TSXV Corporate Finance Policies

NumberTitle
  Table of Contents
Policy 1.1 Interpretation
Policy 1.2 Filing Locations and Procedures
Policy 1.3 Schedule of Fees
Policy 2.1 Initial Listing Requirements
Policy 2.2 Sponsorship and Sponsorship Requirements
Policy 2.3 Listing Procedures
Policy 2.4 Capital Pool Companies
Policy 2.5 Continued Listing Requirements and Inter-Tier Movement
Policy 2.6 Reactivation of NEX Companies
Policy 2.7 Pre-Filing Conferences
Policy 2.8 Supplemental Listings
Policy 2.9 Trading Halts, Suspensions and Delisting
Policy 2.10 Listing of Emerging Market Issuers
Policy 3.1 Directors, Officers, Other Insiders & Personnel and Corporate Governance
Policy 3.2 Filing Requirements and Continuous Disclosure
Policy 3.3 Timely Disclosure
Policy 3.4 Investor Relations, Promotional and Market-Making Activities
Policy 3.5 Restricted Shares
Policy 4.1

Private Placements

Private Placements (Blackline to August 14, 2013)

Policy 4.2 Prospectus Offerings
Policy 4.3 Shares for Debt
Policy 4.4 Incentive Stock Options
Policy 4.5 Rights Offerings
Policy 4.6 Public Offering by Short Form Offering Document
Policy 4.7 Charitable Options in Connection with an IPO
Policy 5.1 Loans, Loan Bonuses, Finder's Fees and Commissions

Loans, Loan Bonuses, Finder's Fees and Commissions (Blackline to August 14, 2013)
Policy 5.2 Changes of Business and Reverse Takeovers (Available in Spanish)

Changes of Business and Reverse Takeovers (Blackline to June 14, 2010) (Available in Spanish)
Policy 5.3 Acquisitions and Dispositions of Non-Cash Assets
Policy 5.4 Escrow, Vendor Consideration and Resale Restrictions
Policy 5.5 Issuer Bids, Take-over Bids and Insider Bids
Policy 5.6 Normal Course Issuer Bids
Policy 5.7 Small Shareholder Selling and Purchase Arrangements
Policy 5.8 Issuer Names, Issuer Name Changes, Share Consolidations and Splits (Available in Spanish)

Issuer Names, Issuer Name Changes, Share Consolidations and Splits (Blackline to August 14, 2013) (Available in Spanish)
Policy 5.9 Protection of Minority Security Holders in Special Transactions
Policy 6.2 Transitional Provisions on the ASE and/or VSE

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