SEDAR Filer’s User Guide
Release 8.056.000
July 2016
Table of Contents
About This Guide ............................................................................. 5
Introduction to SEDAR .................................................................... 7
1.1
1.2
1.3
1.4
Accessing and Exiting SEDAR ............................................................... 9
Using SEDAR....................................................................................... 13
Setting Up SEDAR ............................................................................... 16
Verifying Your Access and Banking Authorization ................................ 20
Maintaining Filer Profiles............................................................... 22
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
Overview .............................................................................................. 22
Starting a Profile ................................................................................... 25
Creating an Investment Fund Group Profile .......................................... 27
Creating an Investment Fund Issuer Profile .......................................... 31
Creating an Other Issuer Profile ........................................................... 34
Creating an Other Filer Profile .............................................................. 40
Searching for Profiles ........................................................................... 42
Monitoring Profiles ................................................................................ 55
Creating a Project........................................................................... 59
3.1
3.2
3.3
3.4
3.5
3.6
3.7
Overview .............................................................................................. 59
About Cover Pages .............................................................................. 61
Creating an Investment Funds Cover Page ........................................... 63
Creating a General Investment Funds Cover Page ................................. 69
Creating an Issuer Cover Page ............................................................. 75
Creating a General Cover Page............................................................ 80
Creating a Third Party Cover Page ....................................................... 85
Completing the Project .................................................................. 90
4.1
4.2
4.3
4.4
4.5
Overview .............................................................................................. 90
Selecting Recipient Agencies ............................................................... 91
Adding Fees ......................................................................................... 95
Attaching a File ................................................................................... 100
Submitting the Project......................................................................... 113
Assigning Secondary Filers to a Project .................................... 120
5.1
5.2
Overview ............................................................................................ 120
Maintaining Your Filer List .................................................................. 121
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5.3
5.4
About Secondary Filers ...................................................................... 127
Accessing a Project as a Secondary Filer ........................................... 137
Modifying a Submitted Project .................................................... 141
6.1
6.2
6.3
6.4
6.5
Overview ............................................................................................ 141
Adding Documents and Formal Correspondence ................................ 142
Modifying Cover Pages ....................................................................... 160
Adding Recipient Agencies to a Submitted Filing ................................ 164
Adding Fees ....................................................................................... 168
MonitoringtheProgress of Projects ............................................ 173
7.1
7.2
7.3
7.4
7.5
7.6
7.7
7.8
7.9
Overview ............................................................................................ 173
Using the Quick Search Inquiries Function .......................................... 174
Using the Advanced Inquiries Function ............................................... 191
Customizing Your View of the Filings List ............................................ 201
Refreshing Information onFilings........................................................ 206
Viewing the Access Level of Documents ............................................ 209
Viewing the Status of Filings............................................................... 212
Retrieving Formal Correspondence .................................................... 214
Viewing the Status of Fee Payments .................................................. 217
Searching for Filings.................................................................... 220
8.1
8.2
8.3
8.4
8.5
Overview ............................................................................................ 220
Searching Effectively in SEDAR ......................................................... 226
Building a Search Inquiry .................................................................... 231
Submitting an Inquiry .......................................................................... 235
Modifying a Search Inquiry ................................................................. 239
Exchanging Mail ........................................................................... 240
9.1
9.2
9.3
9.4
9.5
Creating Mail ...................................................................................... 241
Reviewing Mail ................................................................................... 246
Using Address Books ......................................................................... 249
Sending Files...................................................................................... 257
Retrieving Files ................................................................................... 260
General Information ..................................................................... 262
10.1
10.2
10.3
10.4
Changing Your Password ................................................................... 262
Updating SEDAR Code ...................................................................... 265
Obtaining Customer Assistance .......................................................... 268
Obtaining System Information ............................................................. 270
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Troubleshooting ........................................................................... 272
11.1 Troubleshooting Tips .......................................................................... 272
11.2 Common Problems ............................................................................. 273
11.3 File Messages .................................................................................... 279
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About This Guide
The SEDAR® Filer User’s Guide explains how filing
service subscribers can use the SEDAR system to
process filings electronically and perform related
tasks.
Assumptions
This guide is written with the following assumptions:
Filer User's Guide 8.056.000
•
You are familiar with the securities regulatory
process and the national and provincial rules
pertaining to the filing of securities documents.
•
You have installed SEDAR, complying with the
hardware and software requirements.
•
You have made arrangements for electronic
payment with a Canadian financial institution
offering financial electronic data interchange (EDI)
services.
•
You are familiar with the Windows environment
and have the documents to be filed electronically
prepared in the acceptable PDF, XML and XLSX
format, as described in the National Instrument
and the SEDAR Filer Manual.
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SEDAR Documentation
For more information on using SEDAR, consult the
following documentation:
•
SEDAR Installation Guide—Provides step-by-step
instructions on installing SEDAR.
•
National Instrument—Contains the regulations
governing electronic filing.
•
SEDAR Filer Manual—Contains the procedures
and guidelines for electronic filing.
Getting Help
If you have problems using SEDAR, select Help for
online information. If your specific problem is not
addressed, call the CSA Service Desk for assistance
at 1-800-219-5381.
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Chapter 1
Introduction to SEDAR
Welcome to SEDAR—the System for Electronic
Document Analysis and Retrieval. SEDAR is a
client-server software application designed to facilitate
and enhance the securities filing process in Canada.
SEDAR provides the following services:
•
Cost-efficient filing of electronic filings
•
Electronic payment of filing fees
•
Electronic communication with filing partners, the
Canadian Securities Administrators and market
centres
•
Access to a growing database of information on
Canada’s issuers.
Prior to SEDAR, issuers filing in more than one
jurisdiction had to assemble multiple copies of all
necessary securities documents with attached
cheques for each agency. SEDAR enables all relevant
documents and fees to be electronically assembled
and filed to all the desired agencies while the payment
instructions are submitted to the financial institutions
simultaneously.
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Introduction to SEDAR
SEDAR provides the subscriber with a series of blank
electronic forms containing fields for information
required by the agencies for filings sent to them. The
subscriber fills in the forms and then electronically
“attaches” the underlying securities documents and
payment instructions to the completed forms for
submission.
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Introduction to SEDAR
1.1
Accessing and Exiting SEDAR
The SEDAR main window is the launch point for
accessing all modules in SEDAR. Help can be
accessed from here as well as from all the other parts
of the system. The SEDAR main window has a File
menu from which you can select Database
Maintenance, Receive Items from SEDAR Server,
View Error Log and View Virus Logs.
Only one module can be accessed from the main
window at a time, except for Customer Assistance and
System Information. You cannot close the SEDAR
main window until all modules have been closed.
Accessing SEDAR
To connect to the SEDAR server:
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If you are using a site-to-site Internet VPN
connection, you automatically connect to SEDAR
whenever you take an action that requires that you
access the server (e.g., refreshing the information
in the User Information dialog box).
•
If you are using a standard Internet connection
(high-speed or dialup), you must open your access
to the SEDAR server. On the Start menu, point to
Programs, select SEDAR and click VPNConnect.
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Introduction to SEDAR
The following message displays:
Once connected, the following message displays:
To access SEDAR, for all supported Windows
operating systems, on the Start menu, point to
Programs, select SEDAR and click SEDAR, or
double-click the SEDAR shortcut if you created
one.
The SEDAR main window displays.
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Introduction to SEDAR
Exiting SEDAR
To close SEDAR, on the SEDAR main window, from
the File menu select Exit.
To disconnect from the SEDAR server:
•
If you have a site-to-site Internet VPN connection,
you are automatically disconnected when you exit
SEDAR.
•
If you have a standard Internet connection (highspeed or dial), you must disconnect. On the Start
menu, point to Programs, select SEDAR and click
VPNDisconnect.
The following message displays:
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Introduction to SEDAR
Once disconnected, the following message
displays:
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Introduction to SEDAR
1.2
Using SEDAR
SEDAR uses two types of windows:
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A standard window with both pull-down menus and
buttons. If both options are available for the same
operation, the button method is usually given in this
guide. These windows are like this example:
•
A type of window that uses the notebook format
with tabs like this example:
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Introduction to SEDAR
You can do the following within either window:
•
Move between buttons or fields by pressing TAB.
SHIFT+TAB moves back to the previous button or
field.
•
Move within a field using the arrow keys.
•
Move between tabs in the notebook type window
by clicking the name of the tab at the top of the
window.
The Filing Service User Functions are specific to the
tasks performed by filing service subscribers in
processing electronic filings. The General Functions
are common to all SEDAR users. These functions
enable informal correspondence and e-mail and
provide system- and user-related information.
To read any files that were attached to either a
comment letter or a receipt, you must download the
files from the SEDAR server and view them using
Adobe AcrobatTM Reader. For more information, refer
to the SEDAR Filer Manual.
The modules on the SEDAR main window are shown
and described in the following table.
Click…
To...
Create and submit filings to the SEDAR
server, monitor the status of filings in
progress and receive formal
correspondence from agencies
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Introduction to SEDAR
Click…
To...
Create, update and submit filer profiles
Search for filings in the SEDAR Filings
database on the SEDAR server
Search for profiles of electronic filers in the
SEDAR Filer Profiles database
Send and receive files and electronic mail,
and create a local address book
Set up your user defaults in SEDAR
Find out where to obtain help
Obtain hardware and software information
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Introduction to SEDAR
1.3
Setting Up SEDAR
The User Profile and Defaults module enables you to
set your user profiles, defaults and preferences.
Setting Your Defaults and Preferences
1. On the SEDAR main menu, click User Profile and
Defaults.
The User Profile and Defaults window displays.
2. Click User Defaults. The User Defaults dialog box
displays. Set your preferences as described below.
Click…
To...
Select the date format to appear
throughout SEDAR. You must use
this format whenever you enter
dates
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Introduction to SEDAR
Click…
To...
Select the language (English or
French) for SEDAR
Enter your default user ID and
password to add or remove the
user ID password prompt.
Change your password for the
host server
Specify the directory where PDF
files will be stored, and the default
directory for attaching files prior to
submitting formal correspondence
Select the default value for:
• the search inquiry function
• the previous issuers filings
retrieval
Select the default font to display
the fee information found in the
Add/Modify Fees window
3. When done, click OK to return to the User Profile
and Defaults window.
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Introduction to SEDAR
Entering Your User Information
1. On the User Profile and Defaults window, click
User Information.
The User Information dialog box displays.
2. Complete the Name (Last, First) field and all fields
in the Mailing Address section. Note: The Subject
To field indicates the tax status based on the
Province/State selected.
3. Select one of the actions shown below.
Click…
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To…
Submit
Send the information to the SEDAR server
Refresh
See the most current information on the
server
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Introduction to SEDAR
Filer User's Guide 8.056.000
Click…
To…
Cancel
Return to the User Profile and Defaults
window. If you have not submitted the
changes, you will see a confirmation
message before returning to the window
Help
Obtain online assistance
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Introduction to SEDAR
1.4
Verifying Your Access and Banking
Authorization
In the User Profile and Defaults module, verify that the
information on your access code and banking account
matches what you indicated on SEDAR Form 1 as
follows:
1. On the SEDAR main window, click User Profile and
Defaults. The User Profile and Defaults window
displays.
2. Click User Information.
The User Information dialog box displays.
3. Click Banking Authorization.
The Access and Banking Authorization dialog box
displays.
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Introduction to SEDAR
4. Review the information and do one of the following:
•
If the information is incorrect, contact the CSA
Service Desk for assistance at 1-800-2195381.
•
If the information is correct, click OK to close
the Access and Banking Authorization dialog
box. The User Information dialog box redisplays.
5. Click either:
•
Cancel—To return to the User Profile and
Defaults window, if you have already sent your
user information to SEDAR.
Select Exit. The SEDAR main window displays.
•
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Submit—To send your user information now.
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Chapter 2
Maintaining Filer Profiles
2.1
Overview
In order for a filer to submit their documents to the
recipient agencies electronically using SEDAR, the
filer must first have a filer profile on the SEDAR server.
If the filer has not previously submitted documents, a
profile must be created and submitted (see About
Filer Profiles).
If the filer has previously submitted documents
electronically through SEDAR, their profile must be
retrieved from the SEDAR server and re-used for
subsequent filings (see Searching for Profiles).
Each document to be included in an electronic filing
must be assembled as a separate file and saved in
PDF, XML or XLSX as described in the SEDAR Filer
Manual.
Keeping the documents separate ensures that they
can be retrieved individually.
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Maintaining Filer Profiles
About Filer Profiles
There are four different types of profiles, each of which
must be completed by a different category of filer. The
four types of profiles are shown below.
Profile type
To be completed and filed by…
Investment
Fund Group
Each investment fund group
Investment
Fund Issuer
Each investment fund issuer. A profile for the
investment fund group that the investment fund
issuer belongs to must first be created and
submitted
Other Issuer
A non-investment fund issuer
Other Filer
Any electronic filer not covered by the other
types
SEDAR assigns each filer profile a profile number.
This number uniquely identifies each filer so that filings
made by or on behalf of the filer can be tracked by the
recipient agencies and the SEDAR server. A
temporary number is first assigned to a profile. When
the profile is submitted to the server, this number is
then replaced with a permanent eight-digit number.
When you create and submit a new profile, it is
confidential. Only you, the commissions and the
market centres to which you have submitted the
electronic filing and the secondary filers you have
designated for that filing can view it while it is not
public.
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Maintaining Filer Profiles
A filer profile is private until one of the following
situations occurs:
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•
An agency who received the project makes public
any documents in the project.
•
The profile is submitted with a continuous
disclosure filing for a filer in the Investment Fund
Issuer or Other Issuer profile types. Filings in these
categories are automatically made public other
than the filing types “Other Filings”, “Personal
Information Form and Authorization 51-105F3A”,
“Personal Information Form and Authorization 51105F3B” and “For Regulator’s Use Only” as
described in the SEDAR Filer Manual.
•
The profile is submitted with an exempt market
offerings and disclosure filing that has an “autopublic” access level
•
An electronic filer, or an authorized filing agent
acting on their behalf, requests that the filer profile
they have filed be made available to the public. For
more information, refer to the SEDAR Filer Manual.
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Maintaining Filer Profiles
2.2
Starting a Profile
You can create a filer profile by entering prescribed
information in electronic fields using the SEDAR
Profile Management module. The information entered
in the fields is transmitted to the SEDAR server where
it is processed and stored in the Filer Profile database.
The profile information becomes accessible to all
SEDAR users when any document in a filing
containing that profile is made public or when the
electronic filer, or a filing agent acting on their behalf,
requests that the filer profile be made public.
Therefore, it is very important that you make sure that
all the information in your filer profile is current before
submitting a filing to SEDAR.
The required fields for each profile vary according to
the profile type. All fields with italicized names are
mandatory and must be filled in as a minimum before
the profile can be submitted to the server.
1. On the SEDAR main window, click Profile
Management.
The Profile Management window opens, displaying
all the profiles residing on your computer.
2. On the File menu, select New Profile or click
the New Profile button.
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Maintaining Filer Profiles
The Filer Type dialog box displays, listing the four
profile types.
3. Select a profile type.
Note: For Investment Fund Issuer profiles, you
must first submit a profile for the investment
fund group to which that investment fund
issuer belongs before you can create a
profile for an individual issuer.
Note: If there is more than one issuer within an
investment fund group, you need to create a
filer profile for each issuer. You can save
time by using the Copy Profile command on
the File menu.
4. Click OK. The [type of filer] Profile Information New dialog box displays a temporary profile
number assigned to the profile.
From this point on, the information required for the
profile types varies.
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Maintaining Filer Profiles
For information on creating a specific profile, see
one of the following sections:
2.3
•
Creating an Investment Fund Group Profile
•
Creating an Investment Fund Issuer Profile
•
Creating an Other Issuer Profile
•
Creating an Other Filer Profile
Creating an Investment Fund Group Profile
Access the Investment Fund Group Profile
Information-New dialog box. For more information, see
Starting a Profile.
1. On the Investment Fund Group Profile
Information-New dialog box, click the Name and
Manager tab at the top of the dialog box and fill in
all mandatory fields.
2. Click Mailing Address.
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Maintaining Filer Profiles
The Mailing Address dialog box displays.
3. Fill in all mandatory fields and click OK when done
to return to the Investment Fund Group Profile
Information-New dialog box.
4. Click Head Office Address. The Head Office
Address dialog box displays.
5. Fill in all mandatory fields and click OK
when done to return to the Investment Fund
Group Profile Information-New dialog box.
6. Click the Principal Regulator tab and select a
principal regulator from the drop-down list. If
the issuer is a non-reporting issuer, select
“Non-Reporting Issuer”.
7. If “Non-Reporting Issuer” was selected, go to step
11.
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Maintaining Filer Profiles
8. Select Yes or No to indicate if the basis for
determining the principal regulator is the location
of its head office.
If you select Yes, no further action is required. Go to
step 11.
If you select No, go to step 9.
9. Select Yes or No to indicate if the basis for
determining the principal regulator is the result of
an approved change.
If you select Yes, no further action is required. Go to
step 11.
If you select No, go to step 10.
10. Select the connection for determining the principal
regulator from the drop-down list.
11. Once you have completed all the mandatory fields,
the Submit button becomes available. Do one of
the following:
•
Filer User's Guide 8.056.000
Click Save to store the profile on your computer
for submission at a later time. The Profile
Management window displays with the profile
listed with a READY status.
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Maintaining Filer Profiles
•
Filer User's Guide 8.056.000
Click Submit to send the profile to the server.
Once the profile has been submitted, the Profile
Management window displays showing the
profile with a permanent profile number
assigned to it. The date and time of the
submission are also indicated.
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Maintaining Filer Profiles
2.4
Creating an Investment Fund Issuer Profile
For Investment Fund Issuer profiles, you must first
submit a profile for the investment fund group to which
that investment fund issuer belongs before you can
create a profile for an individual issuer. If you have not
already created an Investment Fund Group profile,
see Creating an Investment Fund Group Profile.
If there is more than one issuer within an investment
fund group, you need to create a filer profile for each
issuer. You can save time by using the Copy Profile
command on the File menu.
Note:
If the issuer has selected “Ceased Reporting”
in the Jurisdiction where Reporting Issuers
field, you cannot use the Copy Profile
command to create a filer profile.
If you are not on the Investment Fund Issuer Profile
Information-New dialog box, see Starting a Profile
1. On the Investment Fund Issuer Profile
Information-New dialog box, click the Name tab at
the top of the dialog box and fill in all mandatory
fields.
Click Mailing Address
and Head Office
Address and complete
mandatory information
2. Click Mailing Address. The Mailing Address, dialog
box displays.
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Maintaining Filer Profiles
3. Fill in all mandatory fields and click OK when done
to return to the Investment Fund Issuer Profile
Information - New dialog box.
4. Click Head Office Address. The Head Office
Address dialog box displays.
5. Fill in all mandatory fields and click OK when done
to return to the Investment Fund Issuer Profile
Information - New dialog box.
6. Click the Issuer Details tab and fill in all mandatory
fields.
7. Click the Reporting tab and select the jurisdiction
where the issuer is a reporting issuer in the list. If
the issuer is a non-reporting issuer, select “NonReporting Issuer”
If Ceased Reporting is
selected, a profile can no
longer be used to submit
filings or copied for use
as a new profile
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Maintaining Filer Profiles
8. Click the External Parties tab and select an item
in the list on the left. Enter the required
information in the fields on the right. Repeat for
every item, then go to step 9.
9. Click the Previous Issuers tab and select the
profiles contained in the history of the profile
currently being added or updated.
Use this tab to include
previous information about
an issuer and facilitate
your searches in the
database
For example, in the case of
a merger or amalgamation
this tab displays (and is
used to select) the issuers
that were merged or
amalgamated and made it
necessary to create this
profile
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Maintaining Filer Profiles
10. Once you have completed all the mandatory fields,
the Submit button becomes available. Do one of
the following:
2.5
•
Click Save to store the profile on your computer
for submission at a later time. The Profile
Management window displays with the profile
listed with a READY status.
•
Click Submit to send the profile to the server.
Once the profile has been submitted, the Profile
Management window displays the profile with a
permanent profile number assigned to it. The
date and time of the submission are also
indicated.
Creating an Other Issuer Profile
1. On the Other Issuer Profile Information - New
dialog box, click the Name and Contact tab at the
top of the dialog box and fill in all mandatory fields.
Click Mailing
Address and Head
Office Address and
complete mandatory
information
2. Click Mailing Address. The Mailing Address, dialog
box displays.
3. Fill in all mandatory fields. When done, click OK to
return to the Other Issuer Profile Information - New
dialog box.
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Maintaining Filer Profiles
4. Click Head Office Address. The Head Office
Address dialog box displays.
5. Fill in all mandatory fields. When done, click OK to
return to the Other Issuer Profile Information - New
dialog box.
6. Click the Issuer Details tab and fill in all mandatory
fields.
7. Click the Reporting and Markets tab
• Select the jurisdiction where the issuer is a
reporting issuer. If the issuer is a non-reporting
issuer, select “Non-Reporting Issuer”
• Select the jurisdiction where the issuer is an
OTC Reporting Issuer
• Select each stock exchange where the issuer’s
securities are listed.
If Ceased Reporting is
selected, a profile can
no longer be used to
submit filings or copied
for use as a new profile
If the issuer is listed on
a Canadian stock
exchange, you must
enter the appropriate
stock symbol
(maximum of 5
uppercase letters)
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Maintaining Filer Profiles
8. Click the Principal Regulator tab and select a
principal regulator from the drop-down list. If
the issuer is a non-reporting issuer, select
“Non-Reporting Issuer”.
9. If “Non-Reporting Issuer” was selected, go to step
13.
10. Select Yes or No to indicate if the basis for
determining the principal regulator is the location of
its head office.
If you select Yes, no further action is required. Go to
step 13.
If you select No, go to step 11.
11. Select Yes or No to indicate if the basis for
determining the principal regulator is the result of
an approved change.
If you select Yes, no further action is required. Go to
step 13.
If you select No, go to step 12.
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Maintaining Filer Profiles
12. Select the connection for determining the principal
regulator from the drop-down list.
