Alberta Gazette — documents gazette 2016 pdf 07 Apr15 Part1.pdf

documents gazette 2016 pdf 07 Apr15 Part1.pdf

Alberta — Gazette

The Alberta Gazette

Part I

Vol. 112 Edmonton, Friday, April 15, 2016 No. 07

RESIGNATIONS & RETIREMENTS

Retirement of Supernumerary Provincial Court Judge

(Provincial Court Act)

March 9, 2016

Honourable Judge Harold Ralph Chisholm

ORDERS IN COUNCIL

O.C. 053/2016

(Municipal Government Act)

Approved and ordered:

Lois Mitchell

Lieutenant Governor. March 8, 2016

The Lieutenant Governor in Council amends Order in Council numbered O.C.

68/2010 by striking out Appendix A and substituting the attached Appendix A,

effective January 1, 2010.

Rachel Notley, Chair.

APPENDIX A

DETAILED DESCRIPTION OF THE LANDS SEPARATED

FROM LAMONT COUNTY AND ANNEXED

TO THE VILLAGE OF CHIPMAN

THE SOUTHEAST QUARTER OF

SECTION THIRTY-ONE (31), TOWNSHIP

FIFTY-FOUR (54), RANGE EIGHTEEN

(18) WEST OF THE FOURTH

MERIDIAN AND INCLUDING ALL THAT LAND ADJACENT TO THE EAST

SIDE OF SAID QUARTER

SECTION LYING WEST OF THE EAST BOUNDARY

OF PLAN 962 1333.

SECTION TWENTY-NINE (29), TOWNSHIP FIFTY-FOUR (54), RANGE

EIGHTEEN

(18) WEST OF THE FOURTH MERIDIAN AND INCLUDING THE

NORTH-SOUTH ROAD ALLOWANCE ADJACENT TO THE EAST SIDE OF

SAID SECTION.

THE SOUTH HALF OF

SECTION THIRTY (30), TOWNSHIP FIFTY-FOUR (54),

RANGE EIGHTEEN

(18) WEST OF THE FOURTH MERIDIAN AND

INCLUDING ALL THAT LAND ADJACENT TO THE EAST SIDE OF SAID

HALF

SECTION LYING EAST OF THE WEST BOUNDARY OF PLAN 812 1295

AND INCLUDING ALL THAT PORTION OF THE EAST-WEST ROAD

ALLOWANCE LYING EAST OF THE PROJECTION SOUTH OF THE WEST

BOUNDARY OF PLAN 812 1295.

THE NORTHEAST QUARTER OF

SECTION TWENTY-FOUR (24), TOWNSHIP

FIFTY-FOUR (54), RANGE NINETEEN

(19) WEST OF THE FOURTH

MERIDIAN AND INCLUDING THE EAST-WEST ROAD ALLOWANCE

ADJACENT TO THE NORTH OF SAID QUARTER SECTION.

SECTION NINETEEN (19), TOWNSHIP FIFTY-FOUR (54), RANGE EIGHTEEN

(18) WEST OF THE FOURTH MERIDIAN AND INCLUDING ALL THAT LAND

ADJACENT TO THE WEST SIDE OF SAID QUARTER

SECTION LYING EAST

OF THE WEST BOUNDARY OF PLAN 812 1295.

THE WEST HALF OF

SECTION TWENTY (20), TOWNSHIP FIFTY-FOUR (54),

RANGE EIGHTEEN

(18) WEST OF THE FOURTH MERIDIAN.

______________

O.C. 054/2016

(Municipal Government Act)

Approved and ordered:

Lois Mitchell

Lieutenant Governor. March 8, 2016

The Lieutenant Governor in Council orders that

(

a) effective July 1, 2015, the land described in Appendix A and shown on the

sketch in Appendix B is separated from Lethbridge County and annexed to

the Town of Coalhurst,

(

b) any taxes owing to Lethbridge County at the end of June 30, 2015 in respect

of the annexed land are transferred to and become payable to the Town of

Coalhurst together with any lawful penalties and costs levied in respect of

those taxes, and the Town of Coalhurst upon collecting those taxes,

penalties and costs must pay them to Lethbridge County,

(

c) for the purposes of taxation in 2015, Lethbridge County must assess and tax

the annexed land and the assessable improvements to it,

(

d) taxes payable for the 2015 taxation year in respect of the assessable land and

any improvements to it are to be paid to Lethbridge County and upon

collecting those taxes Lethbridge County must remit them to the Town of

Coalhurst, and

(

e) the assessor for the Town of Coalhurst must assess, for the purposes of

taxation in 2016 and subsequent years, the annexed land and the assessable

improvements to it,

and makes the Order in Appendix C.

