In this Instrument:
deliver includes deposit, furnish, provide, send or submit;
document includes information and material that is required or permitted to be filed with or delivered to a securities regulatory authority or regulator;
profile means a set of information providing a profile of a person or company;
SEDAR+ means the system for the transmission of documents known as the System for Electronic Data Analysis and Retrieval +.
In this Instrument, a reference to a document that is permitted to be filed includes an application for a decision of the regulator or securities regulatory authority.
Subject to section 3, if a person or company is required or permitted, under securities legislation or under a decision of the securities regulatory authority or regulator, to file a document with, or deliver a document to, the securities regulatory authority or regulator, the person or company must file or deliver the document by transmitting it through SEDAR+.
Unless a decision made under securities legislation provides for filing or delivery through SEDAR+, a person or company must not file or deliver the following through SEDAR+:
a document required or permitted to be filed with or delivered to the securities regulatory authority or regulator in connection with a hearing, compliance review, proceeding or investigation;
a letter required to be delivered under subsection 4.11 (8) or (9) of National Instrument 51-102 Continuous Disclosure Obligations;
a Form 51-102F3 Material Change Report filed on a confidential basis under subsection 7.1 (2) of National Instrument 51-102 Continuous Disclosure Obligations, subsection 11.2 (2) of National Instrument 81-106 Investment Fund Continuous Disclosure or, in Ontario, subsection 75 (3) of the Securities Act (Ontario);
a notice under subsection 7.1 (5) of National Instrument 51-102 Continuous Disclosure Obligations, subsection 11.2 (4) of National Instrument 81-106 Investment Fund Continuous Disclosure or, in Ontario, subsection 75 (4) of the Securities Act (Ontario);
a notice under subsection 13.2 (2) of National Instrument 51-102 Continuous Disclosure Obligations;
a notice under subsection 5 (1) or 6 (1) of National Instrument 52-108 Auditor Oversight;
a Form 62-104F1 Take-Over Bid Circular filed by an offeror in respect of a take-over bid to acquire securities of an issuer that is not a reporting issuer and that has not filed a profile under subsection 4 (1);
a notice under subsection 18.6 (2) of National Instrument 81-106 Investment Fund Continuous Disclosure;
a document that a person or company is required or permitted to file or deliver pursuant to a provision of, or a decision of the securities regulatory authority or regulator issued in respect of, securities legislation listed in Column A of the Appendix, other than the exceptions listed in Column B of the Appendix.
Before a person or company transmits a document through SEDAR+ for the first time, the person or company must file a profile by transmitting it through SEDAR+.
If information contained in a profile becomes inaccurate, the person or company must file an updated profile with the accurate information by transmitting it through SEDAR+ at the earlier of
the next time the person or company transmits a document through SEDAR+ after the date on which the person or company knew or reasonably should have known that the information contained in the profile is inaccurate, and
10 days after the date on which the person or company knew or reasonably should have known that the information contained in the profile is inaccurate.
At the time that a person or company transmits a document through SEDAR+, a person or company must pay through SEDAR+
the prescribed fee for that document, other than a fee prescribed under Multilateral Instrument 13-102 System Fees or, in Manitoba, an equivalent regulation, to the securities regulatory authority or regulator, and
the fee for that document prescribed under Multilateral Instrument 13-102 System Fees or, in Manitoba, an equivalent regulation, to the person or company's principal regulator if the principal regulator is the securities regulatory authority in the local jurisdiction.
For the purposes of subsection (1), if the person or company is transmitting through SEDAR+ a document to which Multilateral Instrument 11-102 Passport System applies, "principal regulator" has the meaning set out in Part 3, 4, 4A, 4B or 4C of Multilateral Instrument 11-102 Passport System, as applicable.
For the purposes of subsection (1), if the person or company is transmitting through SEDAR+ a document to which Multilateral Instrument 11-102 Passport System does not apply, the principal regulator is the securities regulatory authority or regulator that would be the principal regulator if Part 3 of Multilateral Instrument 11-102 Passport System applied.
Despite subsection (3), if the person or company is transmitting through SEDAR+ a Form 45-106F1 Report of Exempt Distribution, and the person or company does not have a head office in Canada or is an investment fund with an investment fund manager that does not have a head office in Canada, the principal regulator is the securities regulatory authority or regulator of the jurisdiction with which the person or company has the most significant connection.
If technical difficulties prevent a person or company from transmitting a document through SEDAR+ within the time required or permitted under securities legislation, the person or company may file the document with or deliver the document to the securities regulatory authority or regulator outside of SEDAR+ no later than 2 business days after the date on or by which the person or company was required or permitted to file the document with, or deliver the document to, the securities regulatory authority or regulator.
A person or company must include the following legend in capital letters at the top of the first page of a document filed or delivered outside of SEDAR+ in reliance on subsection (1):
IN ACCORDANCE WITH SECTION 6 OF NATIONAL INSTRUMENT 13-103 SYSTEM FOR ELECTRONIC DATA ANALYSIS AND RETRIEVAL + (SEDAR+), THIS [SPECIFY DOCUMENT] IS BEING FILED OR DELIVERED OUTSIDE OF SEDAR+ UNDER A TEMPORARY HARDSHIP EXEMPTION.
If a person or company files or delivers a document to the securities regulatory authority or regulator in the manner and within the time prescribed by this section, the person or company is exempt from the requirement to file or deliver the document by the date prescribed in securities legislation.
If a person or company files or delivers a document to the securities regulatory authority or regulator outside of SEDAR+ in reliance on this section, the person or company must transmit the document to the securities regulatory authority or regulator through SEDAR+ as soon as practicable and in any event within 3 business days of the date on which the technical difficulties have been resolved, and must include the following legend in capital letters at the top of the first page of the document:
THIS DOCUMENT IS A COPY OF [SPECIFY DOCUMENT] FILED WITH OR DELIVERED TO [LIST ALL SECURITIES REGULATORY AUTHORITIES OR REGULATORS WITH WHOM THE DOCUMENT WAS FILED OR TO WHOM IT WAS DELIVERED] ON [DATE] UNDER A TEMPORARY HARDSHIP EXEMPTION UNDER SECTION 6 OF NATIONAL INSTRUMENT 13-103 SYSTEM FOR ELECTRONIC DATA ANALYSIS AND RETRIEVAL + (SEDAR+).
Despite paragraph 3 (i), if a decision made under securities legislation requires a person or company to file a document with, or deliver a document to, the securities regulatory authority or regulator through the System for Electronic Document Analysis and Retrieval (SEDAR), the person or company must file or deliver the document by transmitting it through SEDAR+.
In British Columbia, subsection (1) does not apply.
The securities regulatory authority or regulator may grant an exemption from this Instrument, in whole or in part, subject to such conditions or restrictions as may be imposed in the exemption.
Despite subsection (1), in Ontario only the regulator may grant an exemption from this Instrument.
Except in Alberta and Ontario, an exemption referred to in subsection (1) is granted under the statute referred to in Appendix B of National Instrument 14-101 Definitions opposite the name of the local jurisdiction.
Appendix to National Instrument 13-103 System for Electronic Data Analysis and Retrieval + (SEDAR+) [am. B.C. Reg. 139/2025, Sch. C, s. 2.] Securities legislation pursuant to which documents must not be transmitted through SEDAR+ (Paragraph 3 (i))