13. Click the External Parties tab and select an item in
the list on the left. Enter the required information in
the fields on the right. Repeat for every item then
go to step 14.
Select every item in
this list one after the
other and complete
the mandatory fields
for each one
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Maintaining Filer Profiles
14. Click the Previous Issuers tab and select the
profiles contained in the history of the profile
currently being added or updated.
Use this tab to include
previous information
about an issuer and
facilitate your searches in
the database
For example, in the case
of a merger or
amalgamation this tab
displays (and is used to
select) the issuers that
were merged or
amalgamated and made
it necessary to create this
profile
15. Once you have completed all the mandatory
(i.e., italicized) fields, the Submit button becomes
available. Do one of the following:
•
Filer User's Guide 8.056.000
Click Save to store the profile on your computer
for submission at a later time. The Profile
Management window displays with the profile
listed with a READY status.
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Maintaining Filer Profiles
•
•
•
Filer User's Guide 8.056.000
Click Submit to send the profile to the server.
The SEDAR server reviews the profile details to
ensure that the stock symbol provided (for
Other Issuer profile types only) is not already
being used in another Other Issuer’s profile. If a
message displays indicating that the stock
symbol is already in use, the profile update is
not submitted and the Last Updated/Status
column in the Profile Management window
indicates the profile’s status as ReSubmit.
Click Update, correct the profile’s stock symbol
and click Submit. The profile cannot be
submitted until the stock symbol has been
corrected.
If the message persists, contact the CSA
Service Desk for additional assistance at 1800-219-5381.
Once the profile has been submitted, the Profile
Management window displays, showing the
profile with a permanent profile number
assigned to it. The date and time of the
submission are also indicated.
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Maintaining Filer Profiles
2.6
Creating an Other Filer Profile
1. On the Other Filer Profile Information - New dialog
box, click the Name and Contact tab at the top of
the dialog box and fill in all mandatory fields.
Click Head Office
Address and complete
the mandatory
information
2. Click Head Office Address. The Head Office
Address dialog box displays.
3. Fill in all mandatory fields and click OK when done
to return to the Other Filer Profile Information New dialog box.
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4. Click the Previous Issuers tab and select the
profiles contained in the history of the profile
currently being added or updated.
Use this tab to include
previous information
about an issuer and
facilitate your searches in
the database
For example, in the case
of a merger or
amalgamation this tab
displays (and is used to
select) the issuers that
were merged or
amalgamated and made
it necessary to create this
profile
5. Once you have completed all the mandatory fields,
the Submit button becomes available. Do one of
the following:
Filer User's Guide 8.056.000
•
Click Save to store the profile on your computer
for submission at a later time. The Profile
Management window displays with the profile
listed with a READY status.
•
Click Submit to send the profile to the server.
Once the profile has been submitted, the Profile
Management window displays showing the
profile with a permanent profile number
assigned to it. The date and time of the
submission are also indicated.
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Maintaining Filer Profiles
2.7
Searching for Profiles
The Search Profiles module enables you to retrieve
profiles from the SEDAR server by creating and
submitting customized inquiries. Once you create an
inquiry, you submit it to the server. The server sends
back a report listing all profiles that satisfy the search
criteria.
The following search tips will help you make your
inquiries faster and more effective.
Using Indexed Fields
The SEDAR database contains indexed fields (fields
for which an index exists) that allow faster retrieval of
data. The database is much like a book. If you are
looking for a topic, you turn to the book’s index where
you see the page number for that topic and you go
directly to those pages. If you do not find the topic in
the index, you may need to flip through every page of
the book to find the topic. Clearly, it takes longer to go
through each page of the book than it does to use the
index.
Similarly, building inquiries using these indexed fields
helps you locate data faster by speeding up the
processing time in SEDAR. You build inquiries from
the Build Issuer Profile Database Inquiry dialog box.
Only the Investment Fund Group Number and the
Profile Number indexed fields are available for profile
searches.
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When choosing a field that is not indexed, avoid
including more than one criterion in the Criteria field
(e.g., B.C., British Columbia). Adding more criteria
reduces the volume of retrieved data but increases the
retrieval time.
Recommended Operators and Criteria
The operators and criteria you select affect whether an
index is used to find the data. Use the operators and
tips listed in the table below to build inquiries.
Operator
Tips
=
• Use the = operator instead of the >=, <=, > or <
operators, whenever possible
• Whenever possible, select or enter only one
criterion for a field that is not indexed. Selecting
more than one criterion reduces the volume of
data retrieved but increases the time it takes to
find the data
Like
• Do not place a wildcard character in the first
position of a search criteria (for example, *Issuer
Name) when using this operator. If a character
exists for the field you selected, the index will not
list the entry
• To reduce the number of projects or profiles being
returned and make your inquiry faster, enter as
many characters as you can before placing a
wildcard character as the last character. Do not
place a character after a wildcard
• Whenever possible, select or enter only one
criterion for a field that is not indexed. Selecting
more than one criterion reduces the volume of
data retrieved but increases the time it takes to
find the data
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Using Operators Effectively
Before adding criteria to a profile search inquiry,
always specify whether the type of profile you are
searching for is one of the following:
•
Other Issuer
•
Investment Fund Group/Investment Fund Issuer
•
Other Filer.
The table below shows the most efficient ways to
retrieve information.
To search by…
Use…
Profile number
For the Profile Number field, use the = operator and enter:
• the profile number excluding the zeros at the beginning of the
number. A single profile is retrieved
• more than one number separated by semicolons to search on
multiple profiles (Note that only public profiles are retrieved)
A filer’s full
name
For the Issuer/Filer Name, English field, use the = operator and
enter the full name of the company
Note: Be sure to enter the exact name used when the profile was
created or last updated. If you know the profile number,
use it instead to reduce the search time
One or more
words that the
filer’s name
starts with
For the Issuer/Filer Name, English field, use the Like operator,
type in as many of the words in the company name as possible
and enter an asterisk (*) as the last character
The industry to
which the
company
belongs
For the Industry Classification of Issuer field, use the = operator
and select one of the choices. This reduces the number of profiles
retrieved but may increase the retrieval time
More than one profile may be retrieved, depending on the amount
of information you entered in the Criteria field
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To search by…
Use…
The company’s
stock symbol
For the Stock Symbol field, use any operator except Not= and Not
Like. Enter a maximum of five uppercase letters (A–Z)
2.7.1 Building a Search Inquiry
To build a search inquiry, you specify field, operators
and criteria.
1. On the SEDAR main window, click the Search
Profiles module.
The Search Profiles main window displays.
This is where the inquiries you create and submit
are listed. The list is empty until you save or submit
the first inquiry.
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2. Click New Inquiry.
The Build Issuer Profile Database Inquiry dialog
box displays.
3. In the Inquiry Name field, give a name to your
inquiry of up to eight characters. Press TAB. In the
Description field, enter additional information (up to
40 characters) to help you identify the inquiry. Both
of these fields must be completed in order to save
or submit the inquiry.
4. Select the profile types you would like to search on.
The option All Profile Types is selected by default.
Ensure that you have selected the correct profile
types before you start adding criteria to the inquiry.
5. Select a field from the List of Fields to Search On.
For each field you select, the available operators
appear.
6. Select an operator. The operator determines the
relationship between the field you are searching on
and a specific criterion.
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7. Enter a criterion. If you have selected the Like
operator, type an asterisk at the end of your
criterion, if you want to include all occurrences of
the keyword followed by another word.
For more information on operators and criteria, see
Recommended Operators and Criteria.
8. Once you have selected a field, operator and
criteria combination you can either:
•
Add it to the inquiry, and view only the selection
you added
•
Add more inquiries (field, operator and criteria
combinations).
To add another query, click Add/Keep Adding
and the selected field will be marked with an
asterisk. Repeat steps three to eight to add
more queries to your inquiry.
9. When you are finished building your inquiry, click
Add and View after entering your last criterion.
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The View Profile Database Inquiry dialog box
displays.
You can perform any of the actions shown below.
Filer User's Guide 8.056.000
Click…
To…
Change Operator
Modify an operator if you are not
satisfied with your selection
Change Criteria
Modify a criterion if you are not
satisfied with your selection
Delete Selection
Delete unwanted lines if you are not
satisfied with your selection
Clear Inquiry
Delete the entire inquiry
Build
Continue building your inquiry
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Maintaining Filer Profiles
10. Do either of the following:
•
Click Save to save your inquiry in your
database before submitting it to SEDAR. The
Search Profiles window displays.
•
Click Submit. Your inquiry is saved and displays
in the list of inquiries.
For more information on submitting inquiries from
the Search Profiles window, see Submitting a
Search Inquiry.
2.7.2 Submitting a Search Inquiry
Before you submit an inquiry to SEDAR, first save it in
your database and then submit it to SEDAR. Once the
report has been submitted, you can view the report
produced by SEDAR, using the Filer Profile Report
Viewer.
Save the profiles contained in the inquiry in the
Profiles database on your computer, using the
following procedure:
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1. On the View Profile Database Inquiry dialog box,
click Save to store the inquiry on your computer.
2. The inquiry displays on the Search Profiles
window, in the List of Issuer Profile Inquiries, with
the status “Not Submitted.”
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3. Click Submit Inquiry to send the inquiry to the
SEDAR server. Once the submission has been
made, a report is sent to your computer.
The Search Profiles window re-displays.
4. Click Open Report.
The Filer Profile Report Viewer window displays.
5. Under Report Name, highlight the inquiry that you
submitted.
The List of Profiles in Selected Report displays the
profiles that meet your criteria. The date shown
under Last Update indicates the date when a
profile was last modified by the filing service
subscriber.
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6. Select the profile you would like to view and click
Open Profile.
7.
The (type of) Profile Information - Open window
displays the profile information for the selected
filer.
8. To transfer the selected profile to your local Profiles
database, click Transfer.
Once the profile has been added to your local
database, SEDAR prompts you with a message
confirming that the transfer was successful. If the
profile being transferred already exists on your
local profile database, it is replaced by the server
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version of that profile.
Other profiles are returned if they are related to
profiles that match the inquiry criteria through a
“previous profile” relationship. If you do not want to
receive previous filer profile information, do not
select either the Issuer/Filer Name or Profile
Number fields in your search inquiry.
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2.7.3 Modifying and Updating a Search
Inquiry
The View Filer Profile Database Inquiry dialog box
enables you to view or modify inquiries. The field,
operator and criteria combination for the inquiry is
displayed.
To delete a selection, or change an operator or a
criterion, select it and select the corresponding button
below the list field. You can also view or modify on the
Build Filer Profile Database Inquiry dialog box. You
can switch between the build and view modes by
clicking OK to go to the View dialog box or clicking
Build to go back to the Build dialog box when building
or modifying an inquiry. You can also submit an inquiry
to the server from the View dialog box.
To change an inquiry that has already been saved or
submitted, open and modify the inquiry as described
above. When you submit an updated inquiry that was
previously submitted, SEDAR prompts you to enter a
new report name for the inquiry.
If you delete an inquiry that has been submitted, all
associated reports are also deleted, including all the
profiles. Profiles added to your local Profile
Management database are not deleted.
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2.8
Monitoring Profiles
From the Profile Management window, you can
refresh profiles (to make sure that you have the latest
information in your local database), and view the
status of profiles.
Refreshing a Profile
As any filing service subscriber can update any public
profile, it is important to ensure that your local
database contains the current version of the profile
before proceeding with a filing. To refresh a profile,
click on the profile on the Profile Management window,
then click Refresh Profile. To refresh more than one
profile at a time, highlight the first profile to be
refreshed, hold down the Shift key and highlight the
last profile to be refreshed. After you click Refresh
Profile, all of the profiles between and including the
first and last profiles highlighted will be refreshed.
Similarly, several profiles may be refreshed although
they are not in sequential order in your Profile
Management window. Highlight the first profile, hold
down the Control key then highlight the remaining
profiles to be refreshed by clicking on each profile. All
the profiles highlighted will be refreshed.
The Last Updated/Status column in the Profile
Management window will indicate the date the profile
was last updated. To review the profile details, click
Open. If, after reviewing the refreshed profile, you
determine that some of the profile details have not
been updated, click OK to return to the Profile
Management window and click Update.
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Updating a Profile
You can update a profile listed on the Profile
Management window by highlighting the profile and
clicking Update. Once you have updated the
necessary fields, click Submit to update the SEDAR
server version of this profile and your local copy.
The Submit button will not be highlighted
(i.e., italicized) if you have not completed all the
mandatory fields (indicated by the field names shown
in italics).
The SEDAR server will undertake a review of profile
details at the time of submission to ensure the stock
symbol provided (in Other Issuer profile types only) is
not currently indicated in another Other Issuer’s
profile. If a message displays indicating that the stock
symbol is already in use, the profile update can be
submitted by clicking Yes in the warning message box.
As well, if you attempt a profile update to the SEDAR
server for any profile type, without first having
refreshed that profile, you may receive a message
informing you that your current local copy of the profile
does not match the official copy on the SEDAR server.
The Last Updated/Status column will indicate that
profile’s status as Resubmit. You must refresh the
profile and review its details (see Refreshing a Profile)
prior to making any further changes.
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A profile is updated only once submitted to the server.
Changes that are made and saved but not submitted
will not be reflected in the profile information included
in an electronic filing.
When updating an Investment Fund Issuer or Other
Issuer profile to indicate that the issuer has ceased
reporting (select the Ceased Reporting option in the
Jurisdictions where Reporting Issuer field), be aware
of the following:
Filer User's Guide 8.056.000
•
The profile will display with the status “inactive”
in lists of profiles for creating filings
•
The profile cannot be used to send filings to
SEDAR
•
The profile cannot be copied and used as the
basis for a new profile.
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Maintaining Filer Profiles
Viewing Profile Statuses
The status of profiles is shown in the Last Updated
Status column on the Profile Management window.
The statuses and their definitions are shown below.
Filer User's Guide 8.056.000
Status
Definition
In Process
A new profile has been created and stored on
your local database. However, not all of the
mandatory fields have been filled in, so the
profile is not ready to be submitted to the
server
Ready
All mandatory fields have been filled in and the
profile is ready for submission to the server
Resubmit
An error occurred during the submission to the
server. Correct and select Submit again to
resubmit the profile to the server
Date/Time
Once a profile has been submitted to the
server, the date and time when the profile was
stored on the SEDAR server is displayed in the
Last Updated field
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Chapter 3
Creating a Project
3.1
Overview
How a Filing Is Processed
Before filing electronically, you create issuer profiles
which contain essential information, such as the name
and address of the issuer and the type of filer (for
more information, see Overview). For each filing, you
create cover pages which also include essential name
and address information (for more information, see
About Cover Pages).
After you complete your cover page, you can
assemble your filing by selecting recipient agencies,
adding fees and attaching files (for more information,
see Completing the Project). When you submit a
document to SEDAR, the submission is assigned a
permanent project number and a submission
number.
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Projects and Submissions
A project identifies a set of electronic filings that are all
related to a particular matter. For example, all filings
submitted for a prospectus are identified as part of one
project. All documents submitted by the recipient
agencies in response to that prospectus will also be
identified as part of the same project. In this example,
the electronic filings making up the project would
include the preliminary prospectus, the final
prospectus and all formal correspondence between
the filer and the recipient agencies during the waiting
period. A project enables both the filers and the
recipient agencies to track a series of electronic filings
and related regulatory responses.
To create a project, you must first ensure that your filer
profile is in your local Profile database and it contains
the most current information. When a new filing is
created, the system generates a temporary project
number that will be the same for all filings within that
project. All filings within the same project are assigned
a submission number, starting with 00000001 for each
project. Until submitted, project numbers begin with
TMP (temporary) and submission numbers with SUB
(submission). Upon submission, the SEDAR server
assigns the filing a permanent project and submission
number.
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3.2
About Cover Pages
To submit filings electronically using SEDAR, you
must complete an electronic cover page. This SEDAR
form is used to indicate the type of issuer, type of filing
and the documents that are to be included in the filing.
You enter the required information directly on the form,
then electronically attach your filer profile, files and
fees as applicable. The cover page contains all the
information relating to a project. Once submitted, the
cover page cannot be deleted from the server but
certain fields can be amended by filers.
You can create your cover page if the filer profile for
which you are filing is in your local Profile database.
SEDAR offers five types of cover pages. The cover
page you complete depends on the category of filer
and filing and the type of filing selected, as shown in
the table below.
Filer User's Guide 8.056.000
If the category
of filer is...
And the
category of
filing is...
Investment Fund
Issuers
Securities
Offering
See Cover Page Type:
Investment
Funds
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If the category
of filer is...
And the
category of
See Cover Page Type:
filing is...
Investment Fund
Issuers
All types except
Securities
Offerings
Creating a General
Investment
Funds
Investment Funds
Cover PageCreating a
General Investment
Funds Cover Page
Other Issuers
Securities
Offerings
Creating an Issuer
Cover Page
Other Issuers
All types except
Securities
Offerings
Creating a General
CoverPage
Third Party
Filers
All types
Creating a Third Party
Cover Page
You can save or modify a new filing before you submit
it to the SEDAR server. Once a project’s cover page is
created and saved, you can add recipient agencies
and fees and attach files later when you wish.
You can send a submission when all the mandatory
(i.e. italicized) fields are filled on the cover page. All
filings submitted by your organization are listed on the
Filing Management window.
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3.3
Creating an Investment Funds Cover Page
To create an Investment Funds cover page for a new
filing:
1. On the SEDAR main window, open the Filing
Management module.
The Filing Management window displays.
2. On the File menu select Create a New Filing.
The following message displays:
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Do not disregard this message, because, for
example, if an issuer has ceased reporting, their
profile will have been updated and you will no
longer be able to use the old profile to send a filing.
For more information on refreshing the list of
profiles, see “Monitoring Profiles”.
3. Click OK if the profiles you intend to use are up to
date.
The New Filing dialog box displays.
4. Select the following:
•
Category of Filer—Investment Fund Issuers
•
Category of Filing—Securities Offerings.
A list of possible filing types for your selection
displays.
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5. Select a filing type and click OK.
The Investment Funds Cover Page dialog box
displays showing information specific to the filing
type you selected.
6. Click List to display a list of investment fund group
profiles that are stored on your profiles database.
The Available Investment Fund Groups dialog box
displays.
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7. Select a profile and click OK. The Investment
Funds Cover Page dialog box re-displays with the
profile name in the Investment Fund Group Name
field.
8. Click Add Fund beside the List of Investment Fund
Issuers field to display a list of all investment fund
issuers in the selected fund group whose profiles
reside on your local Profile database.
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9. Select one or more funds and click OK.
The fund names appear in the List of Investment
Fund Issuers field.
10. Click on a fund name. The Remove Fund button
becomes available; click it if you need to delete a
fund issuer from the list.
11. Fill in the Name and Telephone fields in the
Contact Information section.
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12. Click Page 2.
The second page of the cover page displays.
Complete the fields as applicable.
13. Click Page 1 to return to the first page.
After you have completed the cover page, you can
select recipient agencies and attach fee payment
instructions and project files. Do one of the
following:
Filer User's Guide 8.056.000
•
To continue, do not exit the Investment Funds
Cover Page dialog box. For more information,
see Completing the Project.
•
To save your cover page on your PC workspace
for later assembly, click Save. The project is
assigned a temporary project number. Make
note of the number for future reference.
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Creating a Project
3.4
Creating a General Investment Funds Cover Page
To create a General Investment Funds cover page for
a new filing:
1. On the SEDAR main window, open the Filing
Management module.
The Filing Management window displays.
2. From the File menu, select Create a New Filing.
The following message displays:
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Do not disregard this message, because, for
example, if an issuer has ceased reporting, their
profile will have been updated and you will no
longer be able to use the old profile to send a filing.
For more information on refreshing the list of
profiles, see Monitoring Profiles.
3. Click OK if the profiles you intend to use are up to
date.
The New Filing dialog box displays.
4. Select the following:
•
Category of Filer—Investment Fund Issuers
•
Category of Filing—Either Continuous
Disclosure or Exemptions and Other
Applications.
A list of possible filing types for your selection
displays.
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5. Select a filing type and click OK.
The General Investment Funds Cover Page dialog
box displays, showing information specific to the
filing type you selected.
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6. Click List to display a list of profiles stored on your
local Profile database.
The Available Investment Fund Groups dialog box
displays.
7. Select a profile and click OK.
The General Investment Funds Cover Page Dialog
box re-displays with the profile name in the
Investment Fund Group Name field.
8. Click Add Fund beside the List of Investment Fund
Issuers field to display a list of all investment fund
issuers in the selected fund group whose profiles
reside on your local profile database.
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9. Select one or more funds and click OK.
Note: A separate project should be created for each
report of exempt distribution report that is required to
be filed. If filing for more than one investment fund,
create a separate project for each investment fund that
is required to file a report of exempt distribution.
The fund names appear in the List of Investment
Fund Issuers field.
10. Click on a fund name. The Remove Fund button
becomes available; click it if you need to delete a
fund issuer from the list.
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11. Fill in the Name and Telephone fields in the
Contact Information section.
12. Click Page 2.
The second page of the cover page displays.
Complete the fields as applicable for the filing type
selected. These fields can be changed after
submission.
13. Click Page 1 to return to the first page. After you
have completed the cover page, you can select
recipient agencies and attach fee payment
instructions and project files. Do one of the
following:
Filer User's Guide 8.056.000
•
To continue, do not exit the General Investment
Funds Cover Page dialog box. For more
information, see Completing the Project.
•
To save your cover page on your PC workspace
for later assembly, click Save. The project is
assigned a temporary project number. Make
note of the number for future reference.
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Creating a Project
3.5
Creating an Issuer Cover Page
To create an Issuer cover page for a new filing:
1. On the SEDAR main window, open the Filing
Management module.
The Filing Management Window displays.
2. On the File menu select Create a New Filing.
The following message displays:
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Do not disregard this message, because, for
example, if an issuer has ceased reporting, their
profile will have been updated and you will no
longer be able to use the old profile to send a filing.
For more information on refreshing the list of
profiles, see Monitoring Profiles.
