds Companion Policy
1470
81105CP Mutual Fund Sales Practices Companion Policy
1506
Instrument
1510
81306
1519
NATIONAL POLICY STATEMENTS
1529
15
1540
2222
1544
38
1558
41
1565
42
1581
49
1591
51
1597
CANADIAN SECURITIES ADMINISTRATORS NOTICES
1613
UNIFORM ACT POLICIES
1635
11
1752
2
1765
5
1771
2
1778
ALBERTA SECURITIES COMMISSION BLANKET ORDERS
1797
ALBERTA SECURITIES COMMISSION NOTICES
1851
13
1857
14
1864
24
1871
29
1878
34
1886
TOPICAL INDEX
1889
11302
1899
Copyright

Common terms and phrases

Alberta Securities Commission alternative trading system amendment application asset-backed securities assets audited auditor auditor's report base shelf prospectus Canadian securities regulatory Canadian Venture Exchange certificate client disclosed disclosure distribution electronic exchange contracts Executive Director filed filer financial statements GAAP income statement information processor investment issued issuer bid ITEM jurisdiction marketplace material change MRRS decision document mutual fund non-principal regulators notice offered offeree issuer offeror Ontario Securities Commission paragraph period person or company portfolio preliminary prospectus preliminary short form PREP prospectus principal regulator pro forma purchase pursuant qualified person quotation and trade receipt recently completed financial recognized exchange registrant regulation services provider Related Provisions reporting issuer respect Securities Act Securities Commission Rule securities legislation securities regulatory authorities SEDAR selling security holder shelf prospectus supplement short form prospectus subsection subsidiaries take-over bid technical report tion trade reporting system transaction underwriter voting securities

Bibliographic information

TitleAnnotated Alberta Securities Legislation
AuthorAlberta
EditorsJoanne Dolfato, Kathleen Jones-Lepidas
Editionillustrated
PublisherCCH Canadian Limited, 2002
ISBN1553670493, 9781553670490
Length1926 pages
  
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