Examples of MI 11-102 in a sentence
National Instrument 13-103 System for Electronic Data Analysis and Retrieval + (SEDAR+) should be consulted when providing any document to a securities regulatory authority or regulator under MI 11-102 and this policy..
Interpretation Terms defined in National Instrument 14-101 Definitions[,] [and] MI 11-102 [and, in Québec, in Regulation 14-501Q on definitions (when the Autorité des marchés financiers is the principal regulator)] have the same meaning if used in this order, unless otherwise defined.
A filer may rely on section 4.7 and 4.8 of MI 11-102 only in a passport jurisdiction.(4) The filer should give the notice referred to in subsection (1) to the principal regulator for the initial application and the notice referred to in subsection (2) to the regulator that would be the principal regulator under Part 4 of MI 11-102 if an application were to be made under that Part at the time the notice is given.
Making the submission to the principal regulator satisfies the firm’s obligation under MI 11-102 to make the submission to the regulator in the non- principal passport jurisdiction.
Amendments to MI 11-102 were implemented on September 28, 2009 to give effect to the passport system in the area of registration and, on April 20, 2012, to permit the use of the passport system for designation applications by credit rating organizations that wish to have their credit ratings eligible for use in Canadian securities legislation.