3. Click OK if the profiles you intend to use are up to
date.
The New Filing dialog box displays.
4. Select the following:
Filer User's Guide 8.056.000
•
Category of Filer—Other Issuers
•
Category of Filing—Securities Offerings.
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Creating a Project
A list of possible filing types for your selection
displays. The filing type selected here determines
which recipient agencies can be selected later on
the Add a Recipient Agency dialog box. Be careful
to select the appropriate filing type within the
correct folder. For example, if you select a filing
type within the British Columbia folder, you will only
be able to select British Columbia recipient
agencies.
5. Select a filing type and click OK.
The Issuer Cover Page dialog box displays,
showing information specific to the filing type you
selected.
6. Click List to display a list of profiles stored on your
profiles database.
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The Other Issuers and Other Filers dialog box
displays.
This issuer has ceased
reporting. Select another
profile.
Note: You cannot select the profile of an issuer that
has ceased reporting. For more information
on refreshing the list of profiles, see
Monitoring Profiles.
7. Select a profile and click OK. The Issuer Cover
Page dialog box re-displays with the profile name
in the Issuer Name field.
8. Fill in the Name and Telephone fields in the
Contact Information section.
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9. Click Page 2. The second page of the cover page
displays. Complete the fields as applicable.
10. Click Page 1 to return to the first page.
After you have completed the cover page, you can
select recipient agencies and attach fee payment
instructions and project files. Do one of the
following:
Filer User's Guide 8.056.000
•
To continue, do not exit the Issuer Cover Page
dialog box. For more information, see
Completing the Project.
•
To save your cover page on your PC workspace
for later assembly, click Save. The project is
assigned a temporary project number. Make
note of the number for future reference.
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Creating a Project
3.6
Creating a General Cover Page
To create a General cover page for a new filing:
1. On the SEDAR main window, open the Filing
Management module.
The Filing Management Window displays.
2. On the File menu, select Create a New Filing.
The following message displays:
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Do not disregard this message, because, for
example, if an issuer has ceased reporting, their
profile will have been updated and you will no
longer be able to use the old profile to send a filing.
For more information on refreshing the list of
profiles, see Monitoring Profiles.
3. Click OK if the profiles you intend to use are up to
date.
The New Filing dialog box displays.
4. Select the following:
Filer User's Guide 8.056.000
•
Category of Filer—Other Issuers
•
Category of Filing—Any category except
Securities Offerings.
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Creating a Project
A list of possible filing types for your selection
displays. The filing type selected here determines
which recipient agencies can be selected later on
the Add a Recipient Agency dialog box. Be careful
to select the appropriate filing type within the
pertinent folder. For example, if you select a filing
type within the British Columbia folder, you will only
be able to select British Columbia recipient
agencies.
5. Select a filing type and click OK.
The General Cover Page dialog box displays,
showing information specific to the filing type you
selected.
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6. Click List to display a list of profiles that are stored
on your local Profile database.
The Other Issuers and Other Filers dialog box
displays.
7. Select a profile and click OK. The General Cover
Page dialog box re-displays with the profile name
in the Issuer Name field.
8. Fill in the Name and Telephone fields in the
Contact Information section.
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Creating a Project
9. Click Page 2.
The second page of the cover page displays.
Complete the fields as applicable for the filing type
selected. These fields can be changed after
submission.
10. Click Page 1 to return to the first page.
After you have completed the cover page, you can
select recipient agencies and attach fee payment
instructions and project files. Do one of the
following:
Filer User's Guide 8.056.000
•
To continue, do not exit the General Cover
Page dialog box. For more information, see
Completing the Project.
•
To save your cover page on your PC workspace
for later assembly, click Save. The project is
assigned a temporary project number. Make
note of the number for future reference.
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3.7
Creating a Third Party Cover Page
To create a Third Party cover page for a new filing:
1. On the SEDAR main window, open the Filing
Management module.
The Filing Management Window displays.
2. On the File menu, select Create a New Filing.
The following message displays:
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Do not disregard this message, because, for
example, if an issuer has ceased reporting, their
profile will have been updated and you will no
longer be able to use the old profile to send a filing.
For more information on refreshing the list of
profiles, see Monitoring Profiles.
3. Click OK if the profiles you intend to use are up to
date.
The New Filing dialog box displays.
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4. Select the following:
•
Category of Filer—Third Party Filers
•
Category of Filing—Any type.
A list of possible filing types for your selection
displays.
5. Select a filing type and click OK.
The Third Party Cover Page dialog box displays,
showing information specific to the filing type you
selected.
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6. Click List beside the Issuer Name (Offeree) field to
display a list of profiles that are stored on your local
Profile database.
The Investment Fund Issuers, Other Issuers and
Other Filers dialog box displays.
7. Select a profile and click OK. The Third Party
Cover Page dialog box re-displays with the profile
name in the Issuer Name (Offeree) field.
8. Click List beside the Filer Name (Offeror) field to
display a list of profiles that are stored on your local
Profile database.
The Investment Fund Issuers, Other Issuers and
Other Filers dialog box re-displays.
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Creating a Project
9. Select a profile and click OK.
The Third Party Cover Page dialog box re-displays
with the profile name in the Filer Name (Offeror)
field.
10. Fill in the Name and Telephone fields in the
Contact Information section.
11. After you have completed the cover page, you can
select recipient agencies and attach fee payment
instructions and project files. Do one of the
following:
Filer User's Guide 8.056.000
•
To continue, do not exit the Third Party Cover
Page dialog box. For more information, see
Completing the Project.
•
To save your cover page on your PC workspace
for later assembly, click Save. The project is
assigned a temporary project number. Make
note of the number for future reference.
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Chapter 4
Completing the Project
4.1
Overview
You use the SEDAR Filing Management module to
assemble and submit your filings, monitor the status of
your filings, add documents to your filings and
exchange formal correspondence with the agencies
reviewing your filings.
You can start assembling your filing submission once:
•
The filer profile for which you are filing is in your
local Profile Management database
•
You have created a cover page.
After you create a cover page, you assemble your
filing by:
•
Selecting recipient agencies
•
Adding fees
•
Attaching files.
You can save or modify the filing at any time before
you submit it to the server. Therefore, you may want to
add recipient agencies and fees ahead of time and
attach files later when they are ready. You can send a
submission when all the mandatory fields are filled in
on the cover page. All filings sent by your filing service
subscriber company are listed on the Filing
Management window.
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4.2
Selecting Recipient Agencies
Before selecting the agencies to which you will submit
the project, you must first create the cover page. For
more information, see Creating a Project.
After all Issuer Information fields have been completed
on the cover page, the Agencies button becomes
available.
Note that after the initial submission, you can only add
recipient agencies of the type selected initially and
only using the Add to a Filing, Document function.
To select the agencies that receive a copy of the filing:
1. If you are already on the project cover page, go to
step 2.
If you are not on the project cover page, open the
Filing Management window and select the filing for
which you want to select recipient agencies, and
click Open.
The [type of filing] Cover Page dialog box displays.
2. Click Agencies.
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The Add a Recipient Agency dialog box displays
listing the available agencies.
Depending on the category of filer, the category of
filing and the filing type, and the folder in which it is
located, one of the following options displays in the
Agency Type field:
•
Commissions
•
Market Centres (Exchanges)
•
Commissions and Market Centres
(Exchanges).
The Test Filing option is always available.
Note: To become familiar with SEDAR, you can
submit a file as a test by clicking Test Filing.
Your submission is sent to the SEDAR
server but no agency receives it.
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3. In the Agency Type field, click the agency type for
your filing or test filing.
4. In the Agency field, select the required agencies.
5. Click OK.
The Recipient Agencies dialog box displays with
the agencies selected in step 4.
6. Click the Principal column beside the name of a
commission to designate it as the principal
regulator. For non- reporting issuers, the
principal column will display as N/A (Not
Applicable).
You cannot designate a market centre as the
principal regulator.
7. If you want to include the SEDAR e-mail ID of the
contact person at the agency who can be
contacted by the filer via SEDAR email when the
filing is received by an agency, do the following:
a. Click Email ID to open the Email ID dialog box.
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b. Select the recipient agency and enter the user ID.
c. Click OK. The Recipient Agencies dialog box redisplays showing the selected email ID in the
Reference Email ID box.
8. Click OK. The [type of filing] Cover Page dialog box
re-displays.
9. You may add fees and attach files to the project.
Select one of the actions below.
To…
Do this…
Add fees
Do not close the window. See
Adding Fees
Attach files
Do not close the window. See
Attaching a New Document, or
Attaching a Previously Filed
Document
Save the cover
page information
on your database
for later
submission
Filer User's Guide 8.056.000
Click Save. The Filing Management
window displays
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Completing the Project
4.3
Adding Fees
After all Issuer Information fields have been completed
on the cover page, the Fees button becomes
available. It can be used if you have already selected
recipient agencies. If you have not done so, see
Selecting Recipient Agencies.
To indicate the amount of fees owed to the recipient
agencies (if applicable for your filing):
1. If you are already on the project cover page, go to
step 2.
If you are not on the project cover page, open the
Filing Management window, select the filing to
which you want to add fees, and click Open. The
[type of filing] Cover Page dialog box displays.
2. Click Fees. The Add/Modify Fees dialog box
displays, showing the fee schedule for the first
recipient agency on the list.
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3. Select the agency to which you want to submit
fees.
The fee schedule for the selected agency displays
in the Filing Fees field.
4. Enter the fee amounts in the Amount$ column
beside the corresponding fee descriptions.
Note: Taxes are charged on all applicable market
centre filing fees. They are calculated in the
columns beside the Amount$ column. Taxes
are calculated automatically based on the
Subject To line of the User Information
dialog box. For more information see
Entering Your User Information.
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If you are creating the cover page for an investment
fund group, there may be more than one fund
issuer in the group. If this is the case, the name of
every issuer is shown in the Issuer/Filer field. You
must select each issuer, in turn, to enter fees for the
filings done by each one.
5. To submit fees to other agencies, select another
agency from the Agencies field. The Filing Fees list
displays for that agency. Enter the fee amounts in
the Amount$ column beside the corresponding fee
description.
Repeat this process for each agency to which you
want to submit fees.
6. When you have entered all the required fees, click
OK. The Summary of Filing Fees dialog box
displays, showing the details of fees submitted as
follows:
•
Total Project Fees (to date)
•
SEDAR System Fees (to date)
•
Agency Fees (to date).
The Agency Fees (to date) are for the agency
selected in the field at the top left of the Agency
section, and for the issuer or filer selected in the
Issuer/Filer Name field in the case of Investment
Funds which have multiple issuers.
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WIP (work in progress)Fees entered but not
submitted to SEDAR
Submitted – Total project
fees submitted to SEDAR
Paid – Submitted to SEDAR
and confirmed as paid by a
financial institution
Rejected – Submitted to
SEDAR but rejected by a
financial institution (for
example, for insufficient
funds). All fees include
applicable taxes.
If the agency is a market centre, all amounts in this
section include the applicable taxes. The
breakdown of the taxes displays at the bottom of
the section.
7. To add or delete fees, click Add/Modify. The Add/
Modify dialog box re-displays.
•
To add fees, repeat steps 3 to 6.
•
To delete fees, repeat steps 3 to 6, but delete
the fees in the Amount$ column instead of
entering them.
Note: You cannot delete fees that have already
been submitted to the server.
8. Click OK to save the payment instructions. The
[type of filing] Cover Page displays.
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9. Select one of the actions from the following table.
Filer User's Guide 8.056.000
To…
Do this…
Attach files
Do not close the window. See
Attaching a New Document or
Attaching a Previously Filed
Document
Submit the project
Do not close the window. See
Submitting the Project
Save the cover
page information
on your database
for later
submission
Click Save. The Filing Management
window displays
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Completing the Project
4.4
Attaching a File
Before attaching a file, you must first create a cover
page. If you have not done so, see Creating a Project.
Once your cover page is created, you are ready to
attach files. Note that the document you attach can be
located in:
•
Your PC workspace
•
Your SEDAR workspace
•
The SEDAR server database.
The procedure for attaching a document to your filing
varies depending on its location. See the table below
to find out which procedure you should follow.
Filer User's Guide 8.056.000
If your document is on...
See...
Your PC workspace
Attaching a New Document
Your SEDAR workspace
Attaching a New Document
The SEDAR server database
Attaching a Previously Filed
Document
Page 100
Completing the Project
4.4.1 Attaching a New Document
To attach a previously filed document, see Attaching
a Previously Filed Document.
All documents that have not been previously filed must
be saved in the format called PDF, XML or XLSX as
applicable. For more information on this format, refer
to section 7 of the SEDAR Filer Manual.
To attach a document that has never been filed and is
located on your PC or SEDAR workspace:
1. If you are already on the project cover page, go to
step 2.
If you are not on the project cover page, open the
Filing Management window and select the filing to
which you want to attach a file. From the File
menu, select Add to a Filing, Documents. The [type
of filing] Cover Page dialog box displays.
2. On the [type of filing] Cover Page dialog box, select
a document type in the Filing Subtype/Document
Type field and click Attach File.
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The Attach File dialog box displays.
To ensure that
the files in your SEDAR
workspace are up to date
before attaching them, click
Refresh List
3. Select the following:
•
The location of the file you want to attach (PC
workspace or SEDAR workspace)
•
The file type
•
The drive
•
The directory
•
The name of the file, with the accepted
extension.
The Document Name, Path and File fields at the
top of the dialog box are completed automatically.
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4. Click OK to return to the [type of filing] Cover Page
dialog box.
Note:
If you attempt to send a file which contains
annotations, such as attached files or
embedded objects, the following message
displays:
“The file cannot contain annotations (attached
files or embedded objects). Please remove
them and resave the file.”
For more information, see File Messages
You can take any of the actions shown below or go
directly to step 5.
Filer User's Guide 8.056.000
To...
Do this...
Attach many files
to the same
document type
Select the document type in the Filing
Subtype/Document Type list and click
Duplicate to create a copy of that
document type in the list. Repeat
steps 3 and 4
Attach files to a
different
document type
Repeat steps 2 to 4
Detach a file from
the cover page
From the [type of filing] Cover Page
dialog box, select a document in the
Filing Subtype/Document Type list and
click Detach File
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Completing the Project
To...
Do this...
Add a document
type that does not
appear on the list
Scroll down the Filing Subtype/
Document Type list, select the
document type Other and click Add
Document. The Add Document dialog
box displays. Complete all fields. Click
either:
• OK—To return to the [type of filing]
Cover Page dialog box
• Add Document—To add a document
immediately and enter another
document type
5. From the [type of filing] Cover Page, select one of
the actions below when you have attached all the
files you need to include in your submission.
Filer User's Guide 8.056.000
To…
Do this…
Select recipient
agencies
Do not close the window. See
Selecting Recipient Agencies
Submit the project
Do not close the window and see
Submitting the Project
Save the cover
page information
on your database
for later
submission
Click Save. The Filing Management
window displays
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Completing the Project
4.4.2 Attaching a Previously Filed
Document
It is possible to reuse certain documents already
submitted to SEDAR. For example, in the case of a
take-over bid filing, as the filer, you may want to use
the issuer’s financial statements to submit to agencies.
The filings you are allowed to search in for documents
are restricted to the filings associated with the profile
number of the issuer for the filing you are creating.
You can search on this issuer’s:
•
Public filings
•
Private filings for which you are the primary filer or
a secondary filer with the Retrieve or Submit
privilege.
You cannot reuse documents sent as formal
correspondence or with one of the following private
access levels:
Filer User's Guide 8.056.000
•
Private – Draft
•
Private – Virus
•
Private – Incorrect Filing
•
Private – Incorrect Format
•
Private – Nonpublic
•
Private – Nonpublic – Incorrect.
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Completing the Project
Before the implementation of Release 6.0, accepted
file formats were:
•
For WordPerfect documents – .w51, .w52, .w60
and .w61
•
For Word for Windows – .doc
•
For PDF documents – .pdf.
You can attach a pre-release 6.0 document saved in
any of these formats because the document on the
SEDAR server is not actually resubmitted to the
server.
To attach a previously filed document:
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1. If you are already on the project cover page, go to
step 2.
If you are not on the project cover page, open the
Filing Management window and select the filing to
which you want to attach a file. From the File
menu, select Add to a Filing, Documents.
The [type of filing] Cover Page dialog box displays.
2. On the [type of filing] Cover Page dialog box, select
the document type in the Filing Subtype/Document
Type field and click Attach File. The Attach File
dialog box displays.
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3. Click Previously Filed Documents. You are
prompted to select an issuer profile if you did not
do so on the cover page.
The Previously Filed Projects/Documents section
displays.
4. Click Search.
The Search for Previously Filed Documents dialog
box displays.
SEDAR displays only the
documents associated with
that profile number. In the
case of an Investment
Fund Issuer filing, the
profile number used is that
of the Investment Fund
Group
The date range fields are
unavailable when you enter
a project number
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5. To narrow your search, you can:
•
Enter a project number
•
Select a Category of Filing or a Filing Type, or
both. You can also change the Date range if
desired (the default is one year).
6. Click Submit. After the search is done:
•
If there are no projects matching your search
criteria, the Search for Previously Filed
Documents dialog box re-displays. Change
your search criteria or click cancel to return to
the Attach File dialog box.
•
If there are filings matching your search criteria,
the Attach File dialog box displays showing the
search results.
The list of projects and documents displayed
remains available until you save, submit or cancel
the submission from the cover page.
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7. Select the document to attach and click OK.
The [type of filing] Cover Page dialog box re-opens.
The Path and File are
automatically updated
Expand the folder to display
each document
The access level of the newly attached document is
private, regardless of its access level in the original
project, until an agency changes the access level in
the current project (except for filings which are
automatically made public upon submission to
SEDAR.) If an agency changes the access to this
document in your current project, it does not
change the access of the document in the original
project.
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From the [type of filing] Cover Page, you can take
any of the actions shown below or go directly to
step 8.
To...
Do this...
Attach other
previously filed
documents to the
same document
type
Select the document type in the Filing
Subtype/Document Type list and click
Duplicate to create a copy of that
document type in the list. The Attach
File dialog box displays. Repeat
steps 3 to 5
To attach previously
filed documents to
a different
document type
Repeat steps 2 to 5
To detach a file from
the cover page
From the [type of filing] Cover Page
dialog box, select a document in the
Filing Subtype/Document Type list and
click Detach File
To add a document
type that does not
appear on the list
Scroll down the Filing Subtype/
Document Type list, select the
document type Other and click Add
Document. The Add Document dialog
box displays. Complete all fields. Click
either:
• OK—To return to the [type of filing]
Cover Page dialog box
• Add Document—To add a document
immediately and enter another
document type
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8. From the [type of filing] Cover Page, select one of
the actions below when you have attached all files
you need to include in your submission.
Filer User's Guide 8.056.000
To…
Do this…
Select recipient
agencies
Do not close the window. See
Selecting Recipient Agencies
Submit the project
Do not close the window. See
Submitting the Project
Save the cover
page information
on your database
for later
submission
Click Save. The Filing Management
window displays
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Completing the Project
4.5
Submitting the Project
Once you have completed your cover page, attached
the files to be sent to the recipient agencies you
selected, and added your fees, you are ready to
submit your project.
This section explains how to monitor the status of your
unsubmitted filings and how to transmit your project. It
also includes a short description on viewing the status
of your submitted filings.
Before submitting your project, note the following:
Filer User's Guide 8.056.000
•
You should save the project on your local
workspace before submitting it. The Save button
becomes available after all the fields in the Issuer
Information section on the cover page have been
completed.
•
You can detach files only before submitting the
project to the SEDAR server. If you want to detach
a file from a project, follow the procedure for
attaching files, but from the [type of filing] Cover
Page dialog box, click Detach File instead of Attach
File.
•
Ensure that all details of your submission are
accurate before you send it to the SEDAR server.
•
You can submit the filing from the [type of filing]
Cover Page dialog box. However, this method does
not allow you to save the filing in your database
first.
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Completing the Project
4.5.1 Monitoring the Status of
Unsubmitted Filings
You can view the status of your unsubmitted filings in
the Date column on the Filing Management window. A
list of statuses is shown below.
Status
Indicates that...
In Process
A new filing was created and stored on your
database but is not ready for submission to
SEDAR because:
• Not all mandatory fields have been completed,
or
• The profile used to create it is no longer active
Ready
All mandatory fields have been completed and
the filing is ready for submission to SEDAR
Resubmit
An error occurred during the submission to
SEDAR or the file transfer was aborted before it
was completed. See File Messages
4.5.2 Transmitting the Project
To submit the project:
1. If you are on the Filing Management window, go to
step 2.
If you are on the project cover page, click Save to
save the new filing submission in your database, if
you have not already done so.
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The Filing Management window re-displays
showing the filing identified by temporary project
and submission numbers.
When a new filing is
submitted, the date and
time of reception at
SEDAR (Eastern Time)
replaces the READY
status
SUB prefix—
Documents included
in an additional filing,
not yet submitted
2. Select the filing and click Submit. See the table
below for further instructions based on the type of
cover page and documents you are using.
Filer User's Guide 8.056.000
If you are filing...
This happens...
Go to...
Filings for which no
SEDAR or agency fees
are charged
The filing is sent
directly to the
SEDAR server
(the Charge
Summary dialog
box does not
display)
Viewing
Completed
Submissions
Page 115
Completing the Project
If you are filing...
This happens...
Go to...
Any other types of
filings
The Charge
Summary dialog
box displays (see
the illustration in
Step 3)
Step 4
3. The Charge Summary dialog box displays.
Before authorizing payment, click
Print to print this dialog box for
auditing or other purposes
In the Agency section, the GST, QST or HST
columns show the applicable taxes on market
centre filing fees. The applicable taxes depend on
the Subject To line of the User Information dialog
box. For more information, see Entering Your User
Information.
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The Total Agency Fees, Total SEDAR System Fees
and Total Amount Payable fields in the bottom right
of the dialog box are calculated as shown below.
