Regulatory Alerts2024-04-16
Policy Statement to Regulation 41-101 Respecting General Prospectus Requirements
Provincial and territorial securities regulatory authorities issued this policy to describe their intended interpretation and application of Regulation 41-101 regarding general prospectus requirements. The document outlines the interrelationship with other securities legislation, including continuous disclosure, short form prospectuses, shelf distributions, and electronic filing via SEDAR+. It establishes definitions for key terms and sets forth general requirements concerning officer experience, underwriter roles, indirect distributions, over-allocation, and public interest considerations for prospectus receipts.
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