Alberta Gazette — 31 January (i)

0131 i

Alberta — Gazette

THE ALBERTA GAZETTE,

PART I, JANUARY 31, 2003

The Alberta Gazette

PART 1

_______________________________________________________________________

Vol. 99 EDMONTON, FRIDAY, JANUARY 31, 2003 No. 2

_______________________________________________________________________

APPOINTMENTS

PROVINCIAL COURT ACT

Supernumerary Judge Re-appointed

January 1, 2003

The Honourable Judge Hurbert Benjamin Casson of Edmonton

The above re-appointments are for a two year

term._______________________________________________________________________

RESIGNATIONS AND RETIREMENTS

PROVINCIAL COURT ACT

Death of Provincial Court Judge

December 16, 2002

Honourable Judge Pierre-Michel Dube, of Edmonton

_______________

Resignation of Non-Presiding Justice of the Peace

February 1, 2003

Martin, Kelly Leigh, of St. Paul

_______________________________________________________________________

GOVERNMENT NOTICES

AGRICULTURE, FOOD AND RURAL DEVELOPMENT

FORM 15

(Irrigation Districts Act)

(Section 88)

NOTICE TO IRRIGATION SECRETARIAT:

CHANGE OF AREA OF AN IRRIGATION DISTRICT

On behalf of the Bow River Irrigation District, I hereby request that the

Irrigation Secretariat forward a certified copy of this notice to the

Registrar of Land Titles for the purposes of registration under

section 23

of the Land Titles Act and arrange for notice to be published in the

Alberta Gazette.

The following parcels of land should be ADDED to the irrigation district

and the appropriate notation added to the certificate of title:

Short Legal Description

Title Number

Linc

N.W. 6-15-18-W4M

011 337 625

I certify that the procedures required under

Part 4 of the Irrigation

Districts Act have been completed and the area of the Bow River Irrigation

District should be changed according to the above list.

Len Ring, Manager.

Irrigation Secretariat.

_______________________________________________________________________

FORM 15

(Irrigation Districts Act)

(Section 88)

NOTICE TO IRRIGATION SECRETARIAT:

CHANGE OF AREA OF AN IRRIGATION DISTRICT

On behalf of the Western Irrigation District, I hereby request that the

Irrigation Secretariat forward a certified copy of this notice to the

Registrar of Land Titles for the purposes of registration under

section 23

of the Land Titles Act and arrange for notice to be published in the

Alberta Gazette.

The following parcels of land should be ADDED to the irrigation district

and the appropriate notation added to the certificate of title:

Short Legal Description

Title Number

Linc

SW 34-26-25-W4

001 197 096

0023 204 589

NW 34-26-25-W4

001 197 096

0023 204 571

SE 33-26-25-W4

961 211 222

0021 855 417

NE 33-26-25-W4

001 197 102+1

SW 33-26-25-W4

961 211 222

0021 855 409

I certify that the procedures required under

Part 4 of the Irrigation

Districts Act have been completed and the area of the Western Irrigation

District should be changed according to the above list.

Laurie Hodge, Office Manager.

Irrigation Secretariat.

ENERGY

UNIT AGREEMENT

(Mines and Minerals Act)

Notice is hereby given, pursuant to

section 146 of the Mines and Minerals

Act, that the Minister of Energy on behalf of the Crown has executed

counterparts of the agreement entitled "Unit Agreement - Kakwa Main Unit"

with respect to M6 R5 T63: 19N; 30 and M6 R6 T63: 24; 25 and that the

enlargement became effective on August 1, 2002.

FINANCE

INSURANCE NOTICE

(Insurance Act)

CLARICA LIFE INSURANCE COMPANY / SUN LIFE ASSURANCE

COMPANY OF CANADA

Effective December 31, 2002, Clarica Life Insurance Company amalgamated

with Sun Life Assurance Company of Canada. The continuing company is Sun

Life Assurance Company of Canada.

2-3 A. Hagan, Deputy Superintendent of Insurance

and Financial Institutions._______________

LONDON GUARANTEE INSURANCE COMPANY / ST. PAUL

GUARANTEE INSURANCE COMPANY

Effective January 1, 2003 London Guarantee Insurance Company changed its

name to St. Paul Guarantee Insurance Company.

2-3 A. Hagan, Deputy Superintendent of Insurance

and Financial Institutions._______________

MARYLAND CASUALTY COMPANY

Notice is hereby given that Maryland Casualty Company has withdrawn from

the Province of Alberta as at December 31, 2002.

Dated at Edmonton, Alberta, December 17, 2002

1-2 A. Hagan, Deputy Superintendent of Insurance

and Financial Institutions. _______________

PHOENIX LIFE INSURANCE COMPANY

Notice is hereby given that Phoenix Life Insurance Company withdrew from

the Province of Alberta as at December 31, 2002.

2-3 A. Hagan, Deputy Superintendent of Insurance

and Financial Institutions. _______________

ALBERTA SCHOOL BOARDS INSURANCE

Alberta School Boards Insurance has taken out a licence in the Province of

Alberta, and is authorized to transact the following classes of insurance:

Liability and Property

2-3 A. Hagan, Deputy Superintendent of Insurance

and Financial Institutions.

GENESIS RECIPROCAL INSURANCE EXCHANGE

Genesis Reciprocal Insurance Exchange has taken out a licence in the

Province of Alberta, and is authorized to transact the following classes of

insurance:

Liability and Property

2-3 A. Hagan, Deputy Superintendent of Insurance

and Financial Institutions.