Rachel Notley, Chair.

APPENDIX A

DETAILED DESCRIPTION OF THE LANDS SEPARATED

FROM LETHBRIDGE COUNTY AND ANNEXED

TO THE TOWN OF COALHURST

ALL THAT PORTION OF THE NORTH HALF OF

SECTION SIXTEEN (16),

TOWNSHIP NINE (9), RANGE TWENTY-TWO (22), WEST OF THE

FOURTH MERIDIAN NOT WITHIN THE TOWN OF COALHURST LYING

EAST OF THE NORTH BOUNDARY OF PLAN RY157 AND INCLUDING

THAT PORTION OF THE N/S ROAD ALLOWANCE LYING EAST OF SAID

HALF SECTION.

ALL THAT PORTION OF THE EAST HALF OF

SECTION TWENTY-ONE (

21), TOWNSHIP NINE (9), RANGE TWENTY-TWO (22), WEST OF THE

FOURTH MERIDIAN NOT WITHIN THE TOWN OF COALHURST LYING

SOUTH OF THE NORTH BOUNDARY OF PLAN 3136BM AND

INCLUDING ALL THAT PORTION OF PLAN 831-0050 WITHIN SAID

HALF SECTION.

ALL THAT PORTION OF THE N/S ROAD ALLOWANCE ADJACENT TO

THE EAST HALF OF

SECTION TWENTY-ONE (21), TOWNSHIP NINE (9),

RANGE TWENTY-TWO (22), WEST OF THE FOURTH MERIDIAN LYING

SOUTH OF THE PROJECTION EAST OF THE NORTHERNMOST POINT

OF PLAN 831-0050.

APPENDIX C

ORDER

1 In this Order, "annexed land" means the land described in Appendix A and

shown on the sketch in Appendix B.

2 For taxation purposes in 2015 and subsequent years up to and including 2035, the

annexed land and the assessable improvements to it

(

a) must be assessed by the Town of Coalhurst on the same basis as if they had

remained in Lethbridge County, and

(

b) must be taxed by the Town of Coalhurst in respect of each assessment class

that applies to the annexed land and the assessable improvements to it

using the municipal tax rate established by Lethbridge County for property

of the same assessment class.

3 Where in any taxation year a portion of the annexed land

(

a) becomes a new parcel of land created as a result of subdivision or

separation of title by registered plan of subdivision or by instrument or any

other method that occurs at the request of, or on behalf of, the landowner,

(

b) is redesignated at the request of, or on behalf of, the landowner under the

Town of Coalhurst's Land Use Bylaw to another designation,

section 2 ceases to apply at the end of that taxation year in respect of that portion

of the annexed land and the assessable improvements to it.

4 After

section 2 ceases to apply to a portion of the annexed land in a taxation year,

that portion of the annexed land and the assessable improvements to it must be

assessed and taxed for the purposes of property taxes in the following year in the

same manner as other property of the same assessment class in the Town of

Coalhurst is assessed and taxed.

5 The Town of Coalhurst shall, within 30 days after the date this Order in Council

is made by the Lieutenant Governor in Council, pay compensation to Lethbridge

County in the amount of fourteen thousand and twenty-eight dollars and

seventy-two cents ($14,028.72).

