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Cannabis Regulations (SOR/2018-144)

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Regulations are current to 2023-01-11 and last amended on 2022-12-02. Previous Versions

PART 11Retention of Documents and Information (continued)

Research and Development

Marginal note:Research and development

  •  (1) A holder of a licence, if they undertake research and development activities, must retain a document that contains the following information:

    • (a) in respect of any cannabis that is used in the activities,

      • (i) its description, including, if applicable, its brand name,

      • (ii) the quantity used and, if applicable, the lot or batch number,

      • (iii) the date on which it is used, and

      • (iv) the purpose and a brief description of the activity;

    • (b) in respect of any cannabis that is produced in the course of the activities,

      • (i) its description,

      • (ii) the quantity produced,

      • (iii) the date on which it is produced,

      • (iv) if applicable, the date on which it is used for testing and the quantity used, and

      • (v) if applicable, the date on which it is placed in inventory intended for sale and the quantity placed in inventory; and

    • (c) any other information that can be used to reconcile the quantities of cannabis referred to in paragraphs (a) and (b).

  • Marginal note:Non-therapeutic research on cannabis

    (1.1) A holder of a licence for research must also retain, in relation to any non-therapeutic research on cannabis that the holder conducts, the following documents:

    • (a) a copy of the documents submitted to the Minister in relation to that research;

    • (b) a copy of the documents produced in relation to that research; and

    • (c) a copy of any document required by licence conditions that the Minister has imposed under subsection 62(10) of the Act.

  • Marginal note:Retention period — general rule

    (2) A document referred to in subsection (1) that does not relate to non-therapeutic research on cannabis must be retained for at least two years after the day on which it is prepared.

  • Marginal note:Retention period — non-therapeutic research on cannabis

    (3) Despite any other provision of these Regulations that specifies a retention period and except in the case of reports and records referred to in section 248.2, every document that the holder of a licence for research must retain under these Regulations in relation to non-therapeutic research on cannabis that the holder conducts or in relation to cannabis that is distributed in the conduct of such research must be retained for at least two years after the day on which the non-therapeutic research on cannabis ends.

Limit for Micro-processing Licence

Marginal note:Limit — micro-processing licence

 A holder of a licence for micro-processing must maintain documentation that demonstrates that they comply with the limit set out in subsection 21(1) and retain each version of the documentation for at least two years after the day on which it is replaced by a new version or, if it has not been replaced, for at least two years after the day on which the licence expires or is revoked.

Import and Export

Marginal note:Import of cannabis

 A holder or former holder of an import permit must retain a document that contains the information that they provided to the Minister under section 209 — together with a copy of the relevant export permit that was issued by a competent authority in the country of export — for at least two years after the day on which the information is provided.

Marginal note:Export of cannabis

 A holder or former holder of an export permit must retain a document that contains the information that they provided to the Minister under section 218 — together with a copy of the relevant import permit issued by a competent authority in the country of final destination — for at least two years after the day on which the information is provided.

Key Investors

Marginal note:Record of key investors

  •  (1) A holder of a licence for cultivation, processing or sale must maintain a record that contains the following information in respect of each key investor:

    • (a) the key investor’s name and mailing address;

    • (b) a detailed description of the means by which the key investor exercises, or is in a position to exercise, control over the holder;

    • (c) details regarding the transaction by virtue of which the key investor became such an investor, including

      • (i) if they provided money directly or indirectly to the holder, the amount provided, the date on which it was provided and the terms and conditions under which it was provided, and if the money was provided in the form of a loan, the interest rate and term, and

      • (ii) if they provided goods or services directly or indirectly to the holder, a description of the goods or services, their fair market value at the time they were provided, the date on which they were provided and the terms and conditions under which they were provided;

    • (d) details regarding each instance in which the key investor provides money, goods or services directly or indirectly to the holder, including

      • (i) in the case of money, the amount provided, the date on which it is provided and the terms and conditions under which it is provided, and if the money is provided in the form of a loan, the interest rate and term, and

