54-101, Communication with Beneficial Owners of Securities of a Reporting Issuer
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Effective date: |
January 26, 2017, except for subsequent amendments. |
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Published by CSA: |
May 16, 2003 |
Overview
This Instrument provides a procedure to enable a reporting issuer to send security holder materials, including proxy-related materials and annual reports, to beneficial owners of its securities who are not registered holders of its securities, and to impose obligations on various parties in the security holder communication process.
Recent developments
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Date |
Development |
Comments |
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November 29, 2012 |
Amendments |
These amendments are designed to improve procedures for reporting issuer communications with investors who hold securities through intermediaries such as dealers, trust companies and banks. The amendments are effective for February 11, 2013.
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January 26, 2017 |
The CSA published Staff Notice 54-305, Meeting Vote Reconciliation Protocols, which outlines CSA staff expectations and guidance for improving the processes involved in the tabulation of proxy votes. |
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Note: The above summary of Recent Developments does not include consequential amendments made as the result of other projects. For further details on the history of this Instrument, please refer to the OSC’s Web site. |
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