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Exemptive Relief Orders (2019 - 2021): NI 44-101 Exemptive Relief Orders

Sun Life Assurance Company Canada, Sun Life Capital Trust

23-Nov-21


Applicable Legislative Provisions: 

  • Securities Act (Ontario), ss. 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 9.4(2), and 19.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), ss. 2.1 and 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 2 and s. 8.1.
  • Form 44-101F1 Short Form Prospectus, Item 6 and s. 11.1.
  • National Instrument 44-102 Shelf Distributions, Part 2 and s. 11.1.

Telesat Corporation and Telesat Partnership LP

16-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 62-104 Take-Over Bids and Issuer Bids, Part 2 and ss. 5.2, 5.4 and 6.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 10.1(1)(a), 10.1(4), 10.1(6) and 13.1.
  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2(3), 12.2(4) and 19.1.
  • National Instrument 44-101, Short Form Prospectus Distributions, s. 8.1.
  • Ontario Securities Commission Rule 56-501 Restricted Shares, ss. 2.3(1)(1.), 2.3(1)(3.), 2.3(2) and 4.2.

Pembina Pipeline

2021-09-02


Applicable Legislative Provisions

  • National Instrument 44-101 Short Form Prospectus Distributions, ss. 8.1(1), 8.1(2).
  • Form 44-101F1 Short Form Prospectus, s. 11.1(1)7.

Nepra Foods Inc.

2021-08-10


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2, 12.3, and 19.1.
  • Form 41-101F1 Information Required in a Prospectus, ss. 1.13 and 10.6.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, ss. 1.12 and 7.7.
  • National Instrument 51-102 Continuous Disclosure Obligations, Part 10 and s. 13.1.
  • OSC Rule 56-501 Restricted Shares, Parts 2 and 3, and s. 4.2.

Brookfield Property Partners L.P. & Brookfield Property Preferred L.P.

2021-07-02


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, ss. 107 and 121(2)(a)(ii).
  • National Instrument 44-101 Short Form Prospectus Distributions, ss. 2.4 and 8.1(2).
  • Form 44-101F1 Short Form Prospectus, ss. 6.1, 11.1(1), 12.1 and 13.3.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, ss. 8.5 and 8.6.
  • National Instrument 52-110 Audit Committees, ss. 1.2(g) and 8.1.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), s. 6.1.
  • National Instrument 58-101 Disclosure of Corporate Governance Practices, ss. 1.3(c) and 3.1(2).

NextPoint Acquisition Corp

2021-06-02


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2, 12.3, and 19.1.
  • Form 41-101F1 Information Required in a Prospectus, ss. 1.13 and 10.6.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, ss. 1.12 and 7.7.
  • National Instrument 51-102 Continuous Disclosure Obligations, Part 10 and s. 13.1.
  • OSC Rule 56-501 Restricted Shares, Parts 2 and 3, and s. 4.2.

TriSummit Utilities Inc.

2021-05-17


Applicable Legislative Provisions

  • National Instrument 44-101 Short Form Prospectus Distributions, s. 2.3.
  • National Instrument 44-102 Shelf Distributions, s. 2.3.

Gage Growth Corp.

2021-03-25


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2, 12.3, and 19.1.
  • Form 41-101F1 Information Required in a Prospectus, ss. 1.13 and 10.6.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, ss. 1.12 and 7.7.
  • National Instrument 51-102 Continuous Disclosure Obligations, Part 10 and s. 13.1.
  • OSC Rule 56-501 Restricted Shares, Parts 2 and 3, and s. 4.2.

Emerge Canada Inc.

2021-03-09


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 3.1(2) and 19.1.
  • National Instrument 81-102 — Investment Funds, Parts 9, 10 and 14 and s. 19.1.

Power Financial Corporation and Power Corporation of Canada

2021-01-19


Applicable Legislative Provisions

  • National Instrument 51-102, Parts 4, 5, 6, 7 and 8, ss. 11.6, 12.1(1) and 12.2(1).
  • National Instrument 52-109.
  • National Instrument 44-101, ss. 2.2(d), 2.2(e), and 84.
  • National Instrument 44-102, ss. 2.2(1) and 2.2(3)(b)(i)(ii)(iii).
  • Form 44-101F1, ss 6.1, 11.1(1), and 11.2.

Subversive Capital Acquisition Corp.

2020-12-10


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2, 12.3, and 19.1.
  • Form 41-101F1 Information Required in a Prospectus, ss. 1.13 and 10.6.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, ss. 1.12 and 7.7.
  • National Instrument 51-102 Continuous Disclosure Obligations, Part 10 and s. 13.1.
  • OSC Rule 56-501 Restricted Shares, Parts 2 and 3, and s. 4.2.

Chemtrade Logistics Income Fund and BMO Nesbitt Burns Inc.

2020-11-12


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 71 and 147.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 8 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, ss. 6.3 and 6.7, Part 9 and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Harvest Health & Recreation Inc.