GOVERNMENT NOTICES

Agriculture and Forestry

Form 15

(Irrigation Districts Act)

(Section 88)

Notice to Irrigation Secretariat:

Change of Area of an Irrigation District

On behalf of the Lethbridge Northern 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 22 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:

LINC Number

Short Legal Description as shown on title

Title Number

0022 106 140

4;22;11;28;SE

971 089 049 +1

0022 084 180

4;22;11;16;SW

001 077 530

0022 084 214

4;22;11;16;NW

001 077 530 +1

0022 085 353

4;22;11;17;NE

081 189 290

0035 675 066

4;22;11;15;SW

131 108 168 +3

0022 084 206

4;22;11;16;SE

991 122 485 +2

0022 087 274

4;22;11;21;SW

991 180 405

0013 362 132

4;22;11;22;SW

991 122 486

0022 091 391

4;22;11;22;NW

991 122 487

0022 084 198

4;22;11;16;NE

131 124 587

0022 091 383

4;22;11;21;SE

131 124 588

0022 091 375

4;22;11;21;NE

131 124 588

0016 039 893

4;22;11;9;NE

971 135 354 + 1

0012 921 268

4;22;11;9;SE

981 114 278

I certify that the procedures required under

Part 4 of the Irrigation Districts Act have

been completed and the area of the Lethbridge Northern Irrigation District should

be changed according to the above list.

Rebecca Fast, Office Administrator,

Irrigation Secretariat.

______________

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 22 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:

LINC Number

Short Legal Description as shown on title

Title Number

0029 838 794

4;22;23;25;NE

121 234 715

I certify 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.

Rebecca Fast, Office Administrator,

Irrigation Secretariat.

______________

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

Secretariat forward a certified copy of this notice to the Registrar for Land Titles for

the purposes of registration under

section 22 of the Land Titles Act and arrange for

notice to be published in the Alberta Gazette.

The following parcels of land should be removed from the irrigation district and the

notation removed from the certificate of title:

LINC Number

Short Legal Description as shown on title

Title Number

7710634;5;12

151 303 638

0016 210 015

7710634;1;20

161 030 440

0027 600 303

9812349;3;1

16 1 028 579

0021 599 569

4;28;24;2;NE

101 356 200

0021 599 577

4;28;24;2;SE

101 356 200 +1

I certify 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.

Rebecca Fast, Office Administrator,

Irrigation Secretariat.

Energy

Declaration of Withdrawal from Unit Agreement

(Petroleum and Natural Gas Tenure Regulations)

The Minister of Energy on behalf of the Crown in Right of Alberta hereby declares

and states that the Crown in right of Alberta has withdrawn as a party to the

agreement entitled "Richdale Upper Mannville "QQ" Unit" effective February 29,

Raksha Acharya, for Minister of Energy.

Production Allocation Unit Agreement

(Mines and Minerals Act)

Notice is hereby given, pursuant to

section 102 of the Mines and Minerals Act, that

the Minister of Energy on behalf of the Crown has executed counterparts of the

agreement entitled "Production Allocation Unit Agreement - Chauvin South

Lloydminster Agreement" and that the Unit became effective on October 1, 2015.

Notice is hereby given, pursuant to

section 102 of the Mines and Minerals Act, that

the Minister of Energy on behalf of the Crown has executed counterparts of the

agreement entitled "Production Allocation Unit Agreement - Highvale Banff

Agreement No. 2" and that the Unit became effective on December 1, 2015.

Notice is hereby given, pursuant to

section 102 of the Mines and Minerals Act, that

the Minister of Energy on behalf of the Crown has executed counterparts of the

agreement entitled "Production Allocation Unit Agreement - Pembina Banff

Agreement" and that the Unit became effective on December 1, 2015.

Infrastructure

Sale or Disposition of Land

(Government Organization Act)

Name of Purchaser: Li Xie and Shifen Chen

Consideration: $520,000.00

Land Description: Plan 0214343, Block 2, Lot 3. Excepting thereout all mines and

minerals. Area: 1.78 Hectares (4.4 Acres) more or less.

Justice and Solicitor General

Designation of Qualified Technician Appointment

(Intox EC/IR II)

RCMP K Division, Traffic Services

Anderson, Joseph Michael Chaz

Ash, Samantha

Audette, Clinton Robert

Bales, Jennifer Pamela

Bond, Charles Eugene

Boyle, James Arnold

Brown, Colin Michael

Butt, Justin Chesley James

Campbell, Craig Andrew

Choo, Sherrie Shui Jin

Fenton, Christina Marie

Gill, Charles Pierre Philippe Vincent

Lavertu, Maxime Joseph Ianick

Lazorko, James Edward

Lessmeister, Andrew Kevin

Magnusson, Joshua Thomas Ballam

Mcgowan, Michael William

Montgomery, Marcel James Olivier

Orr, Brandon Jonathan

Rauch, Kristopher Wayne

Taylor, Melissa Marie Cecile

Vallee, Patrick Denis

Visser, Shane Brandon

(Date of Designation March 17, 2016)