_______________

PBC HEALTH BENEFITS SOCIETY

PBC Health Benefits Society has taken out a licence in the Province of

Alberta, and is authorized to transact the following classes of insurance:

Accident and Sickness

2-3 A. Hagan, Deputy Superintendent of Insurance

and Financial

Institutions._______________________________________________________________________

INFRASTRUCTURE

SALE OR DISPOSITION OF LAND

(Government Organization Act)

Name of Purchaser: Walton International Group Inc.

Consideration: $1,919,145.60

Land Description: Meridian 4 Range 24 Township 54

Section 2. All that

portion of the north east quarter lying south west of the Transportation

and Utility Corridor on Plan 8821928 and north east of Subdivision Plan

7722209, containing 65.66 acres more or less. Excepting thereout plan

0221202 - right of way - 6.65 acres more or less. Excepting thereout all

mines and minerals. Located in the City of Edmonton.

Plan 7722209, Block 2, containing 57.08 acres more or less. Excepting

thereout

a) plan 9320734 - descriptive - 16.41 acres more or less;

b) plan

0221202 - right of way - 0.19 acres more or less (area "A"). Excepting

thereout all mines and minerals. Located in the City of Edmonton.

Meridian 4 Range 24 Township 54

Section 11. All that portion of the south

west quarter described as follows: commencing at the south west corner of

the said quarter section; thence northerly along the west boundary thereof

660 feet; thence easterly and parallel to the south boundary of the said

quarter

section 1320 feet; thence southerly and parallel to the said west

boundary to its intersection with the said south boundary; thence westerly

along the boundary to the point of commencement and lying south east of the

Transportation and Utility Corridor on Plan 8821928, containing 2.96 acres

more or less. Excepting thereout plan 0221202 - right of way - 0.20 acres

more or less (area "A"). Excepting thereout all mines and minerals. Located

in the City of Edmonton.

Meridian 4 Range 24 Township 54

Section 11. All that portion of the south

west quarter lying south west of the Transportation and Utility Corridor

shown on Plan 8821928 and east of a line drawn parallel to the west

boundary from a point on the south boundary 1320 feet easterly from the

south west corner of the said quarter section, containing 9.34 acres more

or less. Excepting thereout plan 0221202 - right of way - 3.53 acres more

or less (area "A"). Excepting thereout all mines and minerals. Located in

the City of Edmonton.

Name of Purchaser: 947259 Alberta Ltd.

Consideration: $435,000

Land Description: Railway right-of-way containing 79.91 acres more or less

as shown outlined in red on filed Plan 5814NY. Excepting thereout

a) plan

1712RS - right of way - 0.14 acres more or less;

b) plan 1850RS - road -

4.85 acres more or less;

c) plan 9722052 - road - 1.11 acres more or less;

d) plan 9822349 - descriptive - 10.08 acres more or less. Excepting

thereout all mines and minerals. Located in the City of Grande Prairie.

Name of Purchaser: Planet Wide Investments Inc.

Consideration: $650,000

Land Description: Meridian 4 Range 29 Township 25

Section 12. That portion

of south east quarter which lies north west of the right of way on Plan

9110968 containing 3.36 acres more or less. Excepting thereout all mines

and minerals. Located in the City of Calgary.

Meridian 4 Range 29 Township 25

Section 12. That portion of north east

quarter which lies west of the right of way on Plan 9110968 containing 9.74

acres more or less. Excepting thereout all mines and minerals. Located in

the City of Calgary.

Name of Purchaser: MacEwan West Developments Ltd.

Consideration: $1,800,000

Land Description: Plan 3746MC Block A containing 78.63 acres more or less.

Excepting thereout plan 8822409 - right of way - 41.54 acres more or less.

Excepting thereout all mines and minerals. Located in the City of Edmonton.

Name of Purchaser: Evelyn Schneider and Peregrine Leasing Inc.

Consideration: $495,750

Land Description: Right of Way of the Alberta Resources Railway Corporation

containing 46.15 acres more or less as shown outlined red on Railway Plan

5814NY. Excepting thereout

a) plan 4863TR - road - 8.39 acres more or less;

b) plan 9520679 - railway - 8.00 acres more or less;

c) plan 0024011 - road

- 0.85 acres more or less. Excepting thereout all mines and minerals.

Located in the City of Grande Prairie.

Name of Purchaser: Stephen K. Ghory and Sharon L. Ghory

Consideration: $95,000

Land Description: Plan 515EO Block 2 Lot 20. Excepting thereout all mines

and minerals. Located in the City of Cold Lake.

Name of Purchaser: MacEwan West Ltd.

Consideration: $144,500

Land Description: Meridian 4 Range 24 Township 51

Section 30-R. All that

portion of the north west quarter lying south and east of

Transportation/Utility Corridor right of way plan 8822409; containing 2.89

acres more or less. Excepting thereout all mines and minerals. Located in

the City of Edmonton.

_______________________________________________________________________

JUSTICE

PUBLIC TRUSTEE OFFICE

UNCLAIMED BALANCES

For the Period November 1, 2002 to December 31, 2002

(Public Trustee Act)

Beneficiary Name

Amount Remitted

Date Remitted

Estate Name

BRUNETTE, Stella

$4,224.61

11/15/2002

SESTOPALI, Elisabeth

MIKSI, Geza Tibor, Missing Spouse of

$6,026.29

12/20/2002

MIKSI, Geza Tibbor, Spouse of

TKACHYK, John missing beneficiary

$686.09

11/08/2002

TKACHYK, John

_______________________________________________________________________

SAFETY CODES

MUNICIPAL ACCREDITATION

(Safety Codes Act)

Pursuant to

section 26 of the Safety Codes Act, it is hereby ordered that

- Town of Rimbey, Accreditation No. M000160, Order No. O00001407,

December 19, 2002

authorized to administer the Safety Codes Act within their jurisdiction for

Plumbing, all parts of the Canadian Plumbing Code, Alberta Amendments and

Regulations, excluding any or all things, processes or activities owned by

or under the care and control of corporations accredited by the Safety

Codes Council.

