Glossary of Terms

The defined terms used in help centre may vary from the precise definitions used in other SEDAR+ related documents, such as the Electronic Filer Agreement. Any such changes are made for ease of reference for help centre users. Users should look to the documents themselves for the specific meaning of those defined terms within the context of that document.

  1. authority
    means a security role assigned to a user in the system providing control over a profile to perform specific function(s).
  2. agent authorizing representative
    means an individual who is authorized by Filer to execute Filing Agent Authorization Forms on behalf of the Filing Agent (Agent Authorizing Representative may be modified by the Authorized Representative through such processes as may be established by the ASC).
  3. authorized representative
    means an individual that has the authority to bind Electronic Filer to the Electronic Filer Agreement (and, if applicable, to authorize a Filing Agent through a Filing Agent Authorization Form to bind Electronic Filer to the Electronic Filer Agreement.
  4. authorized super user
    means an individual who is authorized by an electronic filer to create an electronic filer’s Authorized User accounts or additional Authorized Super User accounts and to manage their access permissions in SEDAR+ on behalf of the electronic filer.
  5. authorized user
    means an individual who is authorized by an electronic filer to access and use SEDAR+ on behalf of an electronic filer, including to transmit electronic filings and pay the associated fees on behalf of an electronic filer.
  6. cease trade order (CTO)
    means an order that one or more individuals or organizations must cease trading in securities, whether directly or indirectly.
  7. company
    when creating a profile in SEDAR+, means an issuer other than an investment fund, regardless of their legal structure, including incorporated or unincorporated entities, trusts or partnerships.
  8. default (reporting issuer default)
    means a notation by a securities regulatory authority that a reporting issuer is currently deficient in one of the following ways as described in CSA Staff Notice 51-322 Reporting issuer defaults:
    • failed to file continuous disclosure prescribed by securities laws
    • filed continuous disclosure that is deficient
    • failed to pay a fee required by securities laws
    • failed to comply with any other requirement related to continuous disclosure
  9. disciplinary action
    means a decision, ruling, settlement or other enforcement order made by a ruling body against an individual or organization.
  10. disciplined list
    means the list containing the names of individuals and organizations disciplined by a ruling body for securities laws violations for conduct contrary to public interest or through no-contest settlements that have been published on SEDAR+.
  11. electronic filer
    means the filer or filing agent who is a party to an Electronic Filer Agreement.
  12. electronic filer agreement
    means the agreement between the ASC and an electronic filer that grants the electronic filer access to, and the use of SEDAR+ for the purpose of enabling and facilitating compliance with applicable securities legislation in Canada.
  13. failure-to-file cease trade orders (FFCTO)
    has the same meaning as in Multilateral Instrument 11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions
  14. filer
    means an individual or organization other than a filing agent that: (a) is required or permitted to file a document with, or deliver a document to, a securities regulatory authority; or (b) is an investment fund manager.
  15. filing agent
    means a third party authorized to act on behalf of a filer in connection with the access or use of SEDAR+ and in connection with an Electronic Filer Agreement, including to transmit electronic filings and pay the associated fees on behalf of the filer.
  16. filing subtype
    a type of electronic filing that forms part of a filing and that generates a list of document types to be attached in SEDAR+
  17. filing type
    a type of electronic filing that generates either a list of filing subtypes or a list of document types to be attached in SEDAR+. Refer to the Filing Inventory for a list of SEDAR+ filing types, filing subtypes and documents.
  18. formal correspondence
    correspondence between an electronic filer and a recipient agency using the formal correspondence functionality in SEDAR+.
  19. industry participant profile
    in the absence of an existing profile, a profile created in SEDAR+ by a securities regulatory authority in order to issue a regulatory action.
  20. investment fund
    has the same meaning as in the applicable securities legislation.
  21. investment fund group
    a group of investment funds that have a common investment fund manager. The purpose of an investment fund group is to facilitate the creation of an investment fund profile and the submission of filings for multiple investment funds. One investment fund that intends to file on its own can still be a part of an investment fund group.
  22. management cease trade order (MCTO)
    has the same meaning as in Multilateral Instrument 11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions.
  23. organization
    means any entity that is not an individual.
  24. profile (or filer profile)
    means the information identifying an individual or organization as specified in SEDAR+.
  25. recipient agency
    a securities regulatory authority to which a filing is being submitted.
  26. regulatory action
    means a reporting issuer default, a cease trade order, a disciplinary action or a temporary order.
  27. reporting issuer
    a reporting issuer is most commonly one that has issued securities under a prospectus or has otherwise become listed on a recognized stock exchange. For a complete definition, refer to the respective securities legislation.
  28. reporting issuers list
    a list maintained in SEDAR+ of reporting issuers that identifies:
    • reporting issuers in a CSA jurisdiction that the securities regulatory authorities have determined to publish on SEDAR+ (some reporting issuers may not appear due to extended inactivity);
    • reporting issuers that have been noted in default of certain requirements of securities laws in a CSA jurisdiction; and
    • reporting issuers whose securities are the subject of an active cease trade order.
  29. ruling body
    means the securities regulatory authorities, the Investment Industry Regulatory Organization of Canada, the Mutual Fund Dealers Association of Canada the Chambre de la sécurité financière, the Tribunal administratif des marchés financiers and the courts in Québec, Alberta, Manitoba and Ontario.
  30. temporary order
    means an enforcement regulatory action where the ruling body has not made a final decision.
  31. third party filer
    means an individual or organization required or permitted to file a document because of an activity relating to or affecting an issuer or the issuer’s securityholders. It also includes an individual or organization that is permitted to file an application, pre-filing or waiver and is not required to have a company or investment fund profile in SEDAR+.