Legislative Assembly

Office of the Chief Electoral Officer

Notice: Member Elected to Serve in the Legislative Assembly of Alberta

Edmonton, April 4, 2016

Notice is hereby given under the provisions of the Election Act that I have received

the Certificate and Return from the Returning Officer appointed to conduct the

Provincial By-election on the 22nd day of March 2016, for the following Electoral

Division, and the said Return shows that the following Member was duly elected:

Electoral Division Member Elected

Calgary-Greenway Prab Gill

Glen Resler, Chief Electoral Officer.

Safety Codes Council

Agency Accreditation - Cancellation

Pursuant to

Section 30 of the Safety Codes Act it is hereby ordered that

Palliser Regional Municipal Services, Accreditation No. A000158, Order No. 0243

Is to cease services under the Safety Codes Act for the discipline of Building.

Consisting of all parts of the Alberta Building Code Including applicable Alberta

amendments and regulations.

Issued Date: March 30, 2016.

_______________

Pursuant to

Section 30 of the Safety Codes Act it is hereby ordered that

Palliser Regional Municipal Services, Accreditation No. A000158, Order No. 0242

Is to cease services under the Safety Codes Act for Electrical.

Consisting of all parts of the Canadian Electrical Code Code for Electrical

Installations at Oil & Gas Facilities and Alberta Electrical Utility Code.

Issued Date: March 30, 2016.

Pursuant to

Section 30 of the Safety Codes Act it is hereby ordered that

Palliser Regional Municipal Services, Accreditation No. A000158, Order No. 0241

Is to cease services under the Safety Codes Act for the discipline of Fire.

Consisting of all parts of the Alberta Fire Code Including Investigations Including

applicable Alberta amendments and regulations.

Issued Date: March 30, 2016.

_______________

Pursuant to

Section 30 of the Safety Codes Act it is hereby ordered that

Palliser Regional Municipal Services, Accreditation No. A000158, Order No. 0240

Is to cease administration under the Safety Codes Act within its jurisdiction for Gas.

Consisting of all parts of the Natural Gas and Propane Installation Code & Propane

Storage and Handling Code Including applicable Alberta amendments and

regulations.

Issued Date: March 30, 2016.

_______________

Pursuant to

Section 30 of the Safety Codes Act it is hereby ordered that

Palliser Regional Municipal Services, Accreditation No. A000158, Order No. 0239

Is to cease administration under the Safety Codes Act within its jurisdiction for

Plumbing.

Consisting of all parts of the National Plumbing Code & Alberta Private Sewage

Systems Standard of Practice Including applicable Alberta amendments and

regulations.

Issued Date: March 30, 2016.

Corporate Accreditation

(Safety Codes Act)

Pursuant to

section 28 of the Safety Codes Act it is hereby ordered that

Shell Canada Ltd, Accreditation No. C000102, Order No. 2955

administer the Safety Codes Act including applicable Alberta amendments and

regulations within the Corporation's industrial facilities for the discipline of Gas

Consisting of all parts of the Natural Gas and Propane Installation Code and Propane

Storage and Handling Code.

Accredited Date: March 21, 2016 Issued Date: March 21, 2016.

Municipal Accreditation

(Safety Codes Act)

Pursuant to

Section 26 of the Safety Codes Act it is hereby ordered that

Village of Andrew, Accreditation No. M000332, Order No. 0923

administer the Safety Codes Act including applicable Alberta amendments and

regulations within the Municipality's boundaries for the discipline of Electrical

Consisting of all parts of the Canadian Electrical Code

Part I and Code for Electrical

Installations at Oil and Gas Facilities

Excluding the Alberta Electrical Utility Code

Excluding any or all things, processes or activities located on all existing and future

industrial facilities that are owned by or are under the care and control of an

accredited corporation.

Accredited Date: November 18, 1996 Issued Date: March 17, 2016.