_______________

Pursuant to

section 26 of the Safety Codes Act, it is hereby ordered that

- Town of Rimbey, Accreditation No. M000160, Order No. O00001408,

December 19, 2002

authorized to administer the Safety Codes Act within their jurisdiction for

Electrical, excluding any or all things, processes or activities owned by

or under the care and control of corporations accredited by the Safety

Codes Council.

_______________

Pursuant to

section 26 of the Safety Codes Act, it is hereby ordered that

- Town of Rimbey, Accreditation No. M000160, Order No. O00001409,

December 19, 2002

authorized to administer the Safety Codes Act within their jurisdiction for

Gas, all parts of the Canadian Gas Association, Propane and Natural Gas

Codes, Alberta Amendments and Regulations, excluding Propane and Natural

Gas Highway Vehicle Conversions, excluding any or all things, processes or

activities owned by or under the care and control of corporations

accredited by the Safety Codes Council.

ALBERTA SECURITIES COMMISSION

ALBERTA SECURITIES COMMISSION RULES (GENERAL)

AMENDMENT RULE

1 The Alberta Securities Commission Rules (General) are amended by this

Rule.

2 Sections 47, 48, and 53 are repealed.

3 Form 3 is amended

(

a) in

section 10(

a) by striking out "Form 4" and substituting

"Form 33-109F4";

(

b) by repealing

section 10(

b) and substituting the following:

(

b) for each person who is a non-registered individual of the

applicant and not referred to in clause (a), a completed Form 33-109F4, and

(

c) by adding the following after

section 11:

Notice of Collection and Use of Personal Information

The personal information required under this form is collected on behalf of

and used by the securities regulatory authorities set out below for the

administration and enforcement of certain provisions of the securities

legislation in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario,

Nova Scotia, New Brunswick, Prince Edward Island, Newfoundland and

Labrador, Northwest Territories, Yukon Territory and Nunavut.

If you have any questions about the collection and use of this information,

you may contact the securities regulatory authority in any jurisdiction in

which the required information is filed, at the address or telephone number

provided in

Schedule "A".

(

d) by adding the following

Schedule to Form 3:

SCHEDULE "A"

Notice and collection and use of personal information

Contact Information

Alberta

Alberta Securities Commission,

4th Floor, 300 B 5th Avenue S.W.

Calgary, AB T2P 3C4

Attention: Information Officer

Telephone: (403) 297-6454

British Columbia

British Columbia Securities Commission

P.O. Box 10142, Pacific Centre

701 West Georgia Street

Vancouver, BC V7Y 1L2

Attention: Freedom of Information Officer

Telephone: (604) 899-6500 or (800) 373-6393 (in BC)

Manitoba

The Manitoba Securities Commission

1130-405 Broadway

Winnipeg, MB R3C 3L6

Attention: Director - Legal

Telephone: (204) 945-4508

New Brunswick

Securities Administration Branch

PO Box 5001

606, 133 Prince William Street

Saint John, NB E2L 4Y9

Attention: Deputy Administrator, Capital Markets

Telephone: (506) 658-3021

Newfoundland and Labrador

Securities Commission of Newfoundland and Labrador

P.O. Box 8700, 2nd Floor, West Block

Confederation Building

St. John's, NF A1B 4J6

Attention: Director of Securities

Tel: (709) 729-4189

Nova Scotia

Nova Scotia Securities Commission

2nd Floor, Joseph Howe Building

1690 Hollis Street

P.O. Box 458

Halifax, NS B3J 3J9

Attention: FOI Officer

Telephone: (902) 424-7768

Northwest Territories

Government of the Northwest Territories

P.O. Box 1320

Yellowknife, NWT X1A 2L9

Attention: Deputy Registrar of Securities

Telephone: (867) 920-8984

Nunavut

Legal Registries Division

Department of Justice

Government of Nunavut

P.O. Box 1000 Station 570

Iqaluit, NU X0A 0H0

Attention: Deputy Registrar of Securities

Telephone: (867) 975-6190

Ontario

Ontario Securities Commission

Suite 1903, Box 55

20 Queen Street West

Toronto, ON M5H 3S8

Attention: FOI Coordinator

Telephone: (416) 593-8314

Prince Edward Island

Securities Registry

Office of the Attorney General B Consumer, Corporate and Insurance Services

Division

P.O. Box 2000

Charlottetown, PE C1A 7N8

Attention: Deputy Registrar of Securities

Telephone: (902) 368-4569

Qu‚bec

Commission des valeurs mobiliŠres du Qu‚bec

Stock Exchange Tower

P.O. Box 246, 22nd Floor

800 Victoria Square

Montr‚al, PQ H4Z 1G3

Attention: Responsable de l'accŠs … l'information

Telephone: (514) 940-2150 or

(800) 361-5072 (in Qu‚bec)