Total Agency
Fees
= Agency Fees + GST + QST + HST
Total SEDAR
System Fees
= SEDAR System Fees
Total Amount
Payable
= Agency Fees + SEDAR System
Fees + applicable taxes
4. Complete the Matter Number field if desired. This
field is optional; it is a number you assign for your
reference only.
The Matter Number can be a maximum of 20
characters in any of the following combinations:
•
Letters—a to z, upper and lowercase
•
Digits—0 to 9
•
Punctuation—period, hyphen, parentheses.
5. Click Authorize.
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The Payment Authorization dialog box displays.
6. On the Payment Authorization dialog box, enter the
required user IDs and passwords and click Pay.
Either of the following occurs:
•
If the user IDs are valid, the files are submitted
to the agencies and the payment instructions to
the financial institution.
•
If the user IDs are not valid, the SEDAR Filing
Management dialog box displays.
Click OK, then enter the correct user IDs
and passwords and click Pay. Or, if your
banking authorization user ID and password
are not set up correctly, contact the CSA
Service Desk for assistance at 1-800-2195381.
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4.5.3 Viewing Completed Submissions
Completed submissions appear in the Filing
Management window showing the filing with
permanent project and submission numbers, and the
date and time of reception at SEDAR.
Date and time
(Eastern Time) of
reception at SEDAR
To monitor the status of filings:
1. On the Filing Management window, click Refresh
List to ensure that the files are up to date, or select
a filing and click Refresh Project.
2. Click Status. The first status, Filed with SEDAR, is
automatically set by the server. For more details on
viewing the status of filings, see Viewing the
Status of Filings.
For information on viewing the status of fee
payments, see Viewing the Status of Fee
Payments.
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Chapter 5
Assigning Secondary
Filers to a Project
5.1
Overview
SEDAR enables the designation of one primary and
several secondary filers for any filing.
The primary filer is the filing service subscriber who
initiates the filing. Secondary filers are all other filing
service subscribers assigned to that filing. Both the
primary and the secondary filers can participate
directly in the filing, which means that a filing can
comprise many documents which are prepared by
different filing service subscribers and submitted under
the same project number.
As a filer, you can create a list of filers from which to
select secondary filers. As primary filer, you assign
secondary filers to the filing and determine which of
the following three functions they can use: View,
Retrieve or Submit. Agencies can view the list of
secondary filers and the functions assigned to each
filer.
To create your list of filers and assign them to filings,
use the Filer List dialog box. To indicate the functions
they can use, go to the Secondary Filer Access dialog
box. The procedures for doing these tasks are in the
following pages.
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5.2
Maintaining Your Filer List
In SEDAR, you maintain a general list of filers, much
like keeping a special address book of filers. As
primary filer for a project, you select filers from this
general list to create a list of secondary filers specific
to the project.
You maintain the general list on your local workspace,
not in the SEDAR server. Your filer list is independent
from the secondary filer list you create for a project.
Consequently:
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•
You do not submit the general list of filers to the
SEDAR server.
•
You do not share the general list with any other
SEDAR users.
•
For every project, you create a specific list of
secondary filers that you submit to the SEDAR
server.
•
Changes you make to the information on a filer in
the general filer list are not automatically made to
the lists for the projects the filer has been assigned
to. You must select each associated project and
update the information on that secondary filer.
•
Deleting filers from the general filer list does not
delete them from the project lists.
•
You can delete filers from a project list without
deleting them from the general filer list.
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5.2.1 Adding Filers to Your Filer List
You can add up to 100 filers to your filer list.
Create your filer list on the Filer List dialog box, which
you access from the Filing Management window or the
Secondary Filer Access dialog box.
To add filers to your filer list:
1. On the Filing Management window, select Filer List
from the Options menu.
Or,
On the Filing Management window, select a filing
and select Secondary Filer Access from the View
menu. When the Secondary Filer Access dialog
box displays, click Add.
The Filer List dialog box displays.
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2. Enter the information on the filers you want to add
to your list in the Add/Modify Filer field.
3. Click Add/Modify. Each filer added is displayed in
the Filer List field.
4. If you accessed the Filer List dialog box from the
Filing Management window, click OK to return to
that window.
or,
If you accessed the Filer List dialog box from the
Secondary Filer Access dialog box, do either of the
following:
•
Assign the new filers as secondary filers to the
project. For more information, see Adding
Secondary Filers to a Project.
•
Click OK to return to the Secondary Filer
Access dialog box without assigning the new
filers as secondary filers to the project.
5.2.2 Updating Filer Information in Your
Filer List
Update the information on filers in the filer list on the
Filer List dialog box, which you access from the Filing
Management window.
Changes made to filers in the Filer List dialog box are
made to the general list on your local workspace only.
If you want the changes to be effective for a project,
you must also make the changes to the project’s
secondary filer list. For more information, see
Updating Secondary Filer Information in a Project.
To update filer information in your filer list:
1. On the Filing Management window, from the
Options menu select Filer List.
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The Filer List dialog box displays.
2. Select the filer you want to modify and enter the
changes in the Add/Modify Filer field.
3. Click Add/Modify. A message displays asking you if
you really want to make the changes.
4. Click either:
•
Yes—To save the changes.
•
No—To verify that you have made the correct
changes, then click Add/Modify and Yes.
5. Click OK to return to the Filing Management
window.
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5.2.3 Deleting Filers from Your Filer List
You delete filers from your list of filers on the Filer List
dialog box, which you access from the Filing
Management window.
To delete filers from your filer list:
1. On the Filing Management window, select Filer List
from the Options menu.
The Filer List dialog box displays.
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2. Select the filer you want to delete and click Delete.
A message displays asking you if you really want
to delete the selected filer.
3. Select one of the following:
•
Yes—To delete.
•
No—To verify that you have selected the
correct filer, then click Delete and Yes.
The selected filer is immediately removed from the
list.
4. Click OK to return to the Filing Management
window.
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5.3
About Secondary Filers
You can add up to 50 secondary filers to a project.
As primary filer, you can grant and revoke access to
secondary filer functions at any time, even while the
secondary filer is using those functions.
For each filer added, you must determine the functions
they can use (the default setting is None). The
definitions and table below will help you understand
the use of each of function.
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•
View—Enables the user to see all document titles
and access, status details, fees, issuer and filer
profiles, recipients and authorizations, and
secondary filer access.
•
Retrieve—Enables the user to download filing
documents for viewing.
•
Submit—Enables the user to transmit filings, make
fee payments, and update cover pages (contact
information and other changeable fields), provided
they were previously granted the additional
required access.
If you enable the
secondary filer to use...
They can use...
View
View
Retrieve
Retrieve
View
Submit
Submit
View
Retrieve
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5.3.1 Adding Secondary Filers to a Project
To add secondary filers to a project:
1. On the Filing Management window, select the
required filing. From the View menu, select
Secondary Filer Access.
The Secondary Filer Access dialog box displays.
2. Click Add.
The Filer List dialog box displays.
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3. Click the check field under the Add column beside
the filers you want to add to the project and click
OK.
The Secondary Filer Access dialog box redisplays
showing the selected filers and their current access
as None. (If there are no filers in your list, see
Adding Filers to Your Filer List to create a list.)
From the New Access
list beside their name,
select the functions
you want the
secondary filer to use
4. For each secondary filer you added, select the
functions you want them to use from the New
Access list beside their name (the default setting is
None).
Note: You can click Cancel before submitting your
changes to the server to return to the Filing
Management window without making
changes.
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5. Click Submit to send your changes to the server.
The server is updated immediately and the Filing
Management window displays.
6. Contact the secondary filer and provide them with
the following information:
•
The project number
•
The user ID
•
The functions they can use.
5.3.2 Deleting Secondary Filers from a
Project
To delete a secondary filer from a project:
1. On the Filing Management window, select the
required filing. From the View menu, select
Secondary Filer Access.
The Secondary Filer Access dialog box displays.
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2. Click Delete.
The Delete Secondary Filers dialog box displays.
3. Select the filer you want to delete from the project
and click OK. A message displays asking you if
you really want to delete the selected filer.
4. Click either:
•
Yes—To delete
•
No—To verify that you have selected the
correct filers, then click Delete and Yes.
The Secondary Filer Access dialog box re-displays
showing the updated list of secondary filers.
Note: You can click Cancel before submitting your
changes to the server to return to the Filing
Management window without making
changes.
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5. Click Submit to send your changes to the server.
The server is updated immediately and the Filing
Management window displays.
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5.3.3 Changing the Secondary Filer
Functions
At any time, you can change the functions a
secondary filer can use. For a definition of the
functions and user access, see About Secondary
Filers.
To change the functions a secondary filer can use:
1. On the Filing Management window, select the
required filing. From the View menu, select
Secondary Filer Access.
The Secondary Filer Access dialog box displays.
2. Select the desired filer, then the function you want
them to use from the New Access list beside their
name.
Note: You can click Cancel before submitting your
changes to the server to return to the Filing
Management window without making
changes.
3. Click Submit twice to send your changes to the
server. The server is updated immediately and
the Filing Management window displays.
5.3.4 Updating Secondary Filer
Information in a Project
You can update the information (name and phone
number) of a secondary filer in a project through the
Filer List dialog box.
Changes made to filers in the Filer List dialog box are
made to the general list on your local workspace only.
For the changes to be effective for a project, you must
also make the changes to the project’s secondary filer
list.
To update the information on a secondary filer in a
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project:
1. On the Filing Management window, select the
required filing. From the View menu, select
Secondary Filer Access.
The Secondary Filer Access dialog box displays.
2. Click Add.
The Filer List dialog box displays.
3. In the Filer List field, select the secondary filer for
whom you want to change the information and
update the information in the Add/Modify Filer field.
4. Click Add/Modify. A message displays asking if you
really want to save your changes.
5. Click either:
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•
Yes—To save
•
No—To verify the information you have
changed, then click Add/Modify and Yes.
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The changes display in the Filer List field.
6. Click OK. A message displays asking you if you
want to replace the secondary filer information,
since the filer you want to add is already assigned
to a project.
7. Click either:
•
Yes—To replace the information in the project
•
No—To keep the current information in the
project filer list (the changes are still made in
the Filer List dialog box).
The Secondary Filer Access dialog box displays
with or without the changes, depending on the
action you took.
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8. Click either:
•
Submit (twice) —To submit the changes to
the server. The server is updated
immediately and the Filing Management
window displays.
•
Cancel—To return to the Filing Management
window without updating the information on the
secondary filer for that project (the changes
made to that filer in the general filer list are
saved).
9. If you want to update the information on the
secondary filer in other projects they were
assigned to, repeat this procedure for each project.
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5.4
Accessing a Project as a Secondary Filer
When informed by the primary filer that your
organization is a secondary filer for a project:
•
Write down the project number and the user ID
assigned to the filing
•
Download the new project
•
Verify the functions you are allowed to use for that
project.
5.4.1 Downloading a New Project
Before you can contribute to the project, you must
have it in your list of filings. To make the project
display in your list of filings, follow the procedure
below.
Ensure that you have logged in with the user ID
assigned by the primary filer.
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1. On the Filing Management window, from the
Options menu select Quick Search Inquiries.
The Quick Search Inquiries dialog box displays.
2. Verify if there is an inquiry in the list that will
retrieve the new project.
If there is, go to step 3.
If there is not, click New to create the appropriate
search inquiry.
The Quick Search Inquiries wizard displays. Follow
the instructions on the screen or see Using the
Quick Search Inquiries Function.
When done go to step 3.
3. Click Refresh List. The information on all filings in
the list is updated and the Filing Management
window re-displays showing the new project.
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5.4.2 Verifying the Functions You Can Use
Before you access the project for the first time to view,
retrieve or submit files, verify what functions you are
allowed to use. This way, you will not waste time trying
to use a function you are not allowed to use. For
example, if you submit a file to be added to the project
for which you cannot use the Submit function, the
server will load the entire file before rejecting it and
telling you that you cannot use that function for the
project.
To find out what functions you can use:
1. On the Filing Management window, select the
required filing.
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2. On the View menu, Select Secondary Filer Access.
The Secondary Filer Access dialog box displays
showing the list of all secondary filers for the
project selected and the functions they can use.
If the primary filer has assigned to you one of the
View, Retrieve and Submit functions, the access
you have remains the same for all submissions you
make for the project. For example, if you have
access to the Submit function for project 01001032
you can submit documents and fees for that project.
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Chapter 6
Modifying a Submitted
Project
6.1
Overview
After you have submitted a filing to the server, you can
add to it by submitting documents, recipient agencies
(only when you are adding documents) and fees to the
server. These additions are all part of the same project
and have the same project number assigned to them.
You can add documents to filings created for the
category of filer Other Issuers or Investment Fund
Issuers, even if the issuer has ceased reporting since
the initial submission was made.
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6.2
Adding Documents and Formal Correspondence
Whenever you add documents or formal
correspondence to an existing filing, it generates a
new submission number that is displayed in the list of
submissions on the Filing Management window. The
project number, filer name and list of documents for
the category of filing and the recipient agencies have
already been captured by SEDAR when the new
project was submitted.
You can attach a new document, a previously filed
document or formal correspondence to your filing.
See the table below to find out which procedure you
should follow.
To attach...
See...
A new document
Adding a New Document
A previously filed document
Adding Previously Filed
Documents
Formal correspondence
Adding Secondary Filers to a
Project
6.2.1 Adding a New Document
To add documents to a filing:
1. On the Filing Management window, select the filing
you want to add files to.
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2. On the File menu, select Add to a Filing, then
Documents.
The [type of filing] Cover Page dialog box displays.
3. Select a document type. (If you select the
document type Other, the Add Document button
becomes available.)
4. Depending on the type of document you select, do
either of the following:
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•
Click Attach File. The Attach File dialog box
displays. Go to step 6.
•
Click Add Document. The Add Document dialog
box displays. Go to step 5.
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5. Enter the required information and click Attach File.
The Attach File dialog box displays.
6. Select the following:
•
The location of the file you want to attach (PC
workspace or SEDAR workspace)
•
The file type
•
The drive
•
The directory
•
The name of the file, with the accepted
extension.
Note: If you want to attach a file from your SEDAR
workspace and want to view the most up-todate files, click Refresh List to connect to
SEDAR.
7. After you select the file, click OK.
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If you attempt to send a file which contains
annotations, such as attached files or embedded
objects, the following message displays:
“The file cannot contain annotations (attached files
or embedded objects). Please remove them and
resave the file.”
Follow the instructions in the message. For more
information, see File Messages.
Depending on the type of document you select,
either of the following occurs:
•
The [type of filing] Cover Page dialog box
re-displays with the file attached.
•
The Add Document dialog box displays. Click
OK. The [type of filing] Cover Page dialog box
re-displays with the file attached.
The Agencies, Detach File and Duplicate buttons
become available.
If a message displays, follow the instructions in the
message. For more information, see File
Messages.
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You can take any of the actions shown below or go
directly to step 8.
To...
Do the following...
Attach many files
to the same
document type
Select the document type in the Filing
Subtype/Document Type list and click
Duplicate to create a copy of that
document type in the list. Repeat
steps 6 and 7
To attach files to a
different
document type
Repeat steps 3 to 7
To detach a file
from the cover
page*
From the [type of filing] Cover Page
dialog box, select a document in the
Filing Subtype/Document Type list and
click Detach File. The file is detached
and removed from the list on the [type
of filing] Cover Page
* Only files which have not been submitted to the
SEDAR server can be detached from a project.
Note: Remember that in SEDAR, one paper
document corresponds to one electronic file.
You cannot submit the electronic equivalent
of one paper document in more than one
electronic file. For more information, refer to
the SEDAR Filer Manual.
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8. After you have attached the files, select one of the
actions below.
To…
Do the following…
Modify the cover
page
Do not close the dialog box. See
Modifying Cover Pages
Add recipient
agencies
Click Agencies. The Add a Recipient
Agency dialog box displays. See
Adding Recipient Agencies to a
Submitted Filing
Add fees
If there are additional fees, add the
fees before submitting the filing (for
more information, see Adding Fees
Save the cover
page information
on your database
for later
submission
Click Save. The Filing Management
window displays
Submit the filing to
SEDAR now
without adding
fees or saving the
filing first
Click Submit. The document is sent
to the SEDAR server.
Depending on the document type
selected, the Submit button
becomes available only after you
have entered the applicable fees
Once submitted, the filing displays in the list of
submissions on the Filing Management window.
The filing in the list bears the same project number
as the original filing, but has its own unique
submission number.
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6.2.2 Adding Previously Filed Documents
It is possible to reuse certain documents already
submitted to SEDAR. For example, in the case of a
take-over bid filing, as the filer, you may want to use
the issuer’s financial statements to submit to agencies.
The filings you are allowed to search in for documents
are restricted to the filings associated with the profile
number of the issuer for the filing you are creating. On
the SEDAR server, you can search on this issuer’s:
•
Public filings
•
Private filings for which you are the primary filer or
a secondary filer with the Retrieve and Submit
privilege.
You cannot reuse documents sent as formal
correspondence or with one of the following private
access levels:
•
Private – Draft
•
Private – Virus
•
Private – Incorrect Filing
•
Private – Incorrect Format
•
Private – Nonpublic
•
Private – Nonpublic – Incorrect.
Before the implementation of Release 6.0, accepted
file formats were:
•
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For WordPerfect documents – .w51, .w52, .w60
and .w61
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•
For Word for Windows – .doc
•
For PDF documents – .pdf.
You can attach a pre-release 6.0 document saved in
any of these formats since the document on the
SEDAR server is the same as the original one and is
not actually resubmitted to the server.
To attach a previously filed document:
1. On the Filing Management window, select the filing
you want to add files to.
2. On the File menu, select:
Add to a Filing > Documents.
The [type of filing] Cover Page dialog box displays.
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3. Select the document type in the Filing Subtype/
Document Type field. (If you select the document
type Other, the Add Document button becomes
available.)
4. Depending on the type of document you chose, do
either of the following:
•
Click Attach File. The Attach File dialog box
displays. Go to step 6.
•
Click Add Document. The Add Document dialog
box displays. Go to step 5.
5. Enter the required information and click Attach File.
The Attach file dialog box displays.
6. Click Previously Filed Documents.
The Previously Filed Projects/Documents section
displays on the Attach File dialog box.
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7. Click Search.
The Search for Previously Filed Documents dialog
box displays.
SEDAR displays only the
documents associated with
that profile number. In the
case of an Investment Fund
Issuer filing, the profile
number used is that of the
Investment Fund Group
The date range fields are
unavailable when you enter
a project number
8. To narrow your search, you can:
•
Enter a project number
•
Select a Category of Filing or a Filing Type, or
both. You can also change the Date range if
desired (the default is one year).
9. Click Submit.
After the search is complete:
•
Filer User's Guide 8.056.000
If there are no projects matching your search
criteria, the Search for Previously Filed
Documents dialog box re-displays. Change
your search criteria or click cancel to return to
the Attach File dialog box.
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•
If there are filings matching your search criteria,
the Attach File dialog box displays listing the
search results.
The Path and File are
automatically updated
Expand the folder to display
each document
The list of projects and documents displayed
remains available until you save, submit or cancel
the submission from the cover page.
10. Select the document to attach and click OK.
Depending on the type of document you select,
either of the following displays:
•
The [type of filing] Cover Page re-displays with
the file attached.
•
The Add Document dialog box displays. Click
OK. The [type of filing] Cover Page dialog box
re-displays with the file attached.
The Agencies, Detach File and Duplicate buttons
become available.
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The access level of the newly attached document is
private, regardless of its access level in the original
project, until an agency changes the access level in
the current project.
The exception is for continuous disclosure filings
(other than the filing types “Other Filings”, “Personal
Information Form and Authorization 51-105F3A”,
“Personal Information Form and Authorization 51105F3B” and “For Regulator’s Use Only”) and
exempt market offerings and disclosure filings
(other than “Schedule 1 of report of exempt
distribution (45-106F1) and “Schedule 1 of report
of exempt distribution Form 5”), as described in
the SEDAR Filer Manual,) which are automatically
made public upon submission to SEDAR.
If an agency changes the access to this document
in your current project, it does not change the
access of the document in the original project.
You can take any of the actions shown below or go
directly to step 11.
Filer User's Guide 8.056.000
To...
Do the following...
Attach many files
to the same
document type
Select the document type in the Filing
Subtype/Document Type list and click
Duplicate to create a copy of that
document type in the list. Repeat
step 10
To attach files to a
different
document type
Repeat steps 3 to 10
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To...
Do the following...
To detach a file
from the cover
page*
From the [type of filing] Cover Page
dialog box, select a document in the
Filing Subtype/Document Type list and
click Detach File. The file is detached
and removed from the list in the [type
of filing] Cover Page
* Only files which have not been submitted to the
SEDAR server can be detached from a project.
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11. After you have attached the files, select one of the
actions below.
Filer User's Guide 8.056.000
To…
Do the following…
Modify the cover
page
Do not close the window. See
Modifying Cover Pages
Add recipient
agencies
Click Agencies. The Add a Recipient
Agency dialog box displays. See
Adding Recipient Agencies to a
Submitted Filing
Add fees
If there are additional fees, add the
fees before submitting the filing (for
more information, see Adding Fees
Save the cover
page information
on your database
for later
submission
Click Save. The Filing Management
window displays
Submit the filing to
SEDAR now
without adding
fees or saving the
filing first
Click Submit. The document is sent to
the SEDAR server. For more
information on the transmission
process, see Transmitting the
Project
Depending on the document type
selected, the Submit button becomes
available only after you have entered
the applicable fees
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6.2.3 Adding Formal Correspondence
You cannot add a recipient agency to a submission
when adding formal correspondence using the
following method. To add an agency to the list, see
Adding Recipient Agencies to a Submitted Filing.
To add formal correspondence to a filing:
1. On the Filing Management window, select the filing
you want to add files to.
2. On the File menu, select Add to a Filing, then
Formal Correspondence.
The Formal Correspondence dialog box displays.
3. Select a document type. (If you select the
document type Other, the Add Document button
becomes available.)
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4. Depending on the type of document you chose, do
either of the following:
•
Click Attach File. The Attach File dialog box
displays. Go to step 6.
•
Click Add Document. The Add Document dialog
box displays. Go to step 5.
