Draft Amendments to Policy Statement 11-207 Respecting Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions

AMENDMENTS TO POLICY STATEMENT 11-207 RESPECTING FAILURE-TO￾FILE CEASE TRADE ORDERS AND REVOCATIONS IN MULTIPLE JURISDICTIONS

1. Section 3 of Policy Statement 11-207 respecting Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions is amended: (1) by deleting the definition of the expression “SEDAR”; (2) by inserting, after the definition of the expression “principal regulator”, the following: ““[Renewed System]” means [full name of new system];”.
2. The Policy Statement is amended by inserting, after section 5, the following: “Electronic Transmission 5.1. Regulation 13-103 respecting System Replacement (insert reference) prescribes that each document that is required or permitted to be provided to a regulator, except in Québec, or securities regulatory authority must be transmitted to the regulator, except in Québec, or securities regulatory authority electronically through the [Renewed System]. The reference to a document includes any report, form, application, information, material and notice, as well as a copy thereof, and applies to documents that are required or permitted to be filed or deposited with, or delivered, furnished, sent, provided, submitted or otherwise transmitted to, a regulator, except in Québec, or securities regulatory authority. To reflect the phased implementation of the [Renewed System], the Appendix of Regulation 13-103 respecting System Replacement sets out securities legislation under which documents are excluded from being filed or delivered in the [Renewed System]. Reference to Regulation 13-103 respecting System Replacement should be made when providing any document to a regulator, except in Québec, or securities regulatory authority under this policy statement.”.
3. Section 13 of the Policy Statement is amended by replacing the word “SEDAR” with the words “[Renewed System]”.
4. Section 16 of the Policy Statement is amended by replacing, in paragraph (1), the word “circulate” with the word “provide”.
5. Section 19 of the Policy Statement is amended by deleting, in paragraph (2), the words “a copy of”.
6. Section 28 of the Policy Statement is amended by replacing the words “to hold an annual meeting requirement” with the words “to hold an annual meeting”.
7. Section 33 of the Policy Statement is amended by replacing, in subparagraph (e) of paragraph (1), the word “SEDAR” with the words “[Renewed System]”.
8. Section 37 of the Policy Statement is replaced with the following: “Filing
9. A filer should send the application materials, including the draft order together with the fees, where applicable, to (a) the principal regulator, in the case of a passport application, or

2 (b) the principal regulator and the OSC, in the case of a dual application.”. 9. Section 40 of the Policy Statement is amended by replacing, in paragraph (2), the word “mark” with the word “treat”. 10. Section 45 of the Policy Statement is amended by replacing, in paragraph (1), the word “circulate” with the word “provide”.