Saskatchewan

Saskatchewan Securities Commission

800 B1920 Broad Street

Regina, SK S4P 3V7

Attention: Director

Telephone: (306) 787-5842

Yukon

Department of Community Services Yukon

P.O. Box 2703

Whitehorse, YU Y1A 2C6

Attention: Registrar of Securities

Telephone: (867) 667-5225

4 This rule comes into force on February 21, 2003.

_______________________________________________________________________

MULTILATERAL INSTRUMENT 31-102

NATIONAL REGISTRATION DATABASE

PART TITLE PAGE

PART 1 DEFINITIONS AND

INTERPRETATION

1.1

Definitions 1

1.2

Interpretation 2

PART 2 INFORMATION TO BE SUBMITTED IN NRD FORMAT

2.1 Registration Information 2

PART 3 MAKING NRD SUBMISSIONS

3.1 NRD Submissions 2

3.2 Ongoing Firm Filer Requirements 3

PART 4 PAYMENT OF FEES THROUGH NRD

4.1 Payment of Submission Fees 3

4.2 Payment of Annual Registration Fees 3

4.3 Payment of NRD User Fees - Annual 4

PART 5 TEMPORARY HARDSHIP EXEMPTION

5.1 Temporary Hardship Exemption 4

PART 6 EXEMPTION

6.1 Exemption 5

PART 7 TRANSITION

7.1

Definitions 5

7.2 NRD Enrolment for Transition Firms 5

7.3 NRD Submissions before NRD Access Date 5

7.4 Accuracy of Business Location Information 5

7.5 Individuals Included in the Data Transfer 5

7.6 Individuals not Included in the Data Transfer 7

7.7 Changes to Form 4 Information - Registered Individuals 7 7.8 Changes to Form 4 Information - Non-registered Individuals 7

7.9 Pending Application to Change Individual's Registration

Category 8

7.10 Currency of Form 33-109F4 8

7.11 Termination or Cessation of Relationship 8

PART 8 EFFECTIVE DATE

8.1 Effective Date 9

MULTILATERAL INSTRUMENT 31-102

NATIONAL REGISTRATION DATABASE

PART 1 DEFINITIONS AND

INTERPRETATION

1.1

Definitions - In this Instrument

"authorized firm representative" or "AFR" means, for a firm filer, an

individual with his or her own NRD user ID and who is authorized by the

firm filer to submit information in NRD format for that firm filer and

individual filers with respect to whom the firm filer is the sponsoring

firm;

"chief AFR" means, for a firm filer, an individual who is an AFR and

has accepted an appointment as a chief AFR by the firm filer;

"firm filer" means a person or company that is required under

securities legislation to make an NRD submission in accordance with this

Instrument and that is registered as, or has applied for registration as, a

dealer, adviser, or underwriter;

"individual filer" means an individual that is required under

securities legislation to make an NRD submission in accordance with this

Instrument;

"MI 33-109" means Multilateral Instrument 33-109 Registration

Information;

"National Registration Database" or "NRD" means the online electronic

database of registration information regarding NRD filers and includes the

computer system providing for the transmission, receipt, review and

dissemination of that registration information by electronic means;

"NRD account" means an account with a member of the Canadian Payments

Association from which fees may be paid with respect to NRD by electronic

pre-authorized debit;

"NRD administrator" means CDS INC. or a successor appointed by the

securities regulatory authority to operate NRD;

"NRD filer" means an individual filer or a firm filer;

"NRD format" means the electronic format for submitting information

through the NRD website;

"NRD number" means the unique number first generated by NRD to

identify an NRD filer, a non-registered individual, or a business location;

"NRD submission" means information that is submitted under securities

legislation or securities directions in NRD format, or the act of

submitting information under securities legislation or securities

directions in NRD format, as the context requires;

"NRD website" means the website operated by the NRD administrator for

NRD submissions;

1.2

Interpretation - Terms defined in MI 33-109 and used in this

Instrument have the respective meanings ascribed to those terms in MI

33-109.

PART 2 INFORMATION TO BE SUBMITTED IN NRD FORMAT

2.1 Registration Information - A person or company that is required to

submit any of the following to the securities regulatory authority or

regulator must make the submission in NRD format:

1. Form 33-109F1;

2. Form 33-109F2;

3. Form 33-109F3;

4. Form 33-109F4 or a change to any information previously

submitted in respect of Form 33-109F4.

PART 3 MAKING NRD SUBMISSIONS

3.1 NRD Submissions

(1) An NRD filer that is required under securities legislation to

submit information in NRD format must make that NRD submission

(

a) through the NRD website,

(

b) using the NRD number of the NRD filer, non-registered

individual, or business location, and

(

c) in accordance with this Instrument.

(2) A requirement in securities legislation relating to the format

in which a document or other information to be submitted must be printed,

or specifying the number of copies of a document that must be submitted,

does not apply to an NRD submission required to be made in accordance with

this Instrument.

(3) An NRD filer making an NRD submission must make the NRD

submission through an AFR.

3.2 Ongoing Firm Filer Requirements - A firm filer must

(

a) be enrolled with the NRD administrator to use NRD;

(

b) have one and no more than one chief AFR enrolled with the

NRD administrator;

(

c) maintain one and no more than one NRD account;

(

d) notify the NRD administrator of the appointment of a

chief AFR within 5 business days of the appointment;

(

e) notify the NRD administrator of any change in the name of

the firm's chief AFR within 5 business days of the change; and

(

f) submit any change in the name of an AFR, other than the

firm's chief AFR, in NRD format within 5 business days of the change.

PART 4 PAYMENT OF FEES THROUGH NRD

4.1 Payment of Submission Fees

(1) If a fee is required with respect to an NRD submission, a firm

filer must pay the required fee by electronic pre-authorized debit through

NRD.

(2) A payment under subsection (1) must be made from the firm

filer's NRD account.

4.2 Payment of Annual Registration Fees

(1) If a firm filer is required to pay an annual registration fee,

the firm filer must pay the required fee by electronic pre-authorized debit

through NRD.

(2) A payment under subsection (1) must be made from the firm

filer's NRD account.

4.3 Payment of NRD User Fees - Annual

(1) If a firm filer is required to pay an annual NRD user fee, the

firm filer must pay the required fee by electronic pre-authorized debit

through NRD.

(2) A payment under subsection (1) must be made from the firm

filer's NRD account.