5. Enter the required information and click Attach File.
The Attach File dialog box displays.
6. Select the following:
•
The location of the file you want to attach
(PC workspace or SEDAR workspace)
•
The file type
•
The drive
•
The directory
•
The name of the file with the .pdf extension.
If you select to attach a file from your SEDAR
workspace and want to view the most
up-to-date files, click Refresh List to connect to
SEDAR.
After you select the file, click OK.
If you attempt to send a file which contains
annotations, such as attached files or embedded
objects, the following message displays:
“The file cannot contain annotations (attached files
or embedded objects). Please remove them and
resave the file.”
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Follow the instructions in the message.
The Formal Correspondence dialog box displays
and the Submit and Detach File buttons become
available.
If a message displays, follow the instructions in the
message. For more information, see File
Messages.
You can take any of the actions shown below or go
directly to step 7.
To...
Do the following...
To attach files to a
different
document type
Repeat steps 3 to 6
To detach a file
From the Formal Correspondence
dialog box, select a document in the
Filing Subtype/Document Type list and
click Detach File. The file is detached
and removed from the list
* Only files which have not been submitted to the
SEDAR server can be detached from a project.
Note: Remember that in SEDAR, one paper
document corresponds to one electronic file.
You cannot submit the electronic equivalent
of one paper document in more than one
electronic file. For more information, refer to
the SEDAR Filer Manual.
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7. After you have attached the files, click Submit. The
document is sent to the SEDAR server. For more
information on the transmission process, see
Transmitting the Project.
Once submitted, the filing displays in the list of
submissions on the Filing Management window.
The filing in the list bears the same project number
as the original filing, but has its own unique
submission number.
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6.3
Modifying Cover Pages
Once a filing has been submitted, you can modify
information on page 2 of the Investment Funds,
General Investment Funds, General, Issuer and Issuer
(Annual Information Form) cover pages.
There are two ways you can access the cover page of
a submitted filing to modify information: using the Add
to a Filing option on the File menu or the Cover Page
option on the View menu.
6.3.1 Using the Add to a Filing Option
1. On the Filing Management window, select a filing.
On the File menu, select Add to a Filing, then
Documents.
The [type of filing] Cover Page dialog box displays.
2. Modify the information as required.
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The modifiable cover page types and fields are listed
in the following table:
Cover Page
Type
Modifiable Fields
General
• Contact Information
• Continuous Disclosure Rule
• Financial Period Ended
• Financial Period Date Relates to
• Date of Meeting
• Date of Meeting Relates to
• Confirmation that schedule 1 was
prepared using the template available on
www.sedar.com
• Warning to remove Schedule 1 from the
report of exempt distribution
General
Investment
Funds
• Contact Information
• Financial Period Ended
• Financial Period Date Relates to
• Date of Meeting
• Date of Meeting Relates to
• Confirmation that Schedule 1 was
prepared using the template available on
www.sedar.com
• Warning to remove Schedule 1 from the
report of exempt distribution
Investment
Funds
• Contact Information
Issuer
• Contact Information
• Type of Securities
• Initial Public Offering
• Primary Offering
• Secondary Offering
• MJDS offering in the United States
• Inclusion of Future Oriented Financial
Information (“FOFI”)
• Aggregate Gross Proceeds
• Underwriter Info – Underwriter name
(E) and (F)
• Underwriter Info – Underwriter
Counsel (all fields)
• Promoter Info (all fields)
Third Party
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• Contact Information
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3. Select a document type and a file, and click Attach
File.
4. Continue adding files to a filing following the usual
procedures.
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6.3.2 Using the Cover Page Option
1. On the Filing Management window, select a filing
for which you want to modify the cover page. From
the View menu, select Cover Page.
The [type of filing] Cover Page dialog box for the
selected filing displays, showing any previously
saved information.
2. Modify the information as required. See the table in
Using the Add to a Filing Option for a list of
modifiable cover pages and fields.
3. When all modifications have been made, click
either of the following:
•
Submit—To send the changes to the SEDAR
server and update the information in your local
workspace.
•
Cancel—To remove any changes you made to
the cover page and return to the Filing
Management window.
You cannot add recipients, add or modify fees, save
the information or modify documents from the
Cover Page option on the View menu. To add or
modify fee amounts, use the Fees function on the
View menu. To add recipient agencies, use the Add
to a Filing > Document function on the File menu.
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6.4
Adding Recipient Agencies to a Submitted Filing
The types of agencies available for a project are
determined by the filing type. Therefore, once a project
has been submitted to a type of agency, you can
submit it to additional agencies of the same type only.
For example, you cannot add a market centre to a
project if its original recipient agency type was
commissions. To send the documents to a recipient
agency of a different type, you must create a new
project and select the appropriate filing type in the
appropriate folder.
To add recipient agencies:
1. Open the Filing Management module. Select the
filing from the list of submissions to which you want
to add agencies and on the File menu, point to Add
to a Filing and click Documents. The [type of filer]
Cover Page displays.
2. To add more agencies, click Agencies. The
Agencies dialog box displays.
3. Click Add. The Add a Recipient Agency dialog box
displays listing the available agencies.
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Depending on your category of filer, the category of
filing and the type of filing, and the folder in which it
is located, one of the following displays in the
Agency Type field:
•
Commissions
•
Market Centres (Exchanges)
•
Commissions and Market Centres
(Exchanges).
The Test Filing option is always shown.
The Agency Type field is
not available because you
cannot modify the agency
type once the filing has
been submitted. To
change the agency type,
you must create a new
project
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4. In the Agency field, select any additional agencies
and click OK.
The Recipient Agencies dialog box re-displays with
the additional agencies listed.
5. Select one of the following actions:
Filer User's Guide 8.056.000
Click…
To…
OK
Go back to the cover page. Go to step 6
Add
Send the filing to more agencies
Delete
Delete agencies that you just selected to
receive the filing; agencies cannot be
deleted once the filing has been
submitted
Click Email ID
Include the SEDAR e-mail ID of the
contact person at the agency, if
applicable, who can be contacted by the
filer using SEDAR e-mail when the filing
is received by an agency
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6. On the [type of filer] Cover Page, highlight the
document type “Letter concerning recipient
agency” and click Attach File (see Attaching a
File).
Once the document has been attached, the Submit
button will be highlighted on the Cover Page
screen.
7. Click Submit to send this project to the additional
recipient agency.
Note: Only certain filing types provide the
document type noted above. If you are
adding a recipient agency to a filing that
does not provide this document type,
select the document type “Cover letter.”
Note: All documents previously submitted on the
project will be available to the newly added
recipient agency. It is not necessary to
re-attach all documents submitted with the
initial filing of this project.
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6.5
Adding Fees
You can add fees to a project that has already been
submitted to the server.
To add fees to a submitted filing:
1. Open the Filing Management module and select
the project from the list of submissions to which
you want to add fees.
2. On the View menu, select Fees. One of the
following occurs:
•
If fees have been submitted, the Summary of
Filing Fees dialog box displays, showing the
total project fees submitted to date, including
both agency filing fees and SEDAR System
fees (SEDAR System fees do not apply to
most documents).
Go to step 3.
•
If no fees have been submitted, the Add/Modify
dialog box displays.
Go to step 4.
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3. On the Summary of Filing Fees dialog box, select
Add/Modify.
The Add/Modify Fees dialog box displays.
4. Select the agency to which you want to submit
fees.
For commissions and market centres, a fee
schedule for that organization displays.
5. Enter the fee amount in the Amount$ column
beside the corresponding fee description. The GST
and QST or HST, if applicable (no taxes are paid on
filings sent to commissions and on test-filings), are
calculated automatically. Select the next recipient
agency, if applicable, and repeat this process for all
intended agencies.
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6. When done, click OK. The Summary of Filings
Fees dialog box displays showing the fees in the
WIP (work in progress) field, in both the Total
Project Fees and Agency Fees sections.
When fees have been
submitted to SEDAR, you
can view the status of fees
for the project by clicking
Payment Status Detail
You can change the size of
columns on the Payment
Status Detail dialog box,
and print the dialog box for
audit purposes
7. Do one of the following:
•
To add more fees, click Add/Modify, and repeat
steps 4 to 6.
•
To delete fees, click Add/Modify. Follow steps 4
to 6, but delete the fees in the Amount$
column, instead of entering them.
Note:
•
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You cannot delete fees that have
already been submitted to the server.
To submit the fees once the required fees have
been entered, go to step 8.
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8. Click Submit. The Charge Summary dialog box
displays showing the added fees entered per
recipient agency. The SEDAR System Fees field
will indicate $0.00. If additional SEDAR System
Fees are due, click within this field and enter the
amount.
The QST and HST fields
only display if applicable
Note: SEDAR System Fees are determined by the
filing type, subtype and number of recipients.
GST and QST or HST are calculated on
market centre filing fees depending on your
location. For more information, see
Entering Your User Information.
Adding more fees to an existing project does
not generate a separate submission for the
project, but simply adds to the cover page
information for that project.
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9. Click Authorize to submit the fees.
The Payment Authorization dialog box displays.
10. Enter the required user IDs and passwords and
click Pay.
•
If the user IDs and passwords are valid, the
files are submitted to the agencies and the
payment instructions to the financial institution.
•
If the user IDs and passwords are not valid, the
SEDAR-Filing Management dialog box
displays.
Click OK, then enter the correct user IDs
and passwords and click Pay. Or, if your
banking authorization user ID and password
are not set up correctly, contact the CSA
Service Desk for assistance at 1-800-2195381.
The SEDAR File Transfer dialog box displays
while the files are being submitted to the
agencies and the payment instructions sent to
the financial institution.
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Monitoring the Progress
of Projects
7.1
Overview
When you submit a project to SEDAR, it is moved to
the recipient agencies’ space in the SEDAR database
to be retrieved by the commissions and market
centres you selected as recipients.
Commissions and market centres review an electronic
filing in the same way they review a paper filing.
Therefore, you monitor the status of your electronically
submitted projects the same way you would follow up
on projects submitted in paper form.
To monitor the progress of a project, use the Filing
Management module to:
Filer User's Guide 8.056.000
•
Populate your list of filings
•
Customize your view of the list of filings
•
Refresh your filing list
•
View the access level of documents
•
View the status of filings
•
Retrieve formal correspondence
•
View the status of fee payments.
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7.2
Using the Quick Search Inquiries Function
To populate the list of filings appearing in the Filing
Management window, you create search inquiries and
send them to the SEDAR server to search the filings
database. A search inquiry consists of a combination
of fields, operators and criteria that you define in
SEDAR using the Quick Search Inquiries or the
Advanced Inquiries function (for more information, see
About Fields, Operators and Criteria).
The Quick Search Inquiries function uses a wizard to
help you easily create most of the inquiries you need
to complete your daily tasks. It is recommended to use
this function for quick retrieval of filings.
The Advanced Inquiries function (formerly the
Customize List function) enables you to create
customized searches for special needs; use it only if
the Quick Search Inquiries function does not give you
the required results. For more information on this
function, see Using the Advanced Inquiries Function.
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About the Quick Search Inquiries Dialog Box
The Quick Search Inquiries dialog box is divided into
three sections as indicated in the illustration below.
Delete selected
inquiry
Save by
replacing
Change
selected inquiry
name
Save by
creating new
inquiry
Modify criteria
Exit the
notebook
without saving
any changes
Create new
inquiry (wizard)
Select default
inquiry
Update list of filings in
Filing Management
window
Close the dialog box
Get help
on dialog box
For information on creating search inquiries, see
About the Quick Search Inquiry Wizard.
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For a summary of the actions you can take from each
section, see the following table.
To...
Do the following...
Modify an inquiry
1. Select the inquiry to modify.
2. Click Change or type ALT+C. The Inquiry Criteria notebook
displays on the right of the dialog box.
3. Make the changes and click Save or Save As.
4. Click Close to return to the Filing Management window or
Refresh List to refresh the list of filings in the Filing
Management window.
Rename an inquiry
1. Select the inquiry to rename.
2. Click Rename or type ALT+M. The Inquiry Criteria notebook
displays on the right of the dialog box.
3. Type the new name and click Save or Save As.
4. Click Close to return to the Filing Management window or
Refresh List to refresh the list of filings in the Filing
Management window.
Delete an inquiry
1. Select the inquiry to delete.
2. Click Delete or type ALT+D.
3. Click Close to return to the Filing Management window or
Refresh List to refresh the list of filings in the Filing
Management window.
Create an inquiry
1. Click New or type ALT+N. The Quick Search Inquiries
wizard application launches.
2. Follow the instructions in the dialog boxes or see About
the Quick Search Inquiry Wizard.
Select an inquiry as the
default inquiry
1. Select the inquiry you want to use as the default inquiry.
For more information, see Default Inquiry for the Refresh
List Function.
2. Click Default or type ALT+F.
3. Click Close to return to the Filing Management window or
Refresh List to refresh the list of filings in the Filing
Management window.
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To...
Do the following...
Close the notebook
Click Cancel. No changes are saved and you remain on the
Quick Search Inquiries dialog box.
Close the entire dialog box
Click Close. No changes are saved, unless previously saved
in the notebook, and you return to the Filing Management
window.
Default Inquiry for the Refresh List Function
The Refresh List function, accessible on the Filing
Management window, is a quick way to update the
information on the list of filings on your Filing
Management window.
This function sends the default inquiry of your choice
to the server. To select the default inquiry, you must:
•
Select Quick Search Inquiry as your default search
method in the User Profile and Defaults dialog box
(see Setting Up SEDAR)
•
Select one of the inquiries in your list of inquiries as
the default.
About the Quick Search Inquiry Wizard
The Quick Search Inquiry function uses a wizard to
help you build search inquiries quickly and effortlessly.
The Quick Search Inquiry wizard is launched
automatically the first time you access SEDAR.
Thereafter, you launch it from the Quick Search
Inquiries window which is accessed from the Options
menu.
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Here are a few things that are useful to know about the
wizard:
•
To bypass the welcome page, click Don’t Show
This Page Again at the bottom of the welcome
page.
•
To stop creating an inquiry at any time and return
to the Filing Management window, click Cancel.
•
To return to the previous window, click Back.
•
To go to the next window, click Next.
•
For help on the window, click Help.
Click here if you
don’t want to
view this window
next time you
open the wizard
Return to
previous page;
greyed out on the
first page
Filer User's Guide 8.056.000
Move to the next
Stop building the
page; greyed out on inquiry and return to
last page
the Filing Management
window
Obtain
online help
about this
window
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To populate your list of filings using the Quick Search
Inquiries function:
1. On the Filing Management window, from the
Options menu select Quick Search Inquiries. One
of the following windows displays:
•
If you are building a search inquiry for the first
time, the Quick Search Inquiry Wizard welcome
window displays (see illustration above). Read
it and click Next.
•
If this is not the first time you are building an
inquiry using the wizard, the Quick Search
Inquiries dialog box displays. Click New to start
the wizard.
The Quick Search Inquiry Wizard displays.
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2. To select the filings that you want to retrieve, follow
the instructions below.
To retrieve filings by
the...
Filer User's Guide 8.056.000
Click...
See...
Date the submissions were
made or the date the filings
were last updated
Date and
Next
Retrieving Filings
byDateby
Filings
Date
Project Number
Project
Number and
Next
Retrieving Filings
by Project
Number
Profile number, Investment
fund group number, issuer/
filer name or investment
fund group name
Profile
Details and
Next
Retrieving Filings
by ProfileDetails
Profile
Details
Category of filing, filing
type or filing subtype
Filing Details
and Next
Retrieving Filings
by FilingsDetails
Filings
Details
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7.2.1 Retrieving Filings by Date
1. On the Retrieve by Date dialog box, click the date
by which you want to retrieve filings and click Next.
The date is changed when
a submission or fee
instructions are added to
the project or when the
cover page, the status of
the filing or the access to a
document is changed
The Select a Date Range dialog box displays.
2. Enter the date from which you want to retrieve your
filings and click Next. The final dialog box displays.
For instructions on the final dialog box, see
Completing the Search Inquiry.
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7.2.2 Retrieving Filings by Project Number
1. On the Retrieve by Project Number dialog box,
enter the project number of the projects that you
want to see in your Filing Management window.
Follow these guidelines:
•
Maximum of 100 numbers.
•
Leading zeros of the project number are not
required.
•
May be individual numbers, separated by a
comma
•
May be a range of numbers separated by a
hyphen (for example, 16500–16600).
2. When done, click Next. The final dialog box
displays. For further instructions on the final dialog
box, see Completing the Search Inquiry.
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7.2.3 Retrieving Filings by Profile Details
On the Retrieve by Profile Details dialog box, the
Retrieve By list field offers six criteria to build your
inquiry, as indicated in the illustration below.
The table below indicates under which subheading
you will find instructions on how to build your inquiry
with these criteria.
To use a...
See...
Number
Profile or Investment Fund GroupNumber
Issuer/Filer or Investment Fund Group
Name
Name
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Profile or Investment Fund Group Number
Click to also
retrieve
filings
submitted by
previous
issuers
1. On the Retrieve by Profile Details dialog box,
select Profile Number or Investment fund group
number and enter the numbers you want to include
in the search (maximum of 100, separated by a
semicolon).
2. When done, click Next. The Select a Date Range
dialog box displays. For an illustration, see
Retrieving Filings by Date.
3. Enter the date from which you want to retrieve your
filings and click Next. The final dialog box displays.
For instructions on the final dialog box, see
Completing the Search Inquiry.
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Issuer/Filer or Investment Fund Group Name
Only one name can
be used per inquiry
When you search by
Issuer/Filer name, you
can click here to also
retrieve filings
submitted by previous
issuers
1. On the Retrieve by Profile Details dialog box, in the
Retrieve By field select one of the following:
•
Issuer/filer name (English)
•
Issuer/filer name (French)
•
Investment Fund Group name (English)
•
Investment Fund Group name (French)
2. In the Enter a name field, enter or select a name.
Follow these guidelines:
•
Use only one name per inquiry.
•
Type an asterisk as a wildcard character
anywhere in the name, except at the beginning.
3. When done, click Next. The Select a Date Range
dialog box displays. For an illustration, see
Retrieving Filings by Date.
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4. Enter the date from which you want to retrieve your
filings and click Next. The final dialog box displays.
For further instructions on the final dialog box, see
Completing the Search Inquiry.
7.2.4 Retrieving Filings by Filings Details
On the Retrieve by Filings Details dialog box, the
Retrieve By list field offers three criteria to build your
inquiry. The table below indicates what subsection to
go to for instructions depending on the criterion
selected.
Filer User's Guide 8.056.000
To use the...
See...
Category of filing
Searching by Category of Filing
Filing type
Searching by Filing Type
Filing subtype
Searching by Filing Subtype
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Searching by Category of Filing
1. On the first Retrieve by Filing Details dialog box,
select Category of Filing in the Retrieve By list.
The Criteria field displays in the dialog box.
2. Under Criteria, click the required category and click
Next.
The Select a Date Range dialog box displays. For
an illustration, see Retrieving Filings by Date
3. Enter the date from which you want to retrieve your
filings and click Next.
The final dialog box displays. For instructions on
the final dialog box, see Completing the Search
Inquiry.
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Searching by Filing Type
1. On the Retrieve by Filing Details first dialog box,
select Filing Type in the Retrieve By list.
The Criteria field displays in the dialog box.
2. Under Criteria, click the required filing types and
click Next.
The Select a Date Range dialog box displays. For
an illustration, see Retrieving Filings by Date.
3. Enter the date from which you want to retrieve your
filings and click Next.
The final dialog box displays. For instructions on
the final dialog box, see Completing the Search
Inquiry.
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Searching by Filing Subtype
1. On the Retrieve by Filing Details first dialog box,
select Filing Subtype in the Retrieve By list.
The Criteria field displays in the dialog box.
2. Under Criteria, click the required subtypes and
click Next.
The Select a Date Range dialog box displays. For
an illustration, see Retrieving Filings by Date.
3. Enter the date from which you want to retrieve your
filings and click Next.
The final dialog box displays. For further
instructions on the final dialog box, see
Completing the Search Inquiry.
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7.2.5 Completing the Search Inquiry
Regardless of the criteria used in your search inquiry,
when you are done entering them click Next. The final
wizard window displays.
Hidden if the default
search inquiry creation
method is Advanced
Inquiries
Type over to modify
the systemgenerated
description, if
desired
1. On the final window, you can perform the following
actions:
•
Make the inquiry your default inquiry by
selecting the Make This My Default Refresh List
Inquiry.
•
Change the short system-generated description
of the inquiry in the Inquiry Name field to make
it more meaningful to you for later use.
2. When done, click Finish.
The Quick Search Inquiries dialog box displays
showing the newly created inquiry in the list of
inquiries to be used with the Refresh List function.
For information see About the Quick Search
Inquiries Dialog Box.
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7.3
Using the Advanced Inquiries Function
To populate the list of filings displaying in the Filing
Management window, create search inquiries and
send them to the SEDAR server to search the filings
database. A search inquiry consists of a combination
of fields, operators and criteria that you define in
SEDAR using the Advanced Inquiries or the Quick
Search Inquiries function (for more information, see
About Fields, Operators and Criteria).
The Advanced Inquiries function (formerly the
“Customize List” function) enables you to create
customized searches for special needs; use it only if
the Quick Search Inquiries function does not give you
the required results.
The Quick Search Inquiries function uses a wizard to
help you easily create most of the inquiries you need
to complete your daily tasks. Use this function for
quick retrieval of information. For further instructions,
see Using the Quick Search Inquiries Function.
To use the quick search inquiries as default inquiries
for the Refresh List function, you must select Quick
Search Inquiries as the default search method in the
User Profile and Defaults dialog box (see Setting Up
SEDAR).
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To populate your list of filings using the Advanced
Inquiries function:
1. On the Filing Management window, from the
Options menu, select Advanced Inquiries.
The Advanced Inquiries dialog box displays.
2. Select an empty inquiry and click View.
The View Filings Database Inquiry dialog box
displays.
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3. Click Build.
The Build Filings Database Inquiry dialog box
displays. You can now start creating your inquiry.