2020-02-07


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2(3), 12.2(4), 12.3, and 19.1.
  • Form 41-101F1 Information Required in a Prospectus, s. 1.13(1).
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, s. 1.12(1).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 10.1(1)(a), 10.1(2), 10.1(4), 10.1(6), and 13.1.
  • OSC Rule 56-501 Restricted Shares, ss. 2.3(1)(1.), 2.3(1)(3.), 2.3(2), 3.2 and 4.2.

Cresco Labs Inc. and Canaccord Genuity Corp.

2019-10-22


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c.S.5, as am., ss. 71 and 147.

Applicable Ontario Rules

  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, s. 6.7, Part 9, s 11.1, s. 2.2 of Part 2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Zymeworks Inc.

2019-10-04


Applicable Legislative Provisions

  • National Instrument 44-101 Short Form Prospectus Distributions, ss. 2.2(e), 8.1.
  • National Instrument 44-102 Shelf Distributions, ss. 2.2(1), 2.2(2), 2.2(3)(b)(iii), 11.1.

Canaccord Genuity Growth II Corp.

2019-08-27


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2, 12.3 and 19.1.
  • Form 41-101F1 Information Required in a Prospectus, ss. 1.13 and 10.6.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, ss. 1.12 and 7.7.
  • National Instrument 51-102 Continuous Disclosure Obligations, Part 10 and s. 13.1.
  • OSC Rule 56-501 Restricted Shares, Parts 2 and 3, and s. 4.2.

First Mining Gold Corp. and Cantor Fitzgerald Canada Corporation

2019-08-13


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 71 and 147.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1, and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, s. 5.5, items 2 and 3; s. 6.7, Part 9, s. 11.1, and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

4Front Corp.

2019-07-30


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2(3), 12.2(4), 12.3, and 19.1.
  • Form 41-101F1 Information Required in a Prospectus, s. 1.13(1).
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, s. 1.12(1).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 10.1(1)(a), 10.1(2), 10.1(4), 10.1(6), and 13.1.
  • OSC Rule 56-501 Restricted Shares, ss. 2.3(1)(1.), 2.3(1)(3.), 2.3(2), 3.2 and s. 4.2.

RBC Dominion Securities Inc. et al.

2019-06-27


Applicable Legislative Provisions

  • National Instrument 44-101 Short Form Prospectus Distributions, ss. 2.1 and 8.1.
  • National Instrument 44-102 Shelf Distributions, ss. 2.1 and 11.1.

Emera Incorporated et al.

2019-06-25


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c.S.5, as am., ss. 71 and 147.

Applicable Rules

  • National Instrument 44-101 Short Form Prospectus Distributions, Part 8 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, ss. 6.3 and 6.7, Part 9 and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

MedMen Enterprises Inc. and Canaccord Genuity Corp.

2019-03-22


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53, 74(1).
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 8 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, ss. 5.5, 6.3, and 6.7, Part 9 and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Emerald Health Therapeutics, Inc. and GMP Securities L.P.

2019-03-19


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am, ss. 71, 147.

Applicable Ontario Rules

  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, s. 6.7, Part 9, s. 11.1, s. 2.2 of Part 2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Cansortium Inc.

2019-03-13


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2, 12.3, 19.1.
  • Form 41-101F1 Information Required in a Prospectus, ss. 1.13,10.6.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, ss. 1.12, 7.7.
  • National Instrument 51-102 Continuous Disclosure Obligations, Part 10 and s. 13.1.
  • OSC Rule 56-501 Restricted Shares, Parts 2 and 3, and s. 4.2.

Canaccord Genuity Growth Corp.

2019-03-01


Applicable Legislative Provisions

  • National Instrument 41-101 General Prospectus Requirements, ss. 12.2, 12.3, 19.1.
  • Form 41-101F1 Information Required in a Prospectus, ss. 1.13, 10.6.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • Form 44-101F1 Short Form Prospectus, ss. 1.12, 7.7.
  • National Instrument 51-102 Continuous Disclosure Obligations, Part 10 and s. 13.1.
  • OSC Rule 56-501 Restricted Shares, Parts 2 and 3 and s. 4.2.

TransCanada Corporation et al.

2019-01-03


Applicable Legislative Provisions

  • National Instrument 51-102 Continuous Disclosure Obligations Parts 4, 5, 6, 7 and 8, and s. 11.6.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings.
  • National Instrument 44-101 Short Form Prospectus Requirements, ss. 2.3(1)(d), 2.4(1), 2.4(1)(b), 4.2(a)(ix).
  • National Instrument 44-102 Shelf Distributions, ss. 2.3(3)(b)(i), 2.3(3)(b)(i)(ii), 2.4(1), 2.4(3)(b)(ii), 2.4(3)(b)(iii), 8.4.
  • Form 44-101F1 Short Form Prospectus, ss. 6.1, 11.1(1), 11.2, 12.1, 13.2(b), 13.2(f).

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