4 - Distribution Requirements

Decision Information

Decision Content

Changes to Companion Policy 44-103CP to National Instrument 44-103 Post-Receipt Pricing 1. The changes to Companion Policy 44-103CP to National Instrument 44-103 Post-Receipt Pricing are set out in this Schedule. 2. Part 3 is changed by adding the following after section 3.4: 3.5 Marketing Activities - Issuers and investment dealers should also refer to the guidance on marketing activities in Part 6 of the Companion Policy to NI 41-101. While the Instrument has provisions on marketing after a receipt for a final base PREP prospectus, NI 41-101 has general provisions that apply to marketing during the waiting period.. 3. These changes become effective on August 13, 2013.
 You are being directed to the most recent version of the statute which may not be the version considered at the time of the judgment.