4. In the Description field, enter additional information
(up to 40 characters) to help you identify the
inquiry. This field must be completed in order to
save or submit the inquiry.
5. Select a field from the List of Fields to Search on.
For each field you select, the available operators
display.
6. Select an operator. The operator determines the
relationship between the field you are searching on
and a specific criterion.
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7. Select a criterion. If you have selected the Like
operator, type an asterisk at the end of your
criterion if you want to include all occurrences of
the keyword followed by another word.
For more information, see Recommended
Operators and Criteria.
Note: Text criteria searches are not case-sensitive.
For example, “the general management
company” would match “The General
Management Company.”
When entering multiple words in your
criterion, make sure you type a single space
between them.
8. Once you have selected a field, operator and
criteria combination, click Add/Keep Adding to add
that selection to the inquiry and continue building.
Once a field has been added, an asterisk displays
beside it in the List of Fields to Search on field.
Filer User's Guide 8.056.000
•
To add more fields to your inquiry, repeat steps
5 to 8.
•
To delete a criterion for a particular field and
operator combination, click Clear Criteria.
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9. To view your inquiry or modify an existing field,
operator and criteria combination, click either OK,
or Add and View.
The View Filings Database Inquiry dialog box
displays.
Note: All the combinations you have selected are
listed on the View Filings Database Inquiry
dialog box. The AND condition is implied
between each field in the inquiry, even if a
field is selected many times.
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10. Select one of the actions shown in the following
table.
Click…
To…
Change
Operator
Modify an operator in an inquiry
Change
Criteria
Modify a criterion in an inquiry
Clear
Inquiry
Delete the entire inquiry
Build
Return to the Build Filings Database Inquiry
dialog box and continue building your
inquiry
Save
Save the inquiry and return to the
Advanced Inquiries dialog box
Note: On the Advanced Inquiries dialog box, the
name of the inquiry displays in the Inquiry to
Use for the Refresh List field.
To refresh your list, see Refreshing
Information on Filings.
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7.3.1 General Tips for Customizing Lists
As you build inquiries in the Filing Management
module, the following general tips will help you make
your inquiry more precise and effective.
Using Indexed Fields
The SEDAR database contains indexed fields (fields
for which an index exists) that enable faster retrieval of
data. Building inquiries using these indexed fields
helps you locate data faster by speeding up the
processing time in SEDAR.
The indexed fields are shown in the table below.
Filer User's Guide 8.056.000
Module Type
Indexed Fields
Filing
Management
Access Level of Document
Age (in days) of Submission
Age (in days) since Project last updated
Category of Filing
Date of Submission
Date Project was Last Updated
Filing Type
Issuer/Filer Name, English
Recipient
SEDAR Project Number
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When searching for filings based on an issuer’s name,
other profile data (e.g., the jurisdiction of the issuer)
or any type of cover page data (e.g., Initial Public
Offering), specify whether the issuer is an Investment
Fund or Other Issuer in the Profile Type field. By
specifying this, you reduce the number of projects
being retrieved and make your inquiry faster.
When choosing a field that is not indexed, avoid
including more than one criterion in the Criteria field
(e.g., B.C., British Columbia). Adding more criteria
reduces the volume of retrieved data but increases the
retrieval time.
Recommended Operators and Criteria
The operators and criteria you select affect whether an
index is used to find the data. Use the operators and
tips listed in the table below to build inquiries.
Operator
Tips
=
• Use the = operator instead of the >=, <=, > or < operators,
whenever possible
• Whenever possible, select or enter only one criterion for a
field that is not indexed. Selecting more than one criterion
reduces the volume of data retrieved but increases the time
it takes to find the data
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Operator
Tips
Like
• Do not place a wildcard character in the first position of a
search criterion (e.g., *Issuer Name) when using this
operator. If a character exists for the field you selected, the
index will not list the entry
• To reduce the number of projects or profiles being returned
and make your inquiry faster, enter as many characters as
you can before placing a wildcard character as the last
character. Do not place a character after a wildcard
• Whenever possible, select or enter only one criterion for a
field that is not indexed. Selecting more than one criterion
reduces the volume of data retrieved but increases the time
it takes to find the data
Customizing Your List Effectively
As you make more filings, your filing list will get longer.
It is recommended to customize your filing list to better
manage your filings.
The table below shows the most efficient ways to view
certain filings and to filter out those you may not want
to see.
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To search by…
Use…
A specific
company
For the Issuer/Filer Name, English field, use the = operator
and type the full name of the company
Note: If this is the only criterion in your inquiry, all filings ever
made for that company or associated companies are
displayed as well as the ones filed under the previous
or new name of that company or investment fund group
If you know either of the following, follow the procedures below
to narrow the search and reduce the retrieval time:
• The issuer type—For the Profile Type field, use the =
operator and enter the issuer type (e.g., Other Issuer or
Investment)
• The filing type—For the Filing Type field, use the = operator
and select the filing type(s) from the criteria list
The date of
submission
For the Date of Submission field, use the >= operator and type
in the date in the mm/dd/yy format. When the list has been
refreshed, only these filings submitted on or after the date
specified are listed
The project
number
For the SEDAR Project Number field, use the = operator and
type the project number (or numbers separated by a
semicolon). The search results are returned relatively quickly
since you selected an indexed field
The company’s
stock symbol
For the stock symbol field, you can use any operator except
Not = and Not Like. Enter a maximum of five uppercase letters
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7.4
Customizing Your View of the Filings List
On the Filing Management window, you can decide
which columns of information to display in the list of
submissions and arrange the positioning of the
columns.
To customize the view:
1. On the Filing Management window, from the
Options menu select Columns to Include.
The Columns to Include View dialog box displays.
An asterisk
indicates a filing
from a previous
issuer
Clicking Default
resets the order
of the columns
displayed to the
default setting
2. Select the columns you want displayed on the
Filing Management window and click OK. The
column selections are saved from session to
session.
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Note: The Date Submitted and Time Submitted
columns are useful to display the status of
projects.
3. Select one of the actions shown below.
To…
Do the following…
Return to the Filing
Management window
Click OK
Arrange the columns
Click Arrange. The
Arrange Columns dialog
box displays. Go to step 4
Return the columns to the
default settings
Click Default
Cancel your selection
Click Cancel
4. Enter the number representing your intended
position for the column name in the list. Click
beside the name. The other columns automatically
renumber themselves accordingly.
5. After you have completed arranging the columns,
click OK.
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The Columns to Include in View dialog box
displays.
6. Click either:
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•
OK—To return to the Filing Management
window to view your new columns setting. The
column arrangement is saved from session to
session.
•
Default—To reset the columns to the default
setting.
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Showing the Condensed List
If you want to see only the most recent submissions in
a project, select Condensed List from the Options
menu in the Filing Management window as shown
below.
Sorting Entries in a Column
To sort the submissions list:
1. On the Options menu, select Sort Preferences.
(Notice, in the following example, the order of the
project numbers.)
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The Sort Preferences dialog box displays.
2. Select the column for which you want to change
the sorting order and, in the Direction column,
select your preference (in either ascending or
descending order).
Once you have made all of your choices, click OK
for the changes to take effect on the Filing
Management window. Only the columns selected
for display are sorted.
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7.5
Refreshing Information on Filings
In Filing Management, the following two functions can
be used to refresh information relating to filings
(i.e., fee payment status):
•
Refresh Project—To refresh information on up to
10 projects.
•
Refresh List—To refresh the list of filings on the
Filing Management windows.
Refreshing Information on Projects
You can refresh the information on up to ten projects.
On the Filing Management window, select the projects
for which you want to refresh information and click
Refresh Project. The information is updated.
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Refreshing the List of Filings
You are able to select an inquiry from either the
Advanced Inquiries or the Quick Search function to
use as your Refresh List default.
If you select Quick Search Inquiries as your default
function, the default inquiry indicated on the Quick
Search Inquiry list will be used when you select the
Refresh List button on the Filing Management window.
For more information, see Setting Up SEDAR
and Completing the Search Inquiry.
SEDAR will connect to the server, retrieve all projects
submitted by your subscriber company matching the
selected inquiry and send them to your computer to
create the list of submissions on the Filing
Management window.
Alternatively, if you have selected Advanced Inquiries
as your default Refresh List function or wish to
execute an ad hoc inquiry using an inquiry created in
Advanced Inquiries, follow the steps below:
1. On the Advanced Inquiries dialog box, select an
inquiry and click OK. The Filing Management
window displays.
Note: You can only refresh one list at a time. The
inquiry selected in the Inquiry to Use for the
Refresh List is saved from session to
session.
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2. Click Refresh List. SEDAR connects to the server,
retrieves all projects submitted by your subscriber
company matching the selected inquiry and sends
them to your computer to create the list of
submissions on the Filing Management window.
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7.6
Viewing the Access Level of Documents
When a document has been added to a filing, you can
view the access level in order to find out whether the
document is public or private and, in certain cases, the
reason it is private.
To view the access level of a document:
1. On the Filing Management window, select a filing
and select Open Submission from the File menu.
The Open [Submission type] window displays,
displaying the access level of the document within
the filing.
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The following table shows the private access levels
and what action you can take, if any, to make
documents public.
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Access level
Explanation
Action to take
Private
The file should remain
private
Take no action
Private – Draft
The file:
• Contains erroneous
or inaccurate
information
• Is submitted as a
draft for review
purposes only
Take no action
Private – Virus
The file contains a
virus that was not
detected by the
SEDAR anti-virus
program
Disinfect or
recreate the file
and resubmit it
Private –
Incorrect
Filing
Something is wrong in
the submission, for
example, the filing type
Make corrections
and resubmit the
file
Private –
Incorrect
Format
The file format is wrong
Save the file in an
accepted format
and resubmit it
Private –
Nonpublic
The file will never be
made public
Take no action
Private –
Nonpublic –
Incorrect
The file will never be
made public
Take no action
Note: This
submission will
never be made
public
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When an agency changes the access level of a
document in a specific project, the access level of the
same document attached to another project is not
affected.
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7.7
Viewing the Status of Filings
When a project has been submitted, you can check
the status of a particular filing for that project with the
principal jurisdiction or a recipient agency if no
principal jurisdiction was selected.
To view the status of a filing:
1. On the Filing Management window, select a filing
and click Refresh Project.
2. When the refresh is complete, click Status.
The Filing Status dialog box displays.
A “Y” indicates that
the filing was
received by SEDAR
for that agency
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3. Click Details.
The Filing Status Details dialog box displays with
detailed status information.
The date the status was set
and agency contact
information display here for a
specific agency or for all
recipient agencies,
depending on your selection
for the Agency detail list
The Current General Status field displays the
status of the filing as set by the principal jurisdiction
and serves as an indicator of the overall status of
the filing in the approval process if applicable.
For the list of statuses and their descriptions, refer
to Chapter 10 of the SEDAR Filer Manual.
Certain statuses are automatically set by SEDAR
(e.g., Filed with SEDAR) while others are set by the
principal jurisdiction (e.g., Under Review).
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7.8
Retrieving Formal Correspondence
When a recipient agency sends formal
correspondence (e.g., a receipt or letter of
acceptance) you can retrieve all the attached
documents in that or any other submission appearing
on the listing of submissions on the Filing
Management window. You can also select multiple
submissions at the same time to download their
attached documents.
Certain market centres do not use this function. To
find out which ones do, contact each market centre.
With the implementation of Release 6.0, recipient
agencies will always submit formal correspondence in
PDF format.
To retrieve a document:
1. On the Filing Management window, select a project
and click Refresh Project to update the submission
list with any formal correspondence sent by the
project’s recipient agencies.
2. Select the required submission and click Retrieve.
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The Receive Document File Destination dialog box
displays.
3. Select the settings that will be used to receive the
selected documents from the server.
•
If you select the Use Default Settings, you will
only be able to change the name of the file.
•
If you select Use User Defined Settings, you
are able to specify the drive, directory and
filename for the retrieved documents.
4. After you have made your selection, click OK.
SEDAR connects to the server and downloads the
documents according to the specified settings.
5. If there are multiple documents to be downloaded,
a message displays asking you if you want to save
all documents to their specified directories. Click
Yes.
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Note: If an error message displays, follow the
instructions in the message. For more
information, see File Messages.
6. Once the retrieval has been completed, a
confirmation dialog box displays. Click OK.
7. Click OK to return to the Filing Management
window.
You can also retrieve the documents attached to a
submission by selecting the submission from the list of
submissions on the Filing Management window and
clicking Open. The cover page for the submission
opens, displaying the document type list and file
names of the attached documents. If you select
multiple documents in an open submission, the
Retrieve button is still available. After clicking
Retrieve, the retrieval process is the same as
described in steps 1 to 7.
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7.9
Viewing the Status of Fee Payments
After a project has been submitted, you can check the
status of the fee payments for a particular filing or for
the entire project. The Payment Status Detail dialog
box shows if the payment instructions you submitted to
your financial institution have been accepted and
followed, or if they were rejected, for example,
because of insufficient funds.
To monitor the status of fee payments:
1. On the Filing Management window, select the
required filing and click Refresh Project.
2. When the refresh is complete, select Fees from the
View menu.
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One of the following occurs:
•
If fees have been submitted, the Summary of
Filing Fees dialog box displays, showing the
status of fee payments for the entire project.
The dialog box also indicates whether your
financial institution has accepted or rejected
your payment instructions. For detailed
information on the Summary of Filing Fees
dialog box, see Adding Fees.
•
If no fees have been submitted, the Add/Modify
dialog box displays. To add the fees, see
Adding Fees.
These fields indicate
the status of fee
payments as set by
your financial institution
(FI)
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3. Click Payment Status Detail to view more detailed
information. The Payment Status Detail dialog box
displays, showing details for all fee payments
made for the project and applicable GST and QST
or HST. You can view:
•
The date and time that the payment instructions
were submitted to SEDAR and to the financial
institution (FI)
•
The date and time that the FI sent their answer
to SEDAR
•
The reason the payment instructions were
rejected, if applicable.
GST and QST or HST
are only charged on
market centre filing
fees
4. When you have finished viewing the status of fee
payments for a project, click OK to return to the
Summary of Filing Fees dialog box.
5. Click Cancel to return to the Filing Management
window.
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Chapter 8
Searching for Filings
8.1
Overview
The Search Filings module enables you to search the
SEDAR filings database on the server for public filings,
and to retrieve the filings that are of interest to you.
The server sends back a report to your local database
listing all of the filings corresponding to the search
criteria of the inquiry. You can retrieve the documents
attached to the filings by downloading them to your
computer.
8.1.1 Useful Definitions
•
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Wildcard character—A character (in SEDAR, an
asterisk) which represents any number or
combination of characters, symbols and spaces
valid for a field type, including no characters. If you
select the Like operator in a field-operator-criterion
combination, type an asterisk at the end of your
criterion, to include all occurrences of the criterion
followed by another word, for example, Like
Somervil*.
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•
OR condition—When you use the operators Like or
=, all information returned as a result of a search
satisfies at least one of the alternatives in the
multiple criteria specified in the same line of the
inquiry. For example, in the following illustration,
where the operator Like is used for the field
“Auditor Name”, the OR condition is implied
between the three criteria selected (McDougal,
Eisen and Bradshaw). This means that the system
will search for filings for which the auditing firm is
McDougal or Eisen or Bradshaw.
OR condition implied
between the operators
Like and =
For a date field, the
operators
> =, >, <= and < can only be
selected once
AND condition implied
between the operators
Not Like and Not =, and
between all lines of the
inquiry
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•
AND condition—When you use the operators Not
Like and Not =, the AND condition is implied.
Consequently, all information returned as a result
of a search satisfies all the alternatives in the
multiple criteria specified in the same line of the
inquiry for the operators Not Like and Not =, and
between the criteria specified with the operators
Not Like and Not in all the lines of an inquiry. For
example, in the previous illustration, the AND
condition is implied between the criteria (Amherst,
Bell and Crane) for the field Distributor (principal)
Name and the operator Not Like. This means that
the search will not include filings for which the
distributor is Amherst and Bell and Crane.
The AND condition is also implied between all the
lines of the inquiry. This means that in the example
above, the search will include filings for which the
Auditor Name is McDougal, Eisen or Bradshaw,
and the Date of Formation is from December 31,
1990 to December 31, 1995 inclusively, and the
Distributor Name is not Amherst, Bell and Crane,
and the SEDAR Project Number is 200 or less.
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8.1.2 About Fields, Operators and Criteria
A search inquiry consists of a combination of fields,
operators and criteria that you define in SEDAR. The
following table shows the different types of fields
possible to search on in SEDAR and the rules that
apply to each type when building search inquiries.
Field
type
Field
example
Operators
Text
General
Partner
Name,
English
Like,
Not Like,
=, Not =,
>=, <=,
>, <
to use
Method of criteria entry
• Free-form text entry up to 40 characters
• Space-sensitive; type a single space between
words to get best results; e.g., if you insert
two spaces between Bell_ _Canada and the
entry was created with one space (for
example, Bell_Canada), the search is not
successful
• Not case-sensitive. For example, the general
management company would match The
General Management Company
• Operators can be selected up to 10 times for
an inquiry
• Multiple criteria permitted
• Use wildcard character (*) for the Like
operator
• For =, not =, like and not like, separate each
criterion by a semicolon
• OR condition implied between operators Like
and =
• AND condition implied between operators Not
Like and Not =
Age
Age (in
days) of
Submission
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<=
• Digits and date separators up to a maximum
value
• No decimals permitted
• No multiple criteria permitted
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Field
type
Field
example
Operators
Date
Date of
Submission
=, Not =,
<=, >=,
<, >
to use
Method of criteria entry
• Digits and date separators
(for example, mm/dd/yyyy)
• Operators can be selected up to 10 times for
an inquiry
• No multiple criteria permitted. You cannot
define a search to include all filings with two
date-range periods using the same operator
more than once. For example, to do a search
using a Date of Submission between Dec. 31,
1990 and Dec 31, 1992 and between Dec. 31,
1994 and Dec 31, 1995, you must use all
operators (>=, >, <= and <) once
Consequently:, you cannot use:
> 12/31/1990 and < 12/31/1992
>12/31/1994 and <12/31/1995
But you can use:
> 12/31/1990 and < 12/31/1992
>=12/31/1994 and <= 12/31/1995
Amount
Aggregate
Gross
Proceeds
=, Not =,
<=, >=,
<, >
• You may be requested to select a criterion
from the list
• If you do not select a criterion from a list, use
the format: ######.######## (where # is a
digit from 0 to 9)
At least one digit must be entered; if the
decimal is omitted, it is assumed to be at the
end
• Operators can be selected up to 10 times for
an inquiry
Option
Buttons
RRSP
Eligibility
=
Single option to be selected (Yes or No)
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Field
type
Field
example
Operators
List
field
Manner of
Formation
=, Not =
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to use
Method of criteria entry
• You may select a criterion from the list
• Multiple criteria permitted
• Some selections may cause other selections
to become deselected (e.g., by selecting “All”
or “Not applicable”)
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8.2
Searching Effectively in SEDAR
The following search tips help reduce your waiting
time when searching in the SEDAR databases by
making your inquiry more precise and effective.
8.2.1 Using Indexed Fields
The SEDAR database contains indexed fields (fields
for which an index exists) that enable faster retrieval of
data. The database is much like a book. If you are
looking for a topic, you turn to the book’s index where
you see the page numbers that relate to that topic and
you go directly to those pages. If you do not find the
topic in the index, you may need to flip through every
page of the book to find the topic. Clearly, it takes
longer to go through each page of the book than it
does to use the index.
Similarly, building inquiries using these indexed fields
helps you locate data faster by speeding up the
processing time in SEDAR. You build inquiries from
the Build Filings Database Inquiry dialog box.
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The indexed fields are shown in the table below.
Module type
Indexed fields
Search Filings
Access Level of Document
Age (in days) of Submission
Age (in days) since Project last updated
Category of Filing
Date of Submission
Date Project was Last Updated
Filing Type
Issuer/Filer Name, English
Recipient
SEDAR Project Number
When searching for filings based on an issuer’s name,
other profile data (e.g., the jurisdiction of the issuer)
or any type of cover page data (for example,
Financial Period Ended), specify whether the issuer is
an Investment Fund or Other Issuer in the Profile Type
field. By specifying this, you reduce the number of
projects being retrieved and make your inquiry faster.
When choosing a non-indexed field that enables the
entry of free-form text in the criteria field, avoid
entering more than one criterion in the Criteria field
(e.g., B.C., British Columbia). Adding more criteria
reduces the volume of retrieved data but increases the
retrieval time.
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8.2.2 Using Operators and Criteria
Effectively
The operators and criteria you select affect whether an
index is used to find the data. Use the operators and
tips listed in the table below to build inquiries.
Operator
Tips
=
• Use the = operator instead of the >=, <=, > or <
operators, whenever possible
• Select or enter only one criterion for a field that is
not indexed (see the table in “Using Indexed
Fields”). This reduces the volume of data
retrieved but increases the time it takes to find
the data
Like
• Do not place a wildcard character in the first
position of a search criteria (e.g., *Issuer Name)
when using this operator. If a character exists for
the field you selected, the index will not list the
entry
• To reduce the number of projects or profiles being
returned and make your inquiry faster, enter as
many characters as you can before placing a
wildcard character as the last character. Do not
place a character after a wildcard
• Select only one criterion for a field that is not
indexed (see the table in “Using Indexed Fields”).
This reduces the volume of data retrieved but
increases the time it takes to find the data
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8.2.3 Optimizing Your Search Inquiries
The table below shows the most efficient ways to
retrieve filings.