Alberta Securities Commission

MULTILATERAL INSTRUMENT 91-101

DERIVATIVES: PRODUCT DETERMINATION

(Securities Act)

Made as a rule by the Alberta Securities Commission on January 13, 2016 pursuant to

sections 223 and 224 of the Securities Act.

MULTILATERAL INSTRUMENT 91-101

DERIVATIVES: PRODUCT DETERMINATION

Definitions and

interpretation

(1) This Instrument applies to Multilateral Instrument 96-101 Trade Repositories

and Derivatives Data Reporting.

(2) In this Instrument, a person or company is an affiliated entity of another

person or company if one of them controls the other or if each of them is

controlled by the same person or company.

(3) In this Instrument, a person or company (the first party) is considered to

control another person or company (the second party) if any of the following

apply:

(

a) the first party beneficially owns or directly or indirectly exercises

control or direction over securities of the second party carrying votes

which, if exercised, would entitle the first party to elect a majority of the

directors of the second party unless the first party holds the voting

securities only to secure an obligation;

(

b) the second party is a partnership, other than a limited partnership, and

the first party holds more than 50% of the interests of the partnership;

(

c) the second party is a limited partnership and the general partner of the

limited partnership is the first party;

(

d) the second party is a trust and a trustee of the trust is the first party.

(4) In British Columbia, Newfoundland and Labrador, Northwest Territories,

Nunavut, Prince Edward Island and Yukon, in this Instrument, "derivative"

means a contract or instrument if each of the following apply:

(

a) it is an option, swap, future, forward, or other financial or commodity

contract or instrument whose market price, value, or delivery, payment

or settlement obligations are derived from, referenced to or based on an

underlying interest including a value, price, index, event, probability or

thing;

(

b) it is a "security", as defined in securities legislation, solely by reason of

it being one or more of the following:

(

i) a document evidencing an option, subscription or other interest in

a security;

(ii) a futures contract;

(iii) an investment contract;

(iv) an option.

(5) In this Instrument, subject to subsection 2(1), "specified derivative" means

(

a) in Alberta, New Brunswick, Nova Scotia and Saskatchewan, a

"derivative" as defined in the securities legislation of the local

jurisdiction, and

(

b) in British Columbia, Newfoundland and Labrador, Northwest

Territories, Nunavut, Prince Edward Island and Yukon, a "derivative" as

defined in subsection 1(4).

Excluded contracts and instruments

(1) Despite subsection 1(5), in this Instrument, "specified derivative" does not

include any of the following:

(

a) a contract or instrument that is regulated by any of the following:

(

i) gaming control legislation of Canada or of a jurisdiction of

Canada;

(ii) gaming control legislation of a foreign jurisdiction, if each of the

following apply to the contract or instrument:

(

A) it is entered into outside of Canada;

(

B) it would be regulated under gaming control legislation of

Canada or the local jurisdiction if it had been entered into

in the local jurisdiction;

(

b) an insurance contract or an income or annuity contract or instrument,

entered into

(

i) with an insurer holding a licence under insurance legislation of

Canada or a jurisdiction of Canada and regulated as insurance

under that legislation, or

(ii) outside of Canada with an insurer holding a licence under

insurance legislation of a foreign jurisdiction, if it would be

regulated as insurance under insurance legislation of Canada or of

the local jurisdiction if it had been entered into in the local

jurisdiction;

(

c) a contract or instrument for the purchase and sale of currency if all of the

following apply:

(

i) except if all or part of the delivery of the currency referenced in

the contract or instrument is rendered impossible or commercially

unreasonable by an intervening event or occurrence not

reasonably within the control of the counterparties to the contract

or instrument, their affiliated entities or their agents, the contract

or instrument requires settlement by the delivery of the currency

referenced in the contract or instrument on or before either of the

following:

(

A) the 2nd business day after the date of execution of the

transaction;

(

B) if the contract or instrument was entered into

concurrently with a related trade in a security, the

settlement date for the related trade in the security;

(ii) the counterparties intended, at the time of the execution of the

contract or instrument, that the contract or instrument would be

settled by the delivery of the currency referenced in the contract

or instrument within the time periods set out in subparagraph (i);

