The author provides a high-level overview, designed for legal support staff, of the continuous disclosure regulatory requirements that apply to reporting issuers in Alberta. Reporting issuers and private issuers are discussed, and common continuous disclosure documents are reviewed, including financial reports, CEO/CFO certification, annual information forms, and shareholder meeting minutes. In addition, continuous disclosure requirements, such as proxies, information circulars, and the timing of disclosure, are highlighted. Finally, the System for Electronic Document Analysis and Retrieval (SEDAR), used to file continuous disclosure documents, is briefly discussed.
This paper is part of a collection presented at LESA’s Securities Law for Legal Support Staff program in Calgary on January 7, 2016.