To search
by…
Use…
A specific
company
For the Issuer/Filer Name, English field, use the = operator
and type the full name of the company
If you use only this criterion in your inquiry, all filings ever made
for that company are retrieved as well as the ones filed under
the previous or new name of that company or investment fund
group
To narrow the search and reduce the retrieval time specify:
• The issuer type—For the Profile Type field, use the =
operator and enter the issuer type (for example, Other
Issuer or Investment Fund Group)
• The filing type—For the Filing Type field, use the =
operator and select the filing type(s) from the criteria list
One or more
words that
the filer’s
name starts
with
For the Issuer/Filer Name, English field, use the Like operator,
type in as many of the words in the company name as
possible, and enter an asterisk (*) as the last character
If you use only this criterion in your inquiry, all filings ever made
for that company under their current and other names are
retrieved, which can result in an exhaustive but longer search
To narrow the search and reduce the retrieval time specify:
• The issuer type—For the Profile Type field, use the =
operator and enter the issuer type (e.g., Other Issuer or
Investment Fund Group)
• The filing type—For the Filing Type field, use the = operator
and select the filing type(s) from the criteria list
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To search
by…
A specific
date
Use…
For the Date of Submission field, use the = operator and enter
the date in the mm/dd/yy format. All filings made on the
specified date are retrieved
If you also know the filing type, in the Filing Type field, use the
= operator and select the filing type from the criteria list
Note:
The age (in
days) of the
submission
You can select more than one entry
For the Age (in days) of Submission field, use the <= operator
and type the number of days (for example, 30). The filings
which were submitted in the specified time period are retrieved
Note: You cannot use this field and the Date of Submission
field in the same inquiry
The project
number
For the SEDAR Project Number field, use the = operator and
enter the project number (or numbers separated by a
semicolon). The search results are returned relatively quickly
since you selected an indexed field
The
company’s
stock symbol
For the stock symbol field, you can use any operator except
Not = and Not Like. Enter a maximum of five uppercase letters
(A–Z)
For more information on building search inquiries, see
Building a Search Inquiry.
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8.3
Building a Search Inquiry
To build a search inquiry you specify fields, operators
and criteria.
1. On the SEDAR main window, select Search
Filings.
The Search Filings window displays. This is where
the inquiries you create and submit are listed. This
list is empty until you have saved or submitted the
first inquiry.
2. Click New Inquiry.
The Build Filings Database Inquiry dialog box
displays.
3. In the Inquiry Name field, enter a name for your
inquiry (up to eight characters).
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4. Press TAB. In the Description field, enter additional
information (up to 40 characters) to help you
identify the inquiry. Both these fields must be
completed in order to save or submit the inquiry.
5. Select a field from the List of Fields to Search On.
For each field you select, the available operators
display.
6. Select an operator. The operator determines the
relationship between the field you are searching on
and a specific criterion.
7. Type or select a criterion. For information on
criteria rules, see About Fields, Operators and
Criteria.
8. Once you have selected a field, operator and
criteria combination, click Add/Keep Adding to add
that selection to the inquiry and continue building.
When a field has been selected, an asterisk
displays beside it in the List of Fields to Search On.
To delete a criterion for a particular field and
operator combination, select the criterion and click
Clear Criteria if you have not yet added it to the
inquiry.
9. When you have finished defining your inquiry, click
Add and View.
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The View Filings Database Inquiry dialog box
displays showing the combination you have
chosen.
10. Select one of the following actions shown below.
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To…
Do the following…
Continue building your
inquiry
Click Build
Delete the entire
inquiry
Click Clear Inquiry
Delete a combination
in your inquiry
Select a field and click Delete
Selection
Modify a combination
Select it from the list and click
either Change Operator or
Change Criteria
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11. When done, click either:
•
Save—To save your inquiry in your database
before submitting it to SEDAR. The Search
Filings window displays.
•
Submit—To submit the inquiry now.
Note: It is recommended that you first save an
inquiry to your database before submitting it.
See Submitting an Inquiry.
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8.4
Submitting an Inquiry
1. If you are not already in the Search Filings module,
open it from the SEDAR main window.
The Search Filings window displays.
2. Select an inquiry and click Submit Inquiry.
3. When prompted by SEDAR, enter a report name or
select one from the list in the window. The report
name is automatically assigned the first time an
inquiry is submitted. Click OK.
The inquiry is sent to the SEDAR server. The
search is done in the Search Filings database for all
filings matching your search criteria that are public
or that are private but were sent by your company
or filing agent, or for which you are a secondary
filer.
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After some time, depending on the complexity of
the search, SEDAR downloads a report to your
computer and the Search Filings window displays.
If you use Issuer/Filer Name or Profile Number as
search criteria, projects submitted by previous
issuers are included in your search results and are
indicated with an asterisk beside the Issuer/Filer
Name.
4. Select the inquiry and click Open Report. The
Filings Reports dialog box displays with reports
listing the filings found and sent by SEDAR for
search inquiries.
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5. Select a report and click Open Report.
The Filing Database Report window displays.
If an asterisk
appears in this
column, it
indicates that
the filing is
from a
previous filer
6. Select Display Documents List from the Options
menu to view the names of all of the individual
documents sent as part of that report.
Note: Other filings that were filed with profiles
matching the inquiry will be returned, as well
as filings using profiles that are related to
matching profiles through a previous profile
relationship. This applies if the Issuer/Filer
Name or Profile Number fields are selected
in the inquiry.
7. Select a document from the list and click Retrieve.
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8. The Receive Document File Destination window
displays and you are prompted to specify where
you want to store the retrieved documents.
Select either Default Settings
(C:\SEDAR\Filings\project number\submission
number\file name) or User Defined Settings* and
click OK.
*If you select User Defined Settings, you are
prompted to enter the new path for storing the
documents. When done, click OK.
9. Once the retrieval process has been completed, a
confirmation dialog box displays. Click OK.
The report also contains all confidential documents
that you are authorized to view (e.g., a filing
submitted by you or another user belonging to your
organization). For more information on a filing or
related documents, select the filing from the list on
the Filing Database Report and select the
appropriate command.
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8.5
Modifying a Search Inquiry
The View Filings Database Inquiry dialog box is used
to view or modify inquiries. Each field, operator and
criteria combination for the inquiry is displayed.
You can delete a selection or change an operator or a
criterion by selecting it and choosing the
corresponding command button below the list for that
selection.
Inquiries can also be modified from the Build Filings
Database Inquiry dialog box. You can switch between
the build and view modes when building or modifying
an inquiry. You can submit an inquiry to the server
from the view mode only.
Updating a Search Inquiry
You can change an existing inquiry that was
previously saved or submitted. You can open and
modify the inquiry as described above. When you
submit an updated inquiry that was previously
submitted, SEDAR prompts you to enter a new report
name for the inquiry.
Note:
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If you delete an inquiry that was previously
submitted, all associated reports and their lists
of filings are also deleted.
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Chapter 9
Exchanging Mail
SEDAR provides all users with a means of informal
communications. This form of communication is
separate from the formal process of electronic filing or
formal correspondence. The table below lists the
functions available in the Mail Functions module.
Click...
To do this...
Create and send e-mail to other SEDAR
users
Open and read e-mail sent by SEDAR
users
Create an address book for storing the
names, user IDs and other address
information for other SEDAR users
Send files to SEDAR users
Download files sent to SEDAR users
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9.1
Creating Mail
The New Note function enables you to send informal
correspondence to other SEDAR users. This function
can only be used to create and send notes. When you
use it, the messages you create and send are
retrieved and read using the Review Mail function.
To create and send a note:
1. On the Mail Functions window, click New Note.
The SEDAR – Note Editor-Note window displays.
Mail
2. Enter the name of the person you want to send the
note to in the To field and the subject in the Subject
field, then enter the body of your note into the main
edit note window or paste the text from another file.
3. Click Mail on the toolbar.
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The Mail Note To dialog box displays.
4. Do one of the following:
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•
If you know the user ID, type it in the
UserID@Node field. Go to step 9.
•
If you do not know the user ID and you have
created address books, click Address Book.
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The SEDAR – Address Book window displays. Go
to step 5.
Note:
To create an address book, see “Using
Address Books”.
5. On the File menu, select the appropriate address
book.
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The SEDAR – Address Book—AddrBK1 (or 2, 3,
and so on) dialog box displays. Click OK.
6. Double-click the name of the appropriate user.
The Add/Update Entry dialog box displays.
7. Click the Selected for Mailing field (bottom right of
the window), then click OK. The SEDAR – Address
Book—AddrBK1.ADD window displays with an
envelope beside the user’s name.
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8. Select Add IDs to Note Address List from the File
menu. Click Exit. The Mail Note To dialog box
displays showing the user ID of the selected user
in the Target Destinations field.
9. Select the recipient user ID and select To (primary
recipient), CC (carbon copy) or BCC (blind carbon
copy). For more information on using address
books, see Using Address Books.
10. Click one of the following:
Filer User's Guide 8.056.000
•
Mail Immediately—To send the note right away.
The note is sent to SEDAR and you receive a
confirmation message.
•
Queue to Mail—To send the note later. The
note is held for mailing at a later time using the
Review Mail module, and you receive a
confirmation message that the note has been
queued.
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9.2
Reviewing Mail
The Review Mail function enables you to open and
read any notes sent to you by other SEDAR users.
You can also access the other SEDAR Mail functions
from Review Mail.
To review mail sent to you:
1. On the Mail Functions window, click Review Mail.
The Review Mail window displays.
Click Get New Mail to
connect to SEDAR and
download any new mail
2. Click Get New Mail on the toolbar. SEDAR
connects to the server and downloads any mail
sent to your inbasket. SEDAR prompts you with a
confirmation message as to whether or not any
new mail has been received.
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3. To open your inbasket, from the View menu select
View Inbasket. A list of all notes sent to you are
displayed. Notes appearing in red have not been
read yet. To read the contents of a particular note,
double-click that note. The Contents of a Note
dialog box displays.
4. After reading the note, select any of the actions
shown below.
Filer User's Guide 8.056.000
Click...
To do this...
OK
Save the note in your inbasket and
return to your inbasket
Delete
Delete the note from your inbasket
File
Save the note as a file on your
computer
Forward
Forward a copy of the note to another
SEDAR user ID
Reply
Answer the note by composing a new
note using the New Note function
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Your outbasket lists all notes you have composed and
mailed. It can be opened by choosing View Out-basket
from the View menu. The command buttons at the
bottom of Contents of a Note dialog box are the same
as those for your inbasket.
With the Review Mail function, you can also send any
notes saved or queued to mail.
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9.3
Using Address Books
The Address Book function enables you to create and
store contact mailing information and mailing lists.
Each window in Address Book stores an address list.
You can link address lists.
Click...
To...
Create an address book
Open an address book. SEDAR Address Book displays
the Open dialog box in which you can open the desired file
Save the active address book or template with its current
name. If you have not named the address book, SEDAR
Address Book displays the Save As dialog box
Add a person to the mailing list for that address book. An
envelope icon displays beside entries selected for mailing
Link this address book with another
Modify or edit an entry in your address book (e.g., a
person’s address, phone number)
Erase an entry from your address book
Find an entry in the address book
Print the active address book
Display instructions on how to use help. (To access help
on the Address Book function, press F1)
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To create an address book:
1. On the Mail Functions window, click Address
Book.
The SEDAR – Address Book window displays.
2. Click New on the toolbar.
The dialog box for ADDR.BK1 (BK2, or BK3, and so
on, depending on the number of address books you
have created) displays.
Click New to
create an addres s
book
Click Add Person
to add a person to
the address book
3. To add a person to the address book, click Add
Person on the toolbar.
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The Add/Update Entry dialog box displays.
4. Complete the First Name, Last Name and User ID
fields, which are mandatory, as well as any other
fields desired. Click OK.
The SEDAR – Address Book window displays
showing the name of the person you just added.
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5. Click one of the following buttons on the toolbar:
•
Save—To save your entry and remain in the
SEDAR – Address Book window you are in.
•
Close—To save your entry and open another
SEDAR – Address Book window. From that
window you can exit the Address Book function
or create a new address book.
•
Edit Entry—To modify a person’s address,
phone number, etc.
•
Delete Entry—To erase an entry from your
address book.
Or, select either of the following options from the
Edit menu:
Filer User's Guide 8.056.000
•
Select All for Mailing—To add entries to the
mailing list for that address book. An envelope
displays beside entries selected for mailing.
•
Deselect All for Mailing—To remove entries
from the mailing list for that address book.
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Searching for an Address
To find an address in a particular address book:
1. Click Address Book on the Mail Functions window.
The SEDAR – Address Book window displays.
2. Click Open on the toolbar.
The Open dialog box displays.
3. Select the address book you want to search in and
click OK.
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The desired address book displays.
Click Find to find
an entry in the
address book
4. Click Find on the toolbar.
The Find Entry dialog box displays.
5. Enter the last name of the entry you want to locate
in the address book and click OK. If the entry is in
the address book, it is highlighted in the list in the
SEDAR – Address Book window.
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Linking Address Books
You can link up to 10 address books so that you have
separate address lists within an address book.
To link address books:
1. On a SEDAR – Address Book window
(ADDR.BK1, 2 or 3, and so on), select Link
Another Address Book from the Edit menu.
The Link Address Book dialog box displays.
2. In the Name field, enter the title for the address list
that will be added to this address book.
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3. Enter the file name for the address list you want to
attach to the host address book by doing one of the
following:
•
If you know the file name and path, type it in the
File Name field. Go to step 5.
•
If you do not know the file name and path, click
Browse. The File Open dialog box displays. Go
to step 4.
4. Select the file name from the appropriate directory
and click OK. The Link Address Book dialog box
redisplays with the file name and path.
5. Click Selected for Mailing to have this address list
included in the mailing list and click OK. The
address list is attached to the other address book
and displays in its listing.
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9.4
Sending Files
The Send Files function enables you to send files to
yourself or other SEDAR users using your SEDAR
workspace, outside of the formal filing process. Each
SEDAR user ID is assigned a “personal” workspace
on the SEDAR server which may be used as a storage
space for exchanging files with other SEDAR users.
To send a file:
1. Click Send Files on the Mail Functions window.
The SEDAR - Send Files dialog box displays.
2. To attach a file to send, do either of the following:
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•
Enter the directory, the drive where the file is
stored and the file name. Go to step 5.
•
Click Browse.
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The Browse dialog box displays. Go to step 3.
3. Select the directory, the drive and the file you want
to send.
Note: If you attempt to send a file which contains
annotations, such as attached files or
embedded objects, the following message
displays:
“The file cannot contain annotations
(attached files or embedded objects). Please
remove them and resave the file.”
Follow the instructions in this message. For
more information, see File Messages.
4. Click OK.
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The SEDAR – Send Files window re-opens with the
file name you entered.
5. Enter the user ID of the recipient. You can also
enter a comment to attach to the file in the
Comment field. Click Send.
•
The SEDAR File Transfer dialog box displays,
indicating the size (in bytes) of the file being
transferred.
If you want to stop the transmission once it has
started, click Abort on the SEDAR File Transfer
dialog box before the transmission is
completed.
Once the file has been submitted to the server,
a confirmation dialog box displays. Click OK to
return to the SEDAR – Send Files window. Go
to step 6.
•
If a message displays, follow the instructions in
the message. For more information, see File
Messages.
6. Select Exit from the File menu to return to the Mail
Functions window.
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9.5
Retrieving Files
The Receive Files function enables you to retrieve files
residing on your SEDAR workspace and perform other
tasks with these files.
Ensure that you have logged in with the user ID
corresponding to the workspace from which you want
to retrieve files.
To retrieve files:
1. Click Receive Files on the Mail Functions window.
The SEDAR – Receive Files window displays
listing the files sent to your user ID and currently
residing on your SEDAR workspace.
2. To make sure that you are looking at the most
recent list from the SEDAR server, click Refresh.
3. When the list has been refreshed, select a file from
the listing. After you select a file, the command
buttons at the bottom of the window become
available.
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4. Select one of the actions in the following table.
Click...
To...
Retrieve
Download a file to your computer. Files
retrieved from your SEDAR workspace
are sent to your default directory (usually,
C:/SEDAR/Download/file name) and are
deleted from the workspace
Forward
Send a copy of a file to another SEDAR
user. After clicking Forward, you enter
the recipient’s user ID in the Forward
Files dialog box. When the file has been
forwarded, the file is still listed on SEDAR
– Receive Files window, but it is shaded.
You must select it if you want to do
something else with it
Delete
Delete a file from your workspace
Refresh
See if any new files have been sent to
your workspace while the SEDAR –
Receive Files window is open
5. Select Exit from the File menu to return to the Mail
Functions window.
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Chapter 10
General Information
10.1 Changing Your Password
To change your password:
1. Open the User Profile and Defaults module from
the SEDAR main window and click User Defaults.
The User Defaults dialog box displays.
2. Under Categories, click Logon Info. The Set Logon
Information dialog box displays.
3. Click Change Password on Host.
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The Change Password dialog box displays.
4. Enter the user ID for the password that you want to
change.
Note: You can change the password for the default
user ID (the user ID you accessed this dialog
box with) or any other user ID sharing the
same account.
5. Enter the current password in the Old Password
field, then press TAB to move to the next field.
6. Enter the new password (six to eight characters, in
lowercase) in the New Password field, then press
TAB to move to the next field.
Note: If you receive the message “The last
character (x) is invalid. Select another one,
see Common Problems.
7. Retype the new password in the Retype New
Password field (the field is case-sensitive, so be
sure to retype the password exactly as you typed it
the first time), then click OK.
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8. Click OK to change the password. The User
Defaults dialog box displays informing you that the
change was successful.
9. Click OK. The User Profile and Defaults window
displays.
10. Click User Information. The User Information dialog
box displays. Select Submit
Note: To change the password for another user ID,
repeat the previous steps.
11. Click OK. The User Profile and Defaults window
displays.
12. Select Exit to return to the SEDAR main window.
When the password changes are complete, give the
new passwords to your agency Access Coordinator
(or whoever your agency determines will manage
passwords), in case you forget them.
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10.2 Updating SEDAR Code
SEDAR-related software updates can be distributed to
all users from the SEDAR server via the Code Update
function. There are two ways to initiate code updates:
•
Before opening SEDAR, by choosing Receive
Items from SEDAR Server in the File menu on the
SEDAR main window. See Initiating a Code
Update before Opening SEDAR.
•
After opening SEDAR, when trying to access the
SEDAR server. See Initiating a Code Update after
Opening SEDAR.
10.2.1 Initiating a Code Update before
Opening SEDAR
1. On the SEDAR main window, from the File menu
select Receive Items from SEDAR Server.
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Once a connection to the server has been made, a
dialog box displays with the message “Items
received successfully. Please close all SEDAR
windows and select Code Update to update the
SEDAR application.” The download time varies
depending on the size of the files transferred to
your computer, and the type and speed of your
connection.
2. Close the SEDAR main window.
3. From the Start menu, point to Programs, then
SEDAR, and select Code Update to activate the
code update. A confirmation dialog box displays.
4. Click OK to close the dialog box.
5. After the code update has been completed, reopen
SEDAR.
If you have any problems with a code update, call the
CSA Service Desk at 1-800-219-5381.
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10.2.2 Initiating a Code Update after
Opening SEDAR
1. Open the module you want to work in. SEDAR
automatically detects that a code update is
required when you try to access the server.
Once the code update has been downloaded, a
dialog box displays with the message “Items
received successfully. Please close all SEDAR
windows and select Code Update to update the
SEDAR application.”
2. Exit the module to return to the SEDAR main
window.
3. Close the SEDAR main window.
4. From the Start menu, point to Programs, then
SEDAR, and click Code Update to activate the
code update. A confirmation dialog box displays.
5. Click OK to close the dialog box.
6. After the code update has been completed, reopen
SEDAR.
If you have any problems with a code update, call the
CSA Service Desk at 1-800-219-5381.
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10.3 Obtaining Customer Assistance
The Customer Assistance dialog box displays the
phone number to call for technical support for using
SEDAR or accessing the network.
To access the Customer Assistance dialog box:
1. On the SEDAR main window, click Customer
Assistance.
The Customer Assistance dialog box displays.
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General Information
2. If the on-screen help, user manual and applicable
rules pertaining to the filing of securities documents
do not answer your questions, you have the
following options:
Filer User's Guide 8.056.000
•
For questions about a particular filing (e.g.,
about rules, status, fees), click Directory to
consult a telephone directory of each agency.
You can call the applicable agency if you have
any questions.
•
For questions about technical problems related
to the SEDAR environment (for example, filer
software or connectivity), call the CSA Service
Desk at 1-800-219-5381.
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General Information
10.4 Obtaining System Information
You can obtain hardware and software information
about your computer using the System Information
module. This information can help you customize your
environment, and identify and solve problems.
To access the System Information window:
1. On the SEDAR main window, click System
Information.
The System Information window displays.
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2. Click the desired tab name to view the contents of
the tab.
•
Windows—For information about your Microsoft
Windows environment.
•
System—For information about the system that
you are currently using.
•
Environment—For information about your
system environment.
•
File Versions—For information on the file name,
path and version number.
On the Information menu, you can also select:
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•
Print—To print the contents of the information
window.
•
Exit—To return to the SEDAR main window.
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Chapter 11
Troubleshooting
11.1 Troubleshooting Tips
In an effort to offer you better, faster service, the
CSA Service Desk has documented the most
common problems and error messages you may
encounter while using SEDAR and has provided you
with possible solutions.
If a problem occurs or an error message displays while
you are using SEDAR, please try the solutions listed in
this chapter before calling the CSA Service Desk. If
the problem persists, call the CSA Service Desk at 1800-219-5381.
The documented topics are grouped in the following
two categories:
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•
Common Problems
•
File Messages.
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11.2 Common Problems
Below are some documented problems found in this
chapter.
Problem/Error Message
You cannot connect to the SEDAR server
You submitted wrong filing information
You cannot access SEDAR Help
You get a yellow triangle with an exclamation
mark inside
Error 18:bad login/password combination
Either an error has occurred on the server or you
are not authorized to access the server
Error type 68: device unavailable
An error occurred during the code update. Return
code=2
The last character (x) is invalid. Select another
one.
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You cannot connect to the SEDAR server
If your
connection
type is...
Standard
Internet
(high-speed
or dial)
Do this...
• Ensure that your workstation is connected
to the internet.
• Ensure that your workstation is not in the
subnet of 172.17.32.0.
• Confirm that your workstation has the
SEDAR Internet Connectivity Engine
installed or is connected to a SEDAR
site-to-site Internet VPN.