(iii) the counterparties to the contract or instrument do not enter into

an arrangement or practice that would permit the settlement date

of the contract or instrument to be extended or that has the effect

of extending the settlement date of the contract or instrument,

whether by simultaneously terminating the contract or instrument

and entering into another contract or instrument with similar

terms or otherwise;

(

d) a contract or instrument for delivery of a commodity, other than

currency, to which each of the following apply:

(

i) the counterparties intended, at the time of execution of the

transaction, that the contract or instrument would be settled by

delivery of the commodity;

(ii) the contract or instrument does not permit cash settlement in place

of delivery of the commodity except if all or part of the delivery is

rendered impossible or commercially unreasonable by an

intervening event or occurrence not reasonably within the control

of the counterparties, their affiliated entities or their agents;

(

e) a contract or instrument that is evidence of a deposit issued by a bank

listed in

Schedule I, II or III to the Bank Act (Canada), by an association

to which the Cooperative Credit Associations Act (Canada) applies or by

a company to which the Trust and Loan Companies Act (Canada)

applies;

(

f) a contract or instrument that is evidence of a deposit issued by a credit

union, league, caisse populaire, loan corporation, treasury branch or trust

company operated under legislation in a jurisdiction of Canada;

(

g) a contract or instrument that is traded on an exchange if that exchange is

any of the following:

(

i) recognized by a securities regulatory authority in a jurisdiction of

Canada;

(ii) exempt from recognition by a securities regulatory authority in a

jurisdiction of Canada;

(iii) an exchange in a foreign jurisdiction that is a signatory to the

International Organization of Securities Commissions'

Multilateral Memorandum of Understanding;

(iv) in Northwest Territories, Nunavut, Prince Edward Island and

Yukon, designated under the securities legislation of the local

jurisdiction;

(

h) in New Brunswick, Nova Scotia and Saskatchewan, a contract or

instrument that would be a security but for the exclusion of derivatives

from the definition of security, unless the contract or instrument would

be a security solely by reason of it being an investment contract;

(

i) in British Columbia, Newfoundland and Labrador, Northwest

Territories, Nunavut, Prince Edward Island and Yukon, a contract or

instrument to which all of the following apply:

(

i) the contract or instrument is issued by any of the following:

(

A) an issuer;

(

B) a control person of an issuer;

(

C) an insider of an issuer;

(ii) the underlying interest of the contract or instrument is a security

of the issuer or of an affiliated entity of the issuer;

(iii) the contract or instrument is used for either or both of the

following purposes:

(

A) to compensate or incent the performance of a director,

employee or service provider of the issuer or an affiliated

entity of the issuer;

(

B) as a financing instrument in connection with the raising

of capital for the issuer or an affiliated entity of the issuer

or for the acquisition of a business or property by the

issuer or an affiliated entity of the issuer.

(2) For the purposes of paragraph (1)(g), a reference to "exchange" does not

include the following:

(

a) a swap execution facility as that term is defined in the Commodity

Exchange Act, 7 U.S.C. õ1a(50) (United States);

(

b) a security-based swap execution facility as that term is defined in the

1934 Act;

(

c) a multilateral trading facility as that term is defined in Directive

2014/65/EU

Article 4(1)(22) of the European Parliament;

(

d) an organized trading facility as that term is defined in Directive

2014/65/EU

Article 4(1)(23) of the European Parliament;

(

e) an entity organised in a foreign jurisdiction that is similar to an entity

described in any of paragraphs (

a) to (d).

Effective date

(1) This Instrument comes into force on May 1, 2016.

(2) In Saskatchewan, despite subsection (1), if these regulations are filed with the

Registrar of Regulations after May 1, 2016, these regulations come into force

on the day on which they are filed with the Registrar of Regulations.

Alberta Securities Commission

MULTILATERAL INSTRUMENT 96-101

TRADE REPOSITORIES AND DERIVATIVES DATA REPORTING

(Securities Act)

Made as a rule by the Alberta Securities Commission on January 13, 2016 pursuant to

sections 223 and 224 of the Securities Act.

