View Yukon blanket orders under the Securities Act

Current blanket exemption superintendent orders

  • SO2024-04 Temporary exemptions for derivatives firms from certain obligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligations, CSA coordinated Blanket Order 93-930, effective July 25, 2024.
  • SO2024-03 Exemption to allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities under a Prospectus, CSA coordinated Blanket Order 31-930, effective June 20, 2024.
  • SO2024-02 Exemption from derivatives reporting requirements in MI 96-101 for certain derivatives data relating to the Canadian dollar offered rate, CSA coordinated Blanket Order 96-931, effective June 28, 2024.
  • SO2023-08 Temporary exemption from the requirement to transmit a report of exempt distribution through SEDAR+ in connection with distributions of eligible foreign securities to permitted clients, CSA coordinated Blanket Order 13-933, effective July 21, 2023.
  • SO2023-07 Exemptions from certain filing requirements in connection with the launch of the System for Electronic Data Analysis and Retrieval+ (SEDAR+), CSA coordinated Blanket Order 13-932, effective July 21, 2023.
  • SO2023-06 Exemptions from certain filing requirements in connection with the deferred launch of SEDAR+, CSA coordinated Blanket Order 13-931, effective June 9, 2023.
  • SO2023-05 Exemption from derivatives reporting requirements in MI 96-101 for certain derivatives data relating to U.S. dollar London interbank offered rate, CSA coordinated Blanket Order 96-930, effective July 1, 2023.
  • SO2023-04 Temporary Exemption from certain filing requirements of NI 24-101, CSA coordinated Blanket Order 24-930, effective July 2, 2023.
  • SO2023-01 Exemption From the Director Election Form of Proxy Requirements, CSA coordinated Blanket Order 51-930.
  • SO2022-01 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers
  • SO2021-08 Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure
  • SO2021-07 Exemption from Certain Prospectus Requirements for Canadian Well-Known Seasoned Issuers
  • SO2021-06 Transitional Relief Related to the Elimination of the Deferred Sales Charge Option in respect of Client Focused Reforms Enhanced Conflicts of Interest and Client First Suitability Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
  • SO2021-05 Exemption from Proficiency Requirements in National Instrument 81-104 Alternative Mutual Funds
  • SO2020-07 Relief in Respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-101 Registration Requirements, Exemptions and Ongoing Registrant Obligations
  • SO2020-06 Relief in Respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-101 Registration Requirements, Exemptions and Ongoing Registrant Obligations
  • SO2020-01  Exemption from Certain Reporting Requirements of National Instrument 24-101 Institutional Trade Matching and Settlement 
  • SO2018-01 Exempting Certain Counterparties from Mandatory Clearing, 2018 (94-501).
  • SO2017-05 Relief from Certain Derivatives Reporting Requirements (96-501).
  • SO2017-03 Exemption from the Mandatory Clearing Requirements in NI 94-101 Mandatory Central Counterparty Clearing of Derivatives for Certain Counterparties (94-501).
  • SO2017-02 Exemption from Prescribed Form of Mutual Fund Audit Reports in National Instrument 81-102 Investment Funds (81-518).
  • SO2017-01 Exemption from Certain Requirements to Publicly Disseminate Data Under MI 96-101 Trade Repositories and Derivatives Data Reporting (96-505).
  • SO2016-08 Yukon Eligible Small Business Registration and Prospectus Exemption.
  • SO2015-08 Exemptions for Certain Private Placements to Permitted Clients (51-512).
  • SO2015-07 Exemption from Prospectus Requirement for Certain Trades to Existing Security Holders (45-534).
  • SO2015-05 Exemption from the Dealer Registration Requirement and the Adviser Registration Requirement in Respect of Trades and Advice for U.S. Resident Clients (32-525).
  • SO2010-13 Exemption from Restriction on Paying Commissions and Finder Fees in Offering Memorandum Exemption in NI45-106 (45-529).

Expired or revoked blanket exemption orders

2023

  • SO2023-02 Exemptions from certain filing requirements in connection with the launch of SEDAR+, revoked by SO2023-06 effective June 9, 2023.

2020

  • SO2020-02 Temporary Exemption from Certain Corporate Finance Requirements: expired July 21, 2020.
  • SO2020-03 Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds: expired July 15, 2020.
  • SO2020-04 Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carrying on Business in Yukon: expired July 15, 2020.
  • SO2020-05 Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants:  expired July 15, 2020.
  • SO2020-08 Temporary Variation from Borrowing Limit to Accommodate Redemption Requests of Mutual Funds Investing in Fixed Income Securities: expired July 31, 2020
  • SO2020-09 Temporary exemptions from certain requirements to file or send security holder materials: expired December 31, 2020.
  • SO2020-10 Temporary Exemption from Certain Corporate Finance Requirements with Deadlines During the Period from June 2 to August 31, 2020: expired October 15, 2020.
  • SO2020-11 Temporary Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds with Deadlines During the Period from June 2 to September 30, 2020: expired November 30, 2020.
  • SO2020-12 Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants with Deadlines During the Period from June 2 to September 30, 2020:  expired November 30, 2020.

2018

  • SO2018-02 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions (Northwest Exemption) (32-513): expired April 30, 2020.

2016

  • SO2016-02 Exemptions from Certain Requirements in Form 45-106F1 Report of Exempt Distribution: revoked October 5, 2018.
  • SO2016-03 Relief from Certain Derivatives Reporting Requirements: expired December 15, 2017.
  • SO2016-07 Exemption from Derivatives Reporting Requirements in MI 96-101 for Certain Derivatives Reported to Certain Data Centres: expired August 15, 2016.

