TSXV Corporate Finance Policies

NumberTitle
Policy 1.1 Interpretation

Interpretation (Blackline to November 22, 2022)
Policy 1.2 Filing Locations and Procedures
Policy 1.3 Schedule of Fees (Available in Spanish)
Policy 2.1 Initial Listing Requirements

Initial Listing Requirements (Blackline to August 14, 2013)
Policy 2.3 Listing Procedures

Listing Procedures (Blackline to October 10, 2019)
Policy 2.4 Capital Pool Companies

Capital Pool Companies (Blackline to January 1, 2021)
Policy 2.5 Continued Listing Requirements and Inter-Tier Movement
Policy 2.6 Reactivation of NEX Companies
Policy 2.7 Pre-Filing Conferences

Pre-Filing Conferences (Blackline to June 14, 2010)
Policy 2.8 Supplemental Listings (Available in Spanish)

Supplemental Listings (Blackline to September 5, 2017)
Policy 2.9 Trading Halts, Suspensions and Delisting

Trading Halts, Suspensions and Delisting (Blackline to July 26, 2019)
Policy 2.10 Listing of Emerging Market Issuers

Listing of Emerging Market Issuers (Blackline to July 13, 2015)
Policy 3.1 Directors, Officers, Other Insiders & Personnel and Corporate Governance

Directors, Officers, Other Insiders & Personnel and Corporate Governance (Blackline to June 14, 2010)
Policy 3.2 Filing Requirements and Continuous Disclosure

Filing Requirements and Continuous Disclosure (Blackline to May 27, 2024)
Policy 3.3 Timely Disclosure
Policy 3.4 Investor Relations, Promotional and Market-Making Activities

Investor Relations, Promotional and Market-Making Activities (Blackline to December 15, 2008)
Policy 3.5 Restricted Shares
Policy 4.1 Private Placements

Private Placements (Blackline to August 14, 2013)
Policy 4.2 Prospectus Offerings (Available in Spanish)

Prospectus Offerings (Blackline to December 15, 2008)
Policy 4.3 Shares for Debt
Policy 4.4 Security Based Compensation (Available in Spanish)

Security Based Compensation (Blackline to May 8, 2013)

Former Policy 4.4 - Incentive Stock Options (May 8, 2013)
Policy 4.5 Rights Offerings (Available in Spanish)

Rights Offering (Blackline to September 5, 2017)
Policy 4.6 Public Offering by Short Form Offering Document

Public Offering by Short Form Offering Document (Blackline to June 23, 2022)
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

Changes of Business and Reverse Takeovers (Blackline to December 15, 2016)
Policy 5.3 Acquisitions and Dispositions of Non-Cash Assets
Policy 5.4 Capital Structure, Escrow and Resale Restrictions (Available in Spanish)
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 April 7, 2021)
Policy 5.9 Protection of Minority Security Holders in Special Transactions
Policy 6.2 Transitional Provisions on the ASE and/or VSE