MULTILATERAL INSTRUMENT 96-101

TRADE REPOSITORIES AND DERIVATIVES DATA REPORTING

PART 1

DEFINITIONS AND

INTERPRETATION

Definitions and

interpretation

(1) In this Instrument

"accounting principles" means accounting principles as defined in National

Instrument 52-107 Acceptable Accounting Principles and Auditing Standards;

"auditing standards" means auditing standards as defined in National

Instrument 52-107 Acceptable Accounting Principles and Auditing Standards;

"asset class" means the category of the underlying interest of a derivative and

includes, for greater certainty, interest rate, foreign exchange, credit, equity

and commodity;

"board of directors" means, in the case of a recognized trade repository that

does not have a board of directors, a group of individuals that acts in a

capacity similar to a board of directors;

"creation data" means data resulting from a transaction which is within the

classes of data described in the fields listed in Appendix A, other than

valuation data;

"derivatives data" means all data that is required to be reported under

Part 3;

"derivatives dealer" means a person or company engaging in or holding

himself, herself or itself out as engaging in the business of trading in

derivatives as principal or agent;

"Global LEI System" means the system for unique identification of parties to

financial transactions developed by the Legal Entity Identifier Regulatory

Oversight Committee;

"interim period" means interim period as defined in

section 1.1 of National

Instrument 51-102 Continuous Disclosure Obligations;

"Legal Entity Identifier System Regulatory Oversight Committee" means the

international working group established by the finance ministers and the

central bank governors of the Group of Twenty nations and the Financial

Stability Board, under the Charter of the Regulatory Oversight Committee for

the Global Legal Entity Identifier System dated November 5, 2012;

"life-cycle event" means an event that results in a change to derivatives data

reported to a recognized trade repository in respect of a derivative;

"life-cycle event data" means data reflecting changes to derivatives data

resulting from a life-cycle event;

"local counterparty" means a counterparty to a derivative if, at the time of the

transaction, one or more of the following apply:

(

a) the counterparty is a person or company, other than an individual, to

which one or more of the following apply:

(

i) it is organized under the laws of the local jurisdiction;

(ii) its head office is in the local jurisdiction;

(iii) its principal place of business is in the local jurisdiction;

(

b) the counterparty is a derivatives dealer in the local jurisdiction;

(

c) the counterparty is an affiliated entity of a person or company to which

paragraph (

a) applies and the person or company is liable for all or

substantially all of the liabilities of the counterparty;

"participant" means a person or company that has entered into an agreement

with a recognized trade repository to access the services of the recognized

trade repository;

"publicly accountable enterprise" means a publicly accountable enterprise as

defined in

Part 3 of National Instrument 52-107 Acceptable Accounting

Principles and Auditing Standards;

"reporting clearing agency" means either of the following:

(

a) a person or company recognized or exempted from recognition as a

clearing agency under securities legislation;

(

b) a clearing agency that has provided a written undertaking to the

regulator or securities regulatory authority to act as the reporting

counterparty with respect to derivatives cleared by it that are subject to

this Instrument;

"reporting counterparty" has the same meaning as in subsection 25(1);

"transaction" means any of the following:

(

a) entering into, assigning, selling or otherwise acquiring or disposing of a

derivative;

(

b) the novation of a derivative;

"U.S. AICPA GAAS" means auditing standards of the American Institute of

Certified Public Accountants, as amended from time to time;

"U.S. GAAP" means generally accepted accounting principles in the United

States of America that the SEC has identified as having substantial

authoritative support, as supplemented by Regulation S-X under the 1934 Act,

as amended from time to time;

"U.S. PCAOB GAAS" means auditing standards of the Public Company

Accounting Oversight Board (United States of America), as amended from

time to time;

"user" means, in respect of a recognized trade repository, a counterparty to a

derivative that has been reported to the recognized trade repository under this

Instrument including, for greater certainty, a delegate of a counterparty acting

in its delegated capacity;

"valuation data" means data within the classes of data described in the fields

listed in Appendix A under Item E - "Valuation Data".

(2) In this Instrument, a person or company is an affiliated entity of another

person or company if one of them controls the other or if each of them is

controlled by the same person or company.

(3) In this Instrument, a person or company (the first party) is considered to

control another person or company (the second party) if any of the following

apply:

(

a) the first party beneficially owns or directly or indirectly exercises

control or direction over securities of the second party carrying votes

which, if exercised, would entitle the first party to elect a majority of the

directors of the second party unless the first party holds the voting

securities only to secure an obligation;

(

b) the second party is a partnership, other than a limited partnership, and

the first party holds more than 50% of the interests of the partnership;

(

c) the second party is a limited partnership and the general partner of the

limited partnership is the first party;

(

d) the second party is a trust and a trustee of the trust is the first party.

(4) In this Instrument, "derivative" means a "specified derivative" as defined in

Multilateral Instrument 91-101 Derivatives: Product Determination.

(5) In this Instrument, "trade repository" means

(

a) in British Columbia, Newfoundland and Labrador, Northwest

Territories, Nunavut, Prince Edward Island and Yukon, a quotation and

trade reporting system for derivatives, and

(

b) in Nova Scotia, a derivatives trade repository.

PART 2

TRADE REPOSITORY RECOGNITION AND

ONGOING REQUIREMENTS

Filing of initial information on application for recognition as a trade repository

(1) A person or company applying for recognition as a trade repository must file

Form 96101F1 Application for Recognition - Trade Repository Information

Statement as part of its application.

(2) A person or company applying for recognition as a trade repository whose

head office or principal place of business is located in a foreign jurisdiction

must file Form 96-101F2 Trade Repository Submission to Jurisdiction and

Appointment of Agent for Service of Process.

(3) No later than the 7th day after becoming aware of an inaccuracy in or making a

change to the information provided in Form 96-101F1, a person or company

that has filed Form 96-101F1 must file an amendment to Form 96-101F1 in

the manner set out in Form 96-101F1.

Change in information by a recognized trade repository

(1) A recognized trade repository must not implement a significant change to a

matter set out in Form 96-101F1 Application for Recognition - Trade

Repository Information Statement unless it has filed an amendment to the

information provided in Form 96-101F1 in the manner set out in Form 96-

101F1 no later than 45 days before implementing the change.

(2) Despite subsection (1), a recognized trade repository must not implement a

change to a matter set out in Exhibit I (Fees) of Form 96-101F1 unless it has

filed an amendment to the information provided in Exhibit I no later than 15

days before implementing the change.

(3) For a change to a matter set out in Form 96-101F1 other than a change

referred to in subsection (1) or (2), a recognized trade repository must file an

amendment to the information provided in Form 96-101F1 by the earlier of

(

a) the close of business of the recognized trade repository on the 10th day

after the end of the month in which the change was made, or

(

b) the time the recognized trade repository discloses the change.

Filing of initial audited financial statements

(1) A person or company applying for recognition as a trade repository must file

audited financial statements for its most recently completed financial year as

part of its application for recognition as a trade repository.

(2) The financial statements referred to in subsection (1) must

(

a) be prepared in accordance with one of the following:

(

i) Canadian GAAP applicable to publicly accountable enterprises;

(ii) IFRS;

(iii) U.S. GAAP, if the person or company is incorporated or

organized under the laws of the United States of America or a

jurisdiction of the United States of America,

(

b) identify in the notes to the financial statements the accounting principles

used to prepare the financial statements,

(

c) disclose the presentation currency, and

(

d) be audited in accordance with one of the following:

(

i) Canadian GAAS;

(ii) International Standards on Auditing;

(iii) U.S. AICPA GAAS or U.S. PCAOB GAAS, if the person or

company is incorporated or organized under the laws of the

United States of America or a jurisdiction of the United States of

America.

(3) The financial statements referred to in subsection (1) must be accompanied by

an auditor's report that

(

a) is prepared in accordance with the same auditing standards used to

conduct the audit and,

(

i) if prepared in accordance with Canadian GAAS or International

Standards on Auditing, expresses an unmodified opinion, or

(ii) if prepared in accordance with U.S. AICPA GAAS or U.S.

PCAOB GAAS, expresses an unqualified opinion,

(

b) identifies all financial periods presented for which the auditor has issued

the auditor's report,

(

c) identifies the auditing standards used to conduct the audit,

(

d) identifies the accounting principles used to prepare the financial

statements, and

(

e) is prepared and signed by a person or company that is authorized to sign

an auditor's report under the laws of a jurisdiction of Canada or a

foreign jurisdiction, and that meets the professional standards of that

jurisdiction.