2015

  • SO2015-01 Exemption from the Registration Requirement in NI 31-103 for Trades in Short Term Debt Instruments: expired July 11, 2015.
  • SO2015-04 Exemptions from Certain Requirements of Securities Legislation for Issuers Whose Securities Are Listed on the Aequitas Neo Exchange Inc. (13-501): expired November 17, 2015
  • SO2015-06 Exemptions from Certain CRM2 Provisions of NI 31-103: withdrawn March 7, 2019.
  • SO2015-09 Exemption from Certain Requirements in Part 6 of National Instrument 23-101: expired July 6, 2016.
  • SO 2015-10 Exemption from Certain Requirements of NI 13-101 SEDAR: expired May 24, 2016.

2014

  • SO2014-01 Transitional Exemption from complying with Consequential Amendments to NI 13-101, NI 31-102 and NI55-102 (until operations transferred from CDS to CGI): expired January 13, 2014.
  • SO2014-05 Exemption from Prospectus Requirements for Certain Trades to Existing Security Holders: revoked by SO2015-07, June 1, 2015.
  • SO2014-11 Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for MFDA Members: withdrawn March 7, 2019.
  • SO2014-12 Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for IIROC Members: withdrawn March 7, 2019.
  • SO2014-19 Exemption from the Registration Requirement in NI31-103 for Trades in Short Term Debt Instruments: revoked by SO2015-01, January 8, 2015.

2013

  • SO2013-09 Transitional Relief from Requirement to Provide Relationship Disclosure Information for IIROC Member Firms: expired March 26, 2014.
  • SO2013-10 Transitional Exemption from Complying with Consequential Amendments until Operations Transfer from CDS to CGI: revoked by SO2014-10, January 13, 2014.

2012

  • SO2012-08 Transitional Relief from the Requirement to Register as an Investment Fund Manager: expired December 31, 2012.
  • SO2012-09 Transitional Relief from the Requirement to Provide Dispute Resolution Services: expired May 1, 2014.
  • SO2012-11 Exemptions from Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets: revoked by SO2015-08, August 31, 2015.
  • SO2012-12 Exemptions from Certain Financial Statement Requirements of Form 45-106F2: expired December 21, 2014.

2011

  • SO2011-07 Revocation of Certain Superintendent's Orders: effective May 18, 2011.
  • SO2011-08 Revocation of Certain Registration Related Superintendent's Orders: effective May 18, 2011.
  • SO2011-11 Renewal of Superintendent's Order 2010-08 (Exemptions Regarding Short-Term Debt): expired March 31, 2014.
  • SO2011-12 Transitional Relief from Requirement to Provide Relationship Disclosure Information for IIROC Member Firms: expired December 31, 2013.

2010

  • SO2010-02 Exemption from Certain Sections of NI 31-103 in Connection with Transition and Grandfathering Matters: revoked May 18, 2011 by SO 2011-08.
  • SO2010-03 Exemption from Sections 3.6, 3.10 and 3.14 of NI 31-103 for Chief Compliance Officers of Portfolio Managers Adding a Category: revoked May 18, 2011 by SO 2011-08.
  • SO2010-04 Exemption from Sections 3.5 and 3.9 of NI 31-103 for Portfolio Managers Adding a Category: revoked May 18, 2011 by SO 2011-08.
  • SO2010-05 Exemption from Section 3.3 of NI 31-103 for Representatives of Scholarship Plan Dealers: revoked May 18, 2011 by SO 2011-08.
  • SO2010-06 Exemption from Section 14.5 of NI 31-103 for Certain Canadian Firms: revoked May 18, 2011 by SO 2011-08.
  • SO2010-07 Exemption from Section 13.2(2)(b) of NI 31-103 for Mutual Fund Dealers: revoked November 5, 2010 by SO 2010-20.
  • SO2010-08 Exemption from the Registration Requirement in NI 31-103 for Trades in Short-term Debt Instruments: expired September 28, 2011.
  • SO2010-09 Registration Exemption for Trades in Connection with Certain Prospectus Exempt Distributions (Northwest Exemption) Revoked August 21, 2018 by SO 2018-02 
  • SO2010-16 Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers: revoked December 31, 2010 by SO 2010-23.
  • SO2010-17 Transitional Relief from the Requirement to Provide the Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for MFDA Member Firms: expired September 28, 2011.
  • SO2010-18 Transitional Relief from the Requirement To Provide the Relationship Disclosure Information Prescribed by Section 14.2(1) of NI 31-103 for IIROC Member Firms: expired September 28, 2011.
  • SO2010-19 Relief from the Requirement Under Section 13.2(2)(b) of NI 31-103 to Establish Whether a Client is an Insider: revoked May 18, 2011 by SO 2011-08.
  • SO2010-20 Relief from the Requirement Under Subparagraph 13.2(3)(b)(i) of NI 31-103 for Mutual Fund and Scholarship Dealers: revoked May 18, 2011 by SO 2011-08.
  • SO2010-23 Exemption for Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers: expired March 31, 2011.

2008

  • SO2008-01 Specification of Required Forms: revoked May 18, 2011 by SO 2011-07.
  • SO2008-07 Relief for Venture Issuers, MI 52-109: revoked May 18, 2011 by SO 2011-07.
  • SO2008-08 Additional Specification of Required Forms: revoked May 18, 2011 by SO 2011-07.
  • SO2008-09 Exemption for Dividend Reinvestment Plans: repealed May 18, 2011 by SO 2011-07.

1999

  • RO1999-38 Yukon Small Business Investment Tax Credit Exemption (Registrar's Order): revoked November 28, 2016 by SO 2016-08.

 

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