      • (ii) in the case of goods or services, a description of the goods or services, their fair market value at the time at which they are provided, the date on which they are provided and the terms and conditions under which they are provided;

    • (e) details regarding any benefit that the key investor receives from the holder as a result of

      • (i) having provided money, goods or services to the holder, or

      • (ii) holding an ownership interest or other right or interest in, or in respect of, a business operated by the holder or, if the holder is an organization, in or in respect of the organization;

    • (f) details regarding each instance in which money is repaid or goods are returned to the key investor, including

      • (i) in the case of money, the amount repaid and the date on which it is repaid, and

      • (ii) in the case of goods, a description of the goods, their fair market value at the time they are returned and the date on which they are returned;

    • (g) if known, an indication of whether any ownership interest or other right or interest held by the key investor in, or in respect of, a business operated by the holder — or, if the holder is an organization, in or in respect of the organization — has been assigned, pledged, mortgaged, hypothecated or sold, in whole or in part, to any person;

    • (h) if known, an indication of whether an agreement has been entered into under which any right or interest referred to paragraph (g) will or could be assigned, pledged, mortgaged, hypothecated or sold, in whole or in part, to any person; and

    • (i) if known, the name and mailing address of any person referred to in paragraph (g) or (h).

  • Marginal note:Exception — published market

    (2) Subsection (1) does not apply to a holder that is an organization if their equity securities are, or a class of those securities is, listed on a published market.

  • Marginal note:Exception — key investors before issuance

    (3) The holder is not required to include the information referred to in paragraph (1)(c) in respect of a key investor that became such an investor before the day on which the licence was issued.

  • Marginal note:Exception — continued licences

    (4) If the licence has been continued in force by virtue of subsection 158(1) of the Act, the holder is not required to include the information referred to in paragraph (1)(c) in respect of a key investor that became such an investor before the day on which these Regulations come into force.

  • Marginal note:Requirements regarding content

    (5) The holder must not delete any information from the record and must indicate the effective date of the event in respect of which new information is added to the record.

  • Marginal note:Former key investors

    (6) For greater certainty, the information that has been included in the record in respect of a key investor must continue to be retained in the record even if the person ceases to be such an investor.

  • Marginal note:Annual reporting

    (7) The holder must, no later than January 31 in any given year, provide the Minister with

    • (a) a copy of the record; and

    • (b) if any person ceased to be a key investor during the previous calendar year, a document containing details regarding how and when they ceased to be such an investor.

  • Marginal note:Maintenance and retention of record

    (8) The holder must ensure that the record is

    • (a) maintained in a manner that will enable an audit of it to be made in a timely manner;

    • (b) available at the site specified in the licence; and

    • (c) retained for at least two years after the day on which the holder ceases to be required to maintain it.

  • Marginal note:Definitions

    (9) The following definitions apply in this section.

    key investor

    key investor means, in respect of the holder of a licence, a person that exercises, or is in a position to exercise, direct or indirect control over the holder by virtue of

    • (a) having provided money, goods or services directly or indirectly to the holder; or

    • (b) holding an ownership interest or other right or interest in, or in respect of, a business operated by the holder or, if the holder is an organization, in or in respect of the organization. (investisseur-clé)

    published market

    published market means a market inside or outside Canada on which equity securities are traded, if the prices at which the securities are traded are regularly published either electronically or in a newspaper or financial or business publication of general circulation. (marché publié)

PART 12Reporting and Disclosure

Documents and Information Provided to Minister

Marginal note:Form and manner

 Except as otherwise provided in these Regulations, documents that are required to be provided to the Minister under this Part, Part 8, subsection 241(7) or section 297 must be provided in the form and manner specified in the document entitled Form and Manner Requirements – Documents Provided to the Minister for the Purposes of the Cannabis Act, as amended from time to time and published by the Government of Canada on its website.