PART 5 TEMPORARY HARDSHIP EXEMPTION

5.1 Temporary Hardship Exemption

(1) If unanticipated technical difficulties prevent an NRD filer

from making a submission in NRD format within the time required under

securities legislation, the NRD filer is exempt from the requirement to

make the submission within the required time period, if the NRD filer makes

the submission in paper format or NRD format no later than 5 business days

after the day on which the information was required to be submitted.

(2) Form 33-109F5 is the paper format for submitting a notice of a

change to Form 33-109F4 information.

(3) If unanticipated technical difficulties prevent an individual

filer from submitting an application in NRD format, the individual filer

may submit the application in paper format.

(4) If an NRD filer makes a paper format submission under this

section, the NRD filer must include the following legend in capital letters

at the top of the first page of the submission:

IN ACCORDANCE WITH

SECTION 5.1 OF MULTILATERAL INSTRUMENT

31-102 NATIONAL REGISTRATION DATABASE (NRD), THIS [SPECIFY DOCUMENT] IS

BEING SUBMITTED IN PAPER FORMAT UNDER A TEMPORARY HARDSHIP EXEMPTION.

(5) If an NRD filer makes a paper format submission under this

section, the NRD filer must resubmit the information in NRD format as soon

as practicable and in any event within 10 business days after the

unanticipated technical difficulties have been resolved.

PART 6 EXEMPTION

6.1 Exemption

(1) The regulator or the securities regulatory authority may grant

an exemption from this Instrument, in whole or in part, subject to such

conditions or restrictions as may be imposed in the exemption.

(2) Despite subsection (1), in Ontario only the regulator may grant

such an exemption.

PART 7 TRANSITION

7.1

Definitions - In this Part

"NRD access date" means, for an NRD firm filer, the date the NRD firm

filer receives notice that it has access to NRD to make NRD submissions;

and

"transition firm" means every dealer, adviser and underwriter that

(

a) is a registered firm on February 3, 2003, or

(

b) is not a registered firm on February 3, 2003 and has

applied for registration before March 31, 2003.

7.2 NRD Enrolment For Transition Firms - A transition firm must enroll to

use NRD by the later of

(

a) February 7, 2003, and

(

b) the date that the firm has applied for registration.

7.3 NRD Submissions before NRD Access Date - Despite any requirement in

this Instrument to submit information in NRD format, a transition firm may

submit information in paper format before the NRD access date.

7.4 Accuracy of Business Location Information - If the information

recorded on NRD for a business location of a transition firm is missing or

inaccurate on the NRD access date, the transition firm must submit a

completed Form 33-109F3 in NRD format in respect of that business location

within 30 business days of the NRD access date.

7.5 Individuals Included in the Data Transfer

(1) Except as provided in subsection (2), in respect of individuals

who were recorded on NRD as registered or non-registered individuals of a

transition firm on the NRD access date, the transition firm must submit

completed Forms 33-109F4 in NRD format for

(a) 5 percent of those individuals by the end of April 2004,

(b) 10 percent of those individuals by the end of May 2004,

(d) 20 percent of those individuals by the end of July 2004,

(e) 25 percent of those individuals by the end of August

2004,

(f) 30 percent of those individuals by the end of September

2004,

(g) 35 percent of those individuals by the end of October

2004,

(h) 40 percent of those individuals by the end of November

2004,

(i) 45 percent of those individuals by the end of December

2004,

(j) 50 percent of those individuals by the end of March 2005,

(k) 55 percent of those individuals by the end of April 2005,

(l) 60 percent of those individuals by the end of May 2005,

(m) 65 percent of those individuals by the end of June 2005,

(n) 70 percent of those individuals by the end of July 2005,

(o) 75 percent of those individuals by the end of August

2005,

(p) 80 percent of those individuals by the end of September

2005,

(q) 85 percent of those individuals by the end of October

2005,

(r) 90 percent of those individuals by the end of November

2005,

(s) 95 percent of those individuals by the end of December

2005, and

(

t) all of those individuals by the end of March 2006.

(2) Despite subsection (1), a transition firm is not required to

submit a completed Form 33-109F4 in respect of an individual if another

firm has submitted a completed Form 33-109F4 in respect of the individual.

(3) A transition firm that is exempt under subsection (2) from the

requirement to submit a completed Form 33-109F4 in respect of an individual

must submit the individual's employment location information in NRD format

by the end of March 2006.

7.6 Individuals not Included in the Data Transfer

(1) Except as provided in subsection (2), a transition firm must

submit a completed Form 33-109F4 in NRD format within 30 business days of

the NRD access date for each individual who was not recorded on NRD on the

NRD access date as a registered or non-registered individual of the firm

and for whom the transition firm was the sponsoring firm on the NRD access

date.

(2) Despite subsection (1), a transition firm is not required to

submit a completed Form 33-109F4 in respect of an individual if another

firm has submitted a completed Form 33-109F4 in respect of the individual.

(3) A transition firm that is exempt under subsection (2) from the

requirement to submit a completed Form 33-109F4 in respect of an individual

must submit the individual's employment location information in NRD format

within 30 business days of the NRD access date.

7.7 Changes to Form 4 Information - Registered Individuals - A registered

individual who has submitted a completed Form 33-109F5 under

section 8.5 of

MI 33-109, must submit a completed Form 33-109F4 in NRD format by the later

of 15 business days after

(

a) the NRD access date of the individual's sponsoring firm,

and

(

b) the date that the individual submitted the Form 33-109F5.

7.8 Changes to Form 4 Information - Non-registered Individuals

(1) Except as provided in subsection (2), a transition firm that

has submitted a completed Form 33-109F5 for a non-registered individual

under

section 8.7 of MI 33-109, must submit a completed Form 33-109F4 for

the individual in NRD format by the later of 15 business days after

(

a) the NRD access date, and

(

b) the date that the firm submitted the Form 33-109F5.

