Regulatory Alerts2023-06-09
Policy Statement to Regulation 41-101 Respecting General Prospectus Requirements
Provincial and territorial securities regulatory authorities issued this policy to interpret and apply the provisions of Regulation 41-101 regarding general prospectus requirements. The document outlines the interrelationship with other securities legislation, including continuous disclosure, short form prospectus distributions, and electronic filing via SEDAR+. It establishes general requirements such as assessing officer experience, underwriter roles, minimum offering amounts, and rules for indirect distributions and over-allocation.
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