Marginal note:Request by Minister

  •  (1) A person that is required to ensure the retention of documents or information under these Regulations and that is not authorized under the Act to conduct activities in relation to cannabis may be required by the Minister to provide the documents or information to the Minister if the Minister has reasonable grounds to believe that the documents are, or the information is, necessary to address an issue of public health or public safety or to verify compliance or prevent non-compliance with the provisions of the Act or of these Regulations. If the person is required to provide the documents or information to the Minister, they must do so as soon as feasible.

  • Marginal note:Import and export permits

    (2) A person that has ceased to hold a licence and that is required to retain documents — including copies of permits — under section 239 or 240 may be required by the Minister to provide the documents to the Minister if the Minister has reasonable grounds to believe that they are necessary for a purpose specified in subsection (1). If the person is required to provide the documents to the Minister, they must do so as soon as feasible.

  • Marginal note:Exception — urgent issues

    (3) A document or information that must be provided under subsection (1) or (2) to address an issue of public health or public safety must be provided without delay if the Minister has reasonable grounds to believe that the issue must be addressed urgently and so indicates in the request.

Marginal note:Notice — new cannabis product

  •  (1) A holder of a licence for processing, at least 60 days before making available for sale a cannabis product — except cannabis plants or cannabis plant seeds — that they have not previously sold in Canada, must provide the Minister with a written notice that contains the following information:

    • (a) the class of cannabis set out in Schedule 4 to the Act to which the cannabis product belongs;

    • (b) a description of the cannabis product, including the brand name; and

    • (c) the date on which the cannabis product is expected to be made available for sale.

  • Marginal note:Retention period

    (2) The holder must retain a copy of the notice for at least two years after the date referred to in paragraph (1)(c).

Marginal note:Information related to promotion

  •  (1) For the purpose of subsection 43(1) of the Act,

    • (a) the information that a person referred to in that subsection must provide to the Minister in respect of the promotion of cannabis is

      • (i) the total amount of money that the person spent in a given calendar year on promotion that is directed at consumers who purchase cannabis at the retail level in Canada, together with a description of the types of promotion on which the money was spent, and

      • (ii) the total amount of money that the person spent in a given calendar year on promotion conducted in Canada that is not directed at consumers referred to in subparagraph (i), together with a description of the types of promotion on which the money was spent; and

    • (b) the information must be provided, in writing, no later than March 31 of the year after the year to which the information relates.

  • Marginal note:Cannabis accessories and services

    (2) For the purpose of subsection 43(2) of the Act,

    • (a) the information that a person referred to in that subsection must provide to the Minister, in respect of the promotion of cannabis accessories that they sell or distribute or a service related to cannabis that they provide, is

      • (i) the total amount of money that the person spent in a given calendar year on promotion that is directed at consumers who purchase cannabis at the retail level in Canada, together with a description of the types of promotion on which the money was spent, and

      • (ii) the total amount of money that the person spent in a given calendar year on promotion conducted in Canada that is not directed at consumers referred to in subparagraph (i), together with a description of the types of promotion on which the money was spent; and

    • (b) the information must be provided, in writing, no later than March 31 of the year after the year to which the information relates.

  • Marginal note:Exemption

    (3) A person referred to in subsection 43(1) or (2) of the Act is exempt from the requirement to provide the information referred to in subsection (1) or (2) if they do not hold a licence.

  • Marginal note:Prior promotions

    (4) The information referred to in subsections (1) and (2) is not required to be provided in respect of any promotion that is conducted before the day on which these Regulations come into force.

Marginal note:Theft or loss of cannabis

  •  (1) A holder of a licence other than a cannabis drug licence must, if they experience a theft of cannabis or a loss of cannabis that cannot be explained on the basis of normally accepted business activities,

    • (a) notify a police force within 24 hours after becoming aware of its theft or loss; and

    • (b) provide the Minister with a written notice within 10 days after becoming aware of its theft or loss.

  • Marginal note:Retention period

    (2) The holder must retain a copy of the notice provided to the Minister for at least two years after the day by which the Minister must be notified.

 
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