• Verify that your workstation does not have
any other VPN client software installed,
i.e., software other than the SEDAR Internet
Connectivity Engine (Checkpoint
SecureClient software version 54.1.0.2)
which was provided with the Release 8.0
installation program.
• If a personal or corporate firewall is installed
on your workstation, then ensure that it is
configured so that IPSec and IKE ports are
not blocked.
• If Internet gateways (such as Netgear,
Linksys, or D-Link) are used, please make
sure that IPSec and IKE ports are allowed.
Site-to-site
Internet VPN
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Contact the CSA Service Desk at 1-800-2195381 for assistance.
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Troubleshooting
You submitted wrong filing information
Once a filing has been submitted, it cannot be deleted
from the server. If you have included incorrect or
incomplete information, you must correct it by filing
another submission for that project.
If you
submitted...
Do this...
A wrong
profile
You can update the profile to include the
correct information. For instructions on
updating profiles, see Updating a Profile
A wrong cover
page or
attached file
It is your responsibility to contact the
appropriate agency. You may be asked to
submit a request for withdrawal of that filing
and to submit a new filing in its place or to file
another submission using the Add to a Filing
feature in Filing Management. For
instructions, see Adding Documents and
Formal Correspondence or Modifying Cover
Pages
You cannot access SEDAR Help
If you cannot access Help when you are working with
a SEDAR module, it may be because you have more
windows open than can be supported by Windows.
To access SEDAR Help, try either:
Filer User's Guide 8.056.000
•
Closing other applications and accessing Help
again
•
Closing the SEDAR main window and choosing
SEDAR Help from the SEDAR group.
Page 275
Troubleshooting
You get a yellow triangle with an exclamation mark
inside
Your computer has a memory management problem.
1. Close all applications and restart your computer.
2. Reopen SEDAR and resume work.
Error 18:bad login/password combination
The SEDAR version installed on your computer is not
the current version.
Install, or have someone install, the most current
version of SEDAR on your computer and retrieve all
code updates from the SEDAR server. For information
on retrieving code updates, see General Information.
Either an error has occurred on the server or you are
not authorized to access the server
The password or user ID used to access the SEDAR
system has been entered incorrectly.
1. Open the User Profile and Defaults module from
the SEDAR main window and click User Defaults.
The User Defaults dialog box displays.
2. Click Logon Info. The Set Logon Information dialog
box displays.
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Troubleshooting
3. If the user ID appearing in the User ID field is
correct, retype your password in the Default
Password field. Type the password exactly as you
usually enter it; this field is case-sensitive.
If the user ID appearing in the User ID field is
incorrect, enter the appropriate user ID and, in the
Default Password field, enter the corresponding
password.
4. Click OK. The User Profile and Defaults window
displays.
5. Return to the SEDAR main window and resume
working.
Error type 68: device unavailable
The default directory selected in the User Default is
not accessible to your system. Change the default
directory to a more easily accessible one, for example,
a directory on your local drive.
To change your default directory, do the following:
1. Open the User Profile and Defaults module from
the SEDAR main window and click User Defaults.
The User Defaults dialog box displays.
2. Click Default Directory. The Set Default Word
Processing Files Directory dialog box displays.
3. Select the drive and the directory and click OK.
The User Profile and Defaults window displays.
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Troubleshooting
4. Return to the SEDAR main window and resume
working.
An error occurred during the code update. Return
code=2
You get this message if SEDAR is open while you are
running the code update program.
To remedy the situation, close SEDAR and try running
the code update again. For information on activating
code updates, see General Information.
The last character (x) is invalid. Select another one.
This message displays if you try to assign an invalid
character as the last character in your SEDAR
password.
The length of the password determines which
characters are invalid, as shown in the table below.
Filer User's Guide 8.056.000
If your password is...
The last character cannot be...
six characters long
4, 5, 6, 7, 8, or K
seven characters long
+
eight characters long
é, ê, ë, ì, or í
Page 278
Troubleshooting
11.3 File Messages
This section is intended to help you with
certain error messages you may
encounter when using SEDAR. Below
are some common error messages found
in this chapter.
Problem/Error Message
Filer User's Guide 8.056.000

An error message of the 3000 series
(Error 3021,Error 3040 and so on)
displays

The file extension is not one of the
supported file extensions. Please select
another file or rename the file

The file has already been assigned to a
document in the list. Please select a
different file

An error occurred while sending a
submission for project <number>…

Warning – A file by the name specified
already exists on your PC and will be
replaced by the file being downloaded.
Do you want this file replaced?
C:\SEDAR\directory\file name

The stock symbol is identical to that of
another profile in SEDAR. You cannot
create this profile. Review existing
profile

The issuer has ceased reporting. The
profile cannot be used to create a filing
unless the profile is updated

A virus has been found
Page 279
Troubleshooting
An error message of the 3000 series (Error 3021, Error
3040 and so on) displays
The database you are working in is corrupted.
1. Close the module.
2. On the SEDAR main window, select Database
Maintenance from the File menu. The Database
Maintenance dialog box displays.
3. Close the module.
4. On the SEDAR main window, select Database
Maintenance from the File menu. The Database
Maintenance dialog box displays.
5. Select the faulty database and click Repair. The
system attempts to repair the database.
If the repair is successful, a message displays
telling you so. Go to step 4.
If the repair is not successful, a message displays
telling you so. Exit SEDAR and scan your hard
drive to eliminate other types of computer
problems. For help, contact the CSA Service Desk
at 1-800-219-5381. When other types of computer
problems have been eliminated, repeat step 2.
6. Click OK on the message window and on the
Database Maintenance dialog box to return to the
SEDAR main window.
7. Reopen the module and resume working.
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Troubleshooting
The file extension is not one of the supported file
extensions. Please select another file or rename the file.
You must follow the naming convention and limit the
entire path and file name to 60 characters. This means
that you must limit the file name to eight characters
and the extension to three characters, as indicated in
the SEDAR Filer Manual.
1. Click OK to close the dialog box.
2. Select another file or save the file.
3. Click OK to continue with the usual procedure.
The file has already been assigned to a document in the
list. Please select a different file.
There have been some problems with file retrieval
when the same file names were used for files in
different directories. Therefore, you cannot send two
files with the same name within the same filing.
This situation can arise when you are attaching files
on a cover page. You need to select a unique file
name.
1. Click OK to close the dialog box.
2. Exit SEDAR, go to the folder where the file is
located and rename the file.
3. When the file has been renamed, access SEDAR
and follow the usual procedure for attaching files.
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Troubleshooting
An error occurred while sending a submission for
project <number>…
If any problems occur while transmitting a submission
to the SEDAR server, the above message displays.
1. Click OK to close the dialog box. The Filing
Management window redisplays.
2. Click Refresh List to refresh your local database.
If the submission was successful, two submissions
with the same project type, filer name, date and
time of submission appear in the list (not
necessarily following one another). Go to step 3.
If the submission was not successful, only the
submission with the label “Inconsistent” displays in
the list. Recreate the filing and resubmit it. Go to
step 3.
3. Remove the filing labelled “Inconsistent” from the
Filing Management list.
4. Continue with the usual procedure.
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Troubleshooting
Warning – A file by the name specified already exists on
your PC and will be replaced by the file being
downloaded. Do you want this file replaced?
C:\SEDAR\directory\file name
There have been some problems with file retrieval
when the same file names were used for files in
different directories. Therefore, you can no longer
send two files with the same name within the same
filing. However, some filings already submitted may
contain files with the same file names.
If a file has the same name as a previously retrieved
file, SEDAR gives you the option to move the file to
another directory or to rename the file to be retrieved.
This situation can arise when you are retrieving files
that were previously submitted. You need to select a
unique file name.
1. When you see this error message, click either:
•
Yes—To overwrite the file already in your
directory.
•
No—To go back to the Receive Document File
Destination window and select another file
name or directory.
2. Continue with the usual procedure.
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Troubleshooting
The stock symbol is identical to that of another profile
in SEDAR. You cannot create this profile.
Review existing profile.
You cannot duplicate Other Issuer profiles if the stock
symbol is the same. You must do one of the following:
•
Update the existing profile
•
Change the profile you are creating.
The issuer has ceased reporting. The profile cannot be
used to create a filing unless the profile is updated.
This message displays upon submission of a filing
using the Other Issuer or Investment Fund Issuer
cover page and the profile of an issuer who has
selected “Ceased Reporting” on the Jurisdiction
where Reporting Issuer field.
The submission is saved as a temporary filing and
displays on the Filing Management main window with
the status “In Process.” Do the following:
1. Update your profile database.
2. Open the filing, select another profile and submit
the filing.
Filer User's Guide 8.056.000
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Troubleshooting
A virus has been found.
A scan of files being submitted has identified a virus.
Please contact the CSA Service Desk at 1-800-2195381 for assistance.
Filer User's Guide 8.056.000
Page 285
A
About
address books 259
advanced inquiries 184
attaching files 108
code updates 275
cover pages 69
fees 103
filer profiles 25
filers 128
filing lists 184
filings 67, 98, 183
mail 250
projects 67
quick search inquiries 184
searching in SEDAR 230
secondary filers 128, 136
SEDAR 10
submissions 67
user profile and defaults 17
Access
changing secondary filer
access 142, 143
newly attached documents 118
setting up secondary filer
access 136
verifying secondary filer
access 149, 150 verifying
user access 23, 24 viewing, level
of documents 219,
221
Accessing
projects as secondary filers 147,
150
SEDAR 12
Adding
documents after
submission 151, 152, 157
entries to a mailing list 262
fees 103, 107, 178, 182
filers to filer lists 130, 132
formal correspondence 166, 169
Filer User's Guide 8.056.000
people to an address book 260
previously filed documents after
submission 158, 165
recipient agencies 174, 177
secondary filers to a project 137,
139
Address books
See also Mail
about 250, 259
adding a person to 260
adding entries to a mailing
list 262
creating 260, 262
finding an address in 263, 264
linking 265, 266
removing entries from a mailing
list 262
using 259, 266
Addresses, searching for 263, 264
Advanced inquiries
about 184
changing operators 206
changing search criteria 206
deleting 206
retrieving filings 201, 209
saving 206
tips for customizing lists 207, 209
using 201, 206
AND condition 232
Arranging columns 212
Assigning
profile numbers 26
secondary filers 132
Attaching
fees 103, 107
files 102
about 108
new documents 109, 112
previously filed
documents 113, 120
Page 286
B–C
Banking authorization,
verifying 23, 24
Building
advanced inquiries 207, 209
profile search inquiries 53, 57
quick search inquiries 186
search inquiries 241, 244
Changing
criteria 56
date format 19
default directory 20
language 20
logon information 20
operators 56
passwords 272, 274
search inquiries 62, 243, 249
secondary filers access 142, 143
user defaults and
preferences 19, 21
Checking See Verifying
Closing SEDAR 14
Code updates
about 275
initiating after opening
SEDAR 277
initiating before opening
SEDAR 275, 276
Columns
arranging 212
customizing view of filing
lists 211, 215
sorting entries in 214, 215
Condensed lists, viewing 214
Connecting to SEDAR 12
Cover pages
about 69
detaching files from 111, 119
General 88, 92
General Investment Funds 77,
82
Investment 71
Filer User's Guide 8.056.000
Investment Funds 76
Issuer 83, 87
modifying 170, 173
Third Party 93, 97
usage 69
Creating
address books 260, 262
advanced inquiries 201, 206
cover pages
General 88, 92
General Investment Funds 77,
82
Investment Funds 71, 76
Issuer 83, 87
Third Party 93, 97
mail 251, 255
profiles
all types 28, 31
Investment Fund Group 32, 36
Investment Fund Issuer 37, 41
Other Filer 48, 49
Other Issuer 42, 47
quick search inquiries 186
search inquiries 241, 244
temporary profile numbers 26
Customer assistance,
obtaining 278, 279
Customizing
lists, tips for 207, 209
SEDAR 19, 21
view of filing list 211, 215
D–E
Date
changing format 19
retrieving filings by 191
searching by 234, 240
Default directory, changing 20
Defaults, setting up 19, 21
Deleting
advanced inquiries 206
Page 287
fees 106
filers from filer lists 134, 135
files 271
mail 257
quick search inquiries 186
recipient agencies 176
search inquiries 56, 62, 243, 249
secondary filers from a
project 139, 141
selected fields in inquiries 243
Detaching files 111, 119, 121
Dial-up connection
accessing SEDAR 12
exiting SEDAR 14
Disconnecting from SEDAR 12, 14
Documents
adding after submission 151
attachments
access 118
reusing 119
viewing access levels 219, 221
Downloading, new projects 147,
148
Electronic cover pages 69
E-mail See Mail
Entering user information 21
Error messages 282, 289, 295
Errors, resubmitting filings 122
Exiting SEDAR 12, 14
F
Fees
adding 103, 107, 151, 178, 182
deleting 106
payment status details 227, 229
summary of 105
types of 105
verifying payment 227, 229
Fields
about 233
deleting selected fields 242, 243
Filer User's Guide 8.056.000
indexed 50, 236, 237
non-indexed 50, 237
required 28
types of 233, 235
File messages 289, 295
Filer lists
about 129
adding filers to 130, 132
deleting filers from 134, 135
updating filer information 132,
133
Filer profiles See Profiles
Filers
about 128
adding to filer lists 130, 132
assigning 132
deleting from filer lists 134, 135
setting up access for secondary
filers 136
updating filer lists 132, 133
Files
attaching
about 108
new documents 109, 112
previously filed
documents 113, 120
deleting 271
detaching 111, 119, 121
forwarding 271
receiving 250, 270, 271
refreshing 271
retrieving 270, 271
saving mail as 257
sending 250, 267, 269
Filing lists
about 184
advanced inquiries 201, 209
customizing view of 211, 215
quick search inquiries 184, 200
refreshing 187, 216, 217
tips for customizing lists 207, 209
Filing mail 257
Page 288
Filing process 67
Filing service functions 16
Filings
about 67, 98
adding documents after
submission 151, 152, 157
adding fees 178, 182
adding previously filed
documents 158, 165
adding recipient agencies 174,
177
attaching files
about 108
new documents 109, 112
previously filed
documents 113, 120
creating 67
detaching 121
private vs public 27
retrieving 245, 248
advanced inquiries 201, 209
quick search inquiries 187, 200
searching
about 230
building inquiries 241, 244
deleting inquiries 243
modifying inquiries 243, 249
optimizing inquiries 239, 240
saving inquiries 244
submitting inquiries 245, 248
selecting recipient agencies 99,
102
submitting 98, 121, 127
viewing access levels of
documents 219, 221
viewing the status of 222, 223
Formal correspondence
adding 166, 169
retrieving 224, 226
Forwarding
files 271
mail 257
Filer User's Guide 8.056.000
G–H
General cover pages
about 69
creating 88, 92
General functions 16
General Investment Funds cover
pages
about 69
creating 77, 82
Getting
help 278, 279
system information 280, 281
GST 181, 229
Hardware information 280, 281
Help Desk 9
HST 21, 105, 181, 229
I–L
Indexed fields 50, 207, 208, 236,
237
Informal correspondence See Mail
Information, about hardware and
software 280, 281
Initiating, code updates 275, 277
Inquiries
advanced inquiries 201, 209
building 53, 57, 241, 244
changing 243, 249
deleting 243, 249
modifying 62
optimizing
239, 240
quick search inquiries 184, 200
saving 244
submitting 57, 61, 245, 248
Investment Fund Group profiles
about 26
creating 32, 36
Investment Fund Issuer profiles
about 30, 37
creating 37, 41
updating 65
Page 289
Investment Funds cover pages
about 69
creating 71, 76
Issuer cover pages
about 69
creating 83, 87
Language, setting default 20
Leased-line connection
accessing and exiting
SEDAR 12, 14
changing passwords 272, 274
Linking address books 265, 266
Logon information, setting
default 20
M–N
Mail
See also Address books
about 250
creating 251, 255
deleting 257
filing 257
finding addresses 263, 264
forwarding 257
opening 256, 258
receiving files 270, 271
replying to 257
reviewing 256, 258
saving as a file 257
sending 251, 255
sending files 267, 269
Mail lists See Address books
Modules
Customer Assistance 17
Filing Management 17, 98
Mail 17
Profile Management 17, 28
Search Filings 17
Search Profiles 17
System Information 17
User Profile and Defaults 17
Filer User's Guide 8.056.000
Monitoring
profiles 63
Non-indexed fields
Notes See Mail
50, 237
O
Obtaining
customer assistance 278, 279
system information 280, 281
Opening mail 256, 258
Operators
about 233
AND condition 232
deleting selected operators 242
modifying 206, 243
OR condition 231
recommended 51, 208, 238
searching 51, 52
stock symbol 53
using in fields 233, 235
wildcard characters 230
OR condition 231
Other Filer profiles
about 26
creating 48, 49
Other Issuer profiles
about 26
creating 42, 47
updating 65
P
Passwords, changing 272, 274
Preferences, setting up 19, 21
Private filings 26, 219, 221
Private profile status 27
Private profiles 27
Private vs public 118
Problems
common 283, 288
error messages 289, 295
Page 290
solving 283, 288
Profile numbers 26
Profile status 66
Profiles
about 25
creating
all types 28, 31
Investment Fund Group 36
Investment Fund Issuer 37, 41
Investmentl Fund Group 32
Other Filer 48, 49
Other Issuer 42, 47
database 68
monitoring 63
private vs public 27
removing 35
retrieving filings by, details 193,
196
searching
about 50, 52
building inquiries 53, 57
modifying inquiries 62
recommended operators and
criteria 51
submitting inquiries 57, 61
types of 26
updating 64
viewing status 66
Project numbers
about 68
retrieving filings by 192
Projects
about 67
accessing as secondary
filers 147, 150
adding documents 152, 157
adding fees 151, 178, 182
adding formal
correspondence 166, 169
adding previously filed
documents 158, 165
adding secondary filers to 137,
Filer User's Guide 8.056.000
139
deleting secondary filers
from 139, 141
downloading 147, 148
refreshing 216
retrieving filings by project
number 192
submitting 121, 127
updating secondary filer
information 143, 146
viewing filing status 222, 223
Prospectus, submitting 68
Public filings 26, 219, 221
Public profile status 27
Public profiles 27
Q–R
QST 21, 181, 229
Quick search inquiries
about 184
creating 186
deleting 186
dialog box 185
modifying 186
refreshing the filing list 187
renaming 186
retrieving filings
by date 191
by profile details 193, 196
by project number 192
using 184, 200
wizard 187
Receiving files 250, 270, 271
Recipient agencies
adding after submission 174, 177
changing access levels of
documents 221
deleting 176
selecting 99, 102
Refreshing
files 271
Page 291
filing list 216, 217
filing list, quick search
inquiries 187
project 216
user information 21
Removing
filer profiles 35
Renaming quick search
inquiries 186
Replying to mail 257
Retrieving
files 270, 271
filings 245, 248
advanced inquiries 201, 209
quick search inquiries 187, 200
formal correspondence 224, 226
Reusing documents 119
Reviewing mail 256, 258
S
Saving
advanced inquiries 206
inquiries 244
search inquiries 57
Search criteria
about 233 modifying 206,
243 recommended
51,
208, 238 using 233
Searching
See also Advanced inquiries
See also Quick search inquiries
fields, operators and criteria
about 233
adding and deleting 242
AND condition 232
indexed fields 236, 237
non-indexed fields 237
OR condition 231
recommended 238
stock symbol 240
Filer User's Guide 8.056.000
wildcard characters 230
for addresses 263, 264
tips 236, 240
Searching for filings
about 230
building inquiries 241, 244
deleting inquiries 243
modifying search inquiries 249
optimizing inquiries 239, 240
saving inquiries 244
submitting search inquiries 245,
248
Searching for profiles
about 50, 52
building inquiries 53, 57
modifying inquiries 62
operators 52
recommended operators and
criteria 51
submitting inquiries 57, 61
Secondary filers
about 128, 136
access 136
accessing projects 147, 150
adding to projects 137, 139
changing access 142, 143
deleting from projects 139, 141
downloading projects 147, 148
updating information in a
project 143, 146
verifying access 149, 150
SEDAR
about 10
accessing 12
contacting Help Desk 278, 279
exiting 12, 14
modules 17
server 119
setting up 19, 21
updating codes 275, 277
using 16, 17
Page 292
Selecting
recipient agencies 99, 102
Sending
files 250, 267, 269
mail 251, 255
projects 121, 127
prospectus 68
search inquiries 57, 61, 245, 248
submissions 70
user information 24
Setting up
date format 19
default directory 20
language 20
logon information 20
user defaults and
preferences 19, 21
Software information 280, 281
Sorting entries in submission
lists 214, 215
Stock symbols
searching 53
searching by 240
Submission numbers 68
Submissions
about 67
access 150
adding documents 151
adding fees 178, 182
adding recipient agencies 174,
177
customizing view 214, 215
sending 70
transmitting 121, 127
viewing completed 127
Submitting
filings 98
profile search inquiries 57, 61
projects 121, 127
System information 280, 281
Filer User's Guide 8.056.000
T
Taxes 181, 229
Technical support 278, 279
Third Party cover pages
about 70
creating 93, 97
Tips
for customizing advanced search
inquiries 207, 209
searching effectively 236, 240
troubleshooting 282
Troubleshooting tips 282
U
Updating
advanced inquiries 206
cover pages 170, 173
fields, operators and criteria 243
filer information 132, 133
profile search inquiries 62
profiles 64
quick search inquiries 186
search inquiries 243, 249
secondary filer information in a
project 143, 146
SEDAR codes 275, 277
User authorization
changing 23, 24
verifying 23, 24
User information
entering 21
submitting 24
Using
address books 259, 266
advanced inquiries 201, 206
indexed and non-indexed
fields 50
indexed fields 236, 237
quick search inquiries 184, 200
Page 293
V–Z
Verifying
access authorization 23, 24
access levels of documents 219,
221
banking authorization 23, 24
fee payments 227, 229
filing lists 211, 215
filing status 121, 127, 222, 223
profile status 66
secondary filer access 149, 150
Wildcard character 230
Wizard, quick search inquiry 187
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