(2) Despite subsection (1), a transition firm is not required to

submit a completed Form 33-109F4 in respect of an individual if another

firm has submitted a completed Form 33-109F4 in respect of the individual.

(3) A transition firm that is exempt under subsection (2) from the

requirement to submit a completed Form 33-109F4 in respect of an individual

must submit the individual's employment location information in NRD format

by the later of 15 business days after

(

a) the NRD access date, and

(

b) the date that the firm submitted the Form 33-109F5.

7.9 Pending Application to Change Individual's Registration Category

(1) If an individual submitted an application in paper format to

change his or her category of registration and the category of registration

applied for is not recorded with the individual's record on NRD on the NRD

access date, the individual must

(

a) submit a completed Form 33-109F4 in NRD format within 30

business days after the NRD access date of his or her sponsoring firm, and

(

b) resubmit the application to change his or her category of

registration by submitting a completed Form 33-109F2 in NRD format within 1

business day of submitting the Form 33-109F4 under paragraph (a).

(2) Despite

section 7.10, a Form 33-109F4 submitted under

subsection (1) must contain the individual's categories of registration as

they were recorded on NRD on the NRD access date.

7.10 Currency of Form 33-109F4 - For greater certainty, except as provided

under subsection 7.9(2), a completed Form 33-109F4 that is submitted under

this Part must be current on the date that it is submitted despite any

prior submission in paper format.

7.11 Termination of Relationship - Despite a requirement under this Part

to submit a completed Form 33-109F4, a transition firm is not required to

submit a Form 33-109F4 in respect of an individual if the firm has

submitted a completed Form 33-109F1 in respect of the individual in paper

format before the firm's NRD access date or in NRD format after the firm's

NRD access date.

PART 8 EFFECTIVE DATE

8.1 Effective Date

(1) Part 1,

section 7.1 and

section 7.2 come into force on

February 3, 2003.

(2) Except for

Part 1,

section 7.1 and

section 7.2, this Instrument

comes into force on March 31, 2003.

_______________________________________________________________________

MULTILATERAL INSTRUMENT 33-109

REGISTRATION INFORMATION

PART TITLE PAGE

PART 1 DEFINITIONS

1.1

Definitions 1

1.2

Interpretation 2

PART 2 APPLICATION FOR REGISTRATION

2.1 Dealer, Adviser and Underwriter Registration 2

2.2 Individual Registration 2

2.3 Commodity Futures Act Registrants 3

PART 3 CHANGES TO REGISTERED FIRM INFORMATION

3.1 Changes to Form 3 Information 3

3.2 Changes to Business Locations 4

3.3 Addition of Non-registered Individuals 4

PART 4 CHANGES TO REGISTERED INDIVIDUAL INFORMATION

4.1 Changes to Form 33-109F4 Information 4

4.2 Application to Change or Surrender Individual Registration Categories 4

4.3 Termination of Relationship 4

PART 5 CHANGES TO NON-REGISTERED INDIVIDUAL INFORMATION

5.1 Changes to Form 33-109F4 Information 5

5.2 Termination of Relationship 5

PART 6 DUE DILIGENCE AND RECORD-KEEPING

6.1 Sponsoring Firm Obligations 5

PART 7 EXEMPTION

7.1 Exemption 6

PART 8 TRANSITION TO NRD

8.1

Definitions 6

8.2 Changes to Form 3 Information 6

8.3 Changes to Business Location 7

8.4 Addition of Non-registered Individuals 7

8.5 Changes to Form 4 Information - Registered Individuals 7

8.6 Termination of Relationship - Registered Individuals 7

8.7 Changes to Form 4 Information - Non-registered Individuals 7

8.8 Termination of Relationship - Non-Registered Individuals 8

PART 9 EFFECTIVE DATE

9.1 Effective Date 8

FORM 33-109F1 NOTICE OF TERMINATION

FORM 33-109F2 CHANGE OR SURRENDER OF INDIVIDUAL CATEGORIES

FORM 33-109F3 BUSINESS LOCATIONS OTHER THAN HEAD OFFICE

FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL

FORM 33-109F5 CHANGE OF REGISTRATION INFORMATION

MULTILATERAL INSTRUMENT 33-109

REGISTRATION INFORMATION

PART 1 DEFINITIONS

1.1

Definitions - In this Instrument

"Form 3" means the required form for an application for registration

as dealer, adviser, or underwriter in the local jurisdiction;

"Form 4" means the form that was required for an application for

registration for an individual in the local jurisdiction before February

21, 2003;

"non-registered individual" means, for a registered firm or for a

person or company that is applying for registration, an individual who is

not registered to trade or advise on behalf of the firm and who

(

a) is a director, partner, officer, or branch manager of the

firm, or

(

b) in Alberta, British Columbia, and Ontario,

(

i) is a director, partner, officer, or branch manager

of the firm, or

(ii) beneficially owns, directly or indirectly, or

exercises control or direction over, 10 percent or more of the voting

securities of the firm;

"MI 31-102" means Multilateral Instrument 31-102 National

Registration Database;

"NRD submission number" means the unique number generated by NRD to

identify each NRD submission;

"registered firm" means a person or company that is registered as a

dealer, adviser, or underwriter;

"registered individual" means, for a registered firm, an individual

who is registered to trade or advise on behalf of the registered firm;

"sponsoring firm" means,

(

a) for a registered individual, the registered firm on whose

behalf the individual trades or advises,

(

b) for an individual applying for registration, the

registered firm, or the person or company applying to become a registered

firm, on whose behalf the individual proposes to trade or advise,

(

c) for a non-registered individual of a registered firm, the

registered firm, or

(

d) for a non-registered individual of a person or company

that is applying for registration, the person or company that is applying

for registration.

1.2

Interpretation - Terms defined in MI 31-102 and used in this

Instrument have the respective meanings ascribed to those terms in MI

31-102.

PART 2 APPLICATION FOR REGISTRATION

2.1 Dealer, Adviser and Underwriter Registration - Except as provided in

subsection 2.3(1), an applicant for registration as a dealer, adviser, or

underwriter must submit to the regulator,

(

a) in paper format, a completed Form 3;

(

b) in accordance with MI 31-102, a completed Form 33-109F3

for each business location of the applicant, other than the applicant's

head office; and

(

c) in accordance with MI 31-102, a completed Form 33-109F4

for each non-registered individual of the applicant who has not applied to

become a registered individual with the applicant under subsection 2.2(1).

2.2 Individual Registration

(1) Except as provided in subsection (2) and subsection 2.3(2), an

individual who applies for registration under securities legislation must

make the application by submitting to the regulator in accordance with MI

31-102 a completed Form 33-109F4.

(2) Despite subsection (1), a non-registered individual of a

registered firm who applies to become a registered individual with the firm

must make the application by submitting to the regulator in accordance with

MI 31-102 a completed Form 33-109F2.

2.3 Commodity Futures Act Registrants

(1) In Manitoba and Ontario, if an applicant for registration under

section 2.1 is registered under the Commodity Futures Act, the applicant

(

a) is not required to submit a completed Form 33-109F3 under

subsection 2.1(

b) for any business location of the applicant that is

recorded on NRD; and

(

b) is not required to submit a completed Form 33-109F4 under

subsection 2.1(

c) for a non-registered individual if the applicant submits

to the regulator, in accordance with MI 31-102, a completed Form 33-109F2

for the individual.

(2) In Manitoba and Ontario, despite subsection 2.2(1), if an

individual applies for registration under securities legislation and is

recorded on NRD with his or her sponsoring firm as registered under the

Commodity Futures Act, the individual must make the application by

submitting to the regulator, in accordance with MI 31-102, a completed Form

33-109F2.

PART 3 CHANGES TO REGISTERED FIRM INFORMATION

3.1 Changes to Form 3 Information

(1) A registered firm must notify the regulator of a change to any

information previously submitted in Form 3, or under this subsection,

within 5 business days of the change.

(2) Except as provided in subsection (3), for the purposes of

subsection (1), a notice of change must be made by submitting a completed

Form 33-109F5 in paper format.

(3) Despite subsection (2), a notice of change under this

section

is not required to be in Form 33-109F5 if the change relates to

(

a) the addition of an officer, partner, or director to the

registered firm, and if a completed Form 33-109F4 in respect of the

officer, partner, or director is submitted under

section 2.2 or 3.3;

(

b) the resignation or termination of an officer, partner or

director of the registered firm, and if a completed Form 33-109F1is

submitted under

section 4.3 or 5.2; or

(

c) a business location other than head office, and if a

completed Form 33-109F3 is submitted under

section 3.2.

3.2 Changes to Business Locations

(1) A registered firm must notify the regulator of the opening of a

business location, other than a new head office, by submitting in

accordance with MI 31-102 a completed Form 33-109F3 within 5 business days

of the opening.

(2) A registered firm must notify the regulator of a change to any

information previously submitted in Form 33-109F3 by submitting in

accordance with MI 31-102 a completed Form 33-109F3 within 5 business days

of the change.

3.3 Addition of Non-registered Individuals - A registered firm must

submit to the regulator in accordance with MI 31-102 a completed Form

33-109F4 for a non-registered individual within 5 business days of the

individual becoming a non-registered individual of the registered firm.

PART 4 CHANGES TO REGISTERED INDIVIDUAL INFORMATION

4.1 Changes to Form 33-109F4 Information

(1) Except as provided in subsection (2), a registered individual

must notify the regulator in accordance with MI 31-102 of a change to any

information previously submitted in Form 33-109F4, or under this

subsection, within 5 business days of the change.

(2) Despite subsection (1), a registered individual must notify the

regulator in accordance with MI 31-102 of a change to information

previously submitted in Item 3 or Item 8 of Form 33-109F4, or under this

subsection, within 1 year of the change.

4.2 Application to Change or Surrender Individual Registration Categories

- A registered individual of a registered firm who applies to change or

surrender his or her registration category with the firm must make the

application by submitting to the regulator in accordance with MI 31-102 a

completed Form 33-109F2.

4.3 Termination of Relationship - A registered firm must, within 5

business days of a termination of an employment, partner, or agency

relationship with a registered individual, notify the regulator of the

termination of the relationship by submitting in accordance with MI 31-102

a completed Form 33-109F1.

PART 5 CHANGES TO NON-REGISTERED INDIVIDUAL INFORMATION

5.1 Changes to Form 33-109F4 Information

(1) Except as provided in subsections (2), (3), and (4), a

registered firm must notify the regulator in accordance with MI 31-102 of a

change to any information previously submitted in Form 33-109F4, or under

this subsection, for a non-registered individual within 5 business days of

the change.

(2) Despite subsection (1) and except as provided in subsection

(4), a registered firm must notify the regulator in accordance with MI

31-102 of a change to information previously submitted in Item 3 of Form

33-109F4, or under this subsection, for a non-registered individual within

1 year of the change.

(3) Despite subsection (1) and except as provided in subsection

(4), a registered firm must notify the regulator of a change to any

information regarding a category of non-registered individual listed in

Item 6 of Form 33-109F4 for a non-registered individual by submitting in

accordance with MI 31-102 a completed Form 33-109F2 within 5 business days

of the change.

(4) Despite subsections (1), (2), and (3), a registered firm is not

required to notify the regulator of a change to information if another firm

has notified the regulator of the change in accordance with MI 31-102 and

within the required time.

5.2 Termination of Relationship - A registered firm must, within 5

business days of an individual ceasing to be a non-registered individual of

the registered firm, notify the regulator in accordance with MI 31-102 of

the termination of the relationship by submitting a completed Form

33-109F1.

PART 6 DUE DILIGENCE AND RECORD-KEEPING

6.1 Sponsoring Firm Obligations

(1) A sponsoring firm must make reasonable efforts to ensure that

information submitted by

(

a) the firm for a non-registered individual or

(

b) a registered individual, or an individual applying for

registration, for whom the firm is the sponsoring firm

is true and complete.

(2) A sponsoring firm must retain all documents used by the firm to

satisfy its obligation under subsection (1),

(

a) in the case of a non-registered individual, for a period

of 7 years after the individual ceases to be a non-registered individual;

(

b) in the case of a registered individual, or an individual

applying for registration, for a period of 7 years after the individual

ceases to be a registered individual with the firm.

(3) Without limiting the generality of subsection (2), if a

registered individual, or an individual applying for registration, appoints

an agent for service, the sponsoring firm must keep the original

Appointment of Agent for Service executed by the individual for the period

of time set out in paragraph (2)(b).

(4) A sponsoring firm that retains a document under subsection

(2) or (3) in respect of an NRD submission must record the NRD submission

number on the document.

PART 7 EXEMPTION

7.1 Exemption

(1) The regulator or the securities regulatory authority may grant

an exemption from this Instrument, in whole or in part, subject to such

conditions or restrictions as may be imposed in the exemption.

(2) Despite subsection (1), in Ontario only the regulator may grant

such an exemption.

PART 8 TRANSITION TO NRD

8.1

Definitions - In this Part

"NRD access date" means, for an NRD firm filer, the date the NRD firm

filer receives notice that it has access to NRD to make NRD submissions;

and

"NRD freeze period" means the period that begins on the day specified

in a notice of the securities regulatory authority and ends on the day that

is 5 business days after the NRD access date.

8.2 Changes to Form 3 Information - A notice of change under

section 3.1

is not required during the NRD freeze period if the change relates to

(

a) the addition of an officer, partner, or director to the

registered firm, and if a completed Form 33-109F4 in respect of the

officer, partner, or director is submitted in accordance with MI 31-102

within 30 business days of the NRD access date;

(

b) the resignation or termination of an officer, partner or

director of the registered firm, and if a completed Form 33-109F1 is

submitted in accordance with MI 31-102 within 30 business days of the NRD

access date; or

(

c) a business location other than head office, and if a

completed Form 33-109F3 is submitted in accordance with MI 31-102 within 30

business days of the NRD access date.

8.3 Changes to Business Location - A registered firm is exempt from the

requirement to make a submission under

section 3.2 during the NRD freeze

period, if the firm makes the submission in accordance with MI 31-102

within 30 business days of the NRD access date.

8.4 Addition of Non-registered Individuals - A registered firm is exempt

from the requirement to make a submission under

section 3.3 during the NRD

freeze period, if the firm makes the submission in accordance with MI

31-102 within 30 business days of the NRD access date.

8.5 Changes to Form 4 Information - Registered Individuals

(1) This

section applies to a registered individual who has not

submitted in accordance with MI 31-102 a completed Form 33-109F4.

(2) A registered individual must notify the regulator of a change

to any information previously submitted in Form 4, or under this

subsection, by submitting a completed Form 33-109F5 in paper format within

5 business days of the change.

(3) A registered individual who has submitted a completed Form

33-109F5 under subsection (2), must submit in accordance with

section 7.7

of MI 31-102 a completed Form 33-109F4.

8.6 Termination of Relationship - Registered Individuals - A registered

firm is exempt from the requirement to make a submission under

section 4.3

during the NRD freeze period, if the firm makes the submission in

accordance with MI 31-102 within 30 business days of the NRD access date.

8.7 Changes to Form 4 Information - Non-registered Individuals

(1) This

section applies to a registered firm that has not

submitted in accordance with MI 31-102 a completed Form 33-109F4 for a

non-registered individual.

(2) A registered firm must notify the regulator of a change to any

information previously submitted in Form 4 for a non-registered individual,

or under this subsection, by submitting a completed Form 33-109F5 in paper

format within 5 business days of the change.

(3) A registered firm that has submitted a completed Form 33-109F5

for a non-registered individual under subsection (2), must submit in

accordance with

section 7.8 of MI 31-102 a completed Form 33-109F4 for the

non-registered individual.

8.8 Termination of Relationship - Non-registered Individuals - A

registered firm is exempt from the requirement to make a submission under

section 5.2 during the NRD freeze period, if the firm makes the submission

in accordance with MI 31-102 within 30 business days of the NRD access

date.

PART 9 EFFECTIVE DATE

9.1 Effective Date - This Instrument comes into force on February 21,

_______________________________________________________________________

FORM 33-109F1

NOTICE OF TERMINATION

Enter the following information using the online version of this submission

at the NRD web site (www.nrd.ca). If the NRD filer is relying on the

temporary hardship exemption in MI 31-102 this form is required to be

delivered to the regulator in paper format.

1. Individual

Name of individual: _____________________________________________________

NRD number of individual: _______________________________________________

2. Business location

Address of business location: ___________________________________________

NRD number of business location: _____________

3. Termination

Effective date of termination: _________________________

Indicate whether the individual:

was dismissed for cause _______________________

was dismissed in good standing _______________________

resigned in good standing _______________________

is deceased _______________________

Include details regarding any:

unresolved client complaints:

internal discipline matters:

restrictions for violation of regulatory requirements:

financial obligations the individual has to clients: