Regulatory Instrument Details

Securities Law & Policy

54-101 Communication With Beneficial Owners of Securities of a Reporting Issuer [NI]

54-101
Number
Title
Regulatory Instrument Type
Date Type
Date
54-101
Communication with Beneficial Owners of Securities of a Reporting Issuer – Consolidated Version
As Amended - National Instrument - 06/09/2023
National Instrument
As Amended
06/09/2023
54-101F1
Explanation to Clients and Client Response Form - Consolidated Version
As Amended - Form - 01/01/2011
Form
As Amended
01/01/2011
54-101F2
Request for Beneficial Ownership Information – Consolidated Version
As Amended - Form - 02/11/2013
Form
As Amended
02/11/2013
54-101F3
Omnibus Proxy (Depositories)
Effective - Form - 07/01/2002
Form
Effective
07/01/2002
54-101F4
Omnibus Proxy (Proximate Intermediaries)
Effective - Form - 07/01/2002
Form
Effective
07/01/2002
54-101F5
Electronic Format For NOBO List
Effective - Form - 02/11/2013
Form
Effective
02/11/2013
54-101F6
Request for Voting Instructions Made By A Reporting Issuer – Consolidated Version
As Amended - Form - 02/11/2013
Form
As Amended
02/11/2013
54-101F7
Request for Voting Instructions Made By Intermediary – Consolidated Version
As Amended - Form - 02/11/2013
Form
As Amended
02/11/2013
54-101F9
Undertaking – Consolidated Version
As Amended - Form - 02/11/2013
Form
As Amended
02/11/2013
54-101F10
Undertaking
Effective - Form - 02/11/2013
Form
Effective
02/11/2013
54-101CP
Companion Policy to NI 54-101 – Consolidated Version
As Changed - Companion Policy - 06/09/2023
Companion Policy
As Changed
06/09/2023

Proposed Amendments Related to 54-101

Number
Title
Regulatory Instrument Type
Date Type
Date
54-101
Proposed Amendments to NI 54-101 (arising from NI 51-102)
Published - Proposed Amendments to Instrument - 05/20/2021
Proposed Amendments to Instrument
Published
05/20/2021
54-101CP
Proposed Changes to 54-101CP (arising from NI 51-102)
Published - Proposed Changes to Policy - 05/20/2021
Proposed Changes to Policy
Published
05/20/2021
Related (4) Historic (21)
Number
Title
Regulatory Instrument Type
Status
Date
Request for Comment Proposed Amendments to NI 51-102 and Other Amendments and Changes Relating to Annual and Interim Filings of Non-Investment Fund Reporting Issuers and Seeking Feedback on a Proposed Framework (includes comment letters received)
Published - CSA Notice - 05/20/2021
CSA Notice
Published
05/20/2021
Notice of Implementation of NI 81-106
Published - CSA Notice - 03/11/2005
CSA Notice
Published
03/11/2005
54-301
Frequently Asked Questions About NI 54-101
Published - CSA Notice - 04/04/2003
CSA Notice
Published
04/04/2003
16
Withdrawn - National Policy Statement No. 41 - Shareholder Communication
Withdrawn - ASC Notice - 12/11/2002
ASC Notice
Withdrawn
12/11/2002
Number
Title
Regulatory Instrument Type
Status
Date
54-101CP
Changes to 54-101CP (arising from NI 13-103)
Effective - Changes to Policy - 06/09/2023
Changes to Policy
Effective
06/09/2023
54-101
Amendments to NI 54-101 (arising from NI 13-103)
Effective - Amendments to Instrument - 06/09/2023
Amendments to Instrument
Effective
06/09/2023
54-101F8
Legal Proxy - Repealed
Repealed - Form - 02/11/2013
Form
Repealed
02/11/2013
54-101
Amendments to NI 54-101
Effective - Amendments to Instrument - 02/11/2013
Amendments to Instrument
Effective
02/11/2013
54-101CP
Changes to 54-101CP
Effective - Changes to Policy - 02/11/2013
Changes to Policy
Effective
02/11/2013
Amendments to NI 54-101, 54-101CP and related amendments
Published - CSA Notice - 11/29/2012
CSA Notice
Published
11/29/2012
Proposed Amendments to NI 54-101 and 54-101CP
Published - CSA Notice - 06/17/2011
CSA Notice
Published
06/17/2011
54-101
Amendment to NI 54-101
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
Proposed Amendments to NI 54-101
Published - CSA Notice - 04/09/2010
CSA Notice
Published
04/09/2010
54-503
Revoked - Exemption from paragraph 3.3(c) of NI 54-101
Revoked - Blanket Order - 05/28/2008
Blanket Order
Revoked
05/28/2008
54-101
Amendments to NI 54-101
Effective - Amendments to Instrument - 02/09/2005
Amendments to Instrument
Effective
02/09/2005
54-101CP
Companion Policy to NI 54-101
Effective - Changes to Policy - 02/09/2005
Changes to Policy
Effective
02/09/2005
Amendments to NI 54-101
Published - CSA Notice - 12/03/2004
CSA Notice
Published
12/03/2004
Blanket Order 54-503
Published - ASC Notice - 11/14/2003
ASC Notice
Published
11/14/2003
Proposed Amendments to NI 54-101
Published - CSA Notice - 10/03/2003
CSA Notice
Published
10/03/2003
03/16/1988
Revoked - Authorization of the Director Re: National Policy Statement No. 41
Revoked - Blanket Order - 07/01/2002
Blanket Order
Revoked
07/01/2002
03/09/1988
Revoked - National Policy Statement No. 41 and Certain Reporting Issuers
Revoked - Blanket Order - 07/01/2002
Blanket Order
Revoked
07/01/2002
54-101 F1
Explanation to Clients and Client Response Form
Effective - Form - 07/01/2002
Form
Effective
07/01/2002
54-101 F2
Request for Beneficial Ownership Information
Effective - Form - 07/01/2002
Form
Effective
07/01/2002
Notice of Implementation of NI 54-101
Published - CSA Notice - 04/09/2002
CSA Notice
Published
04/09/2002
Republication for Comment Proposed NI 54-101
Published - CSA Notice - 09/01/2000
CSA Notice
Published
09/01/2000

News Releases Related to 54-101

Title
Date
Canadian Securities Regulators Adopt Amendments To Improve Issuer Communications with Investors
Nov 29, 2012
Canadian Securities Regulators Make Proposals to Improve Issuer Communications with Investors
Apr 09, 2010
New Rules for Issuers' Communications with Shareholders
Jul 08, 2002