View Yukon blanket orders under the Securities Act

Current blanket exemption superintendent orders

  • SO2018-02 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions (Northwest Exemption) (32-513).
  • 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

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  • SO2015-06 Exemptions from Certain CRM2 Provisions of NI 31-103: withdrawn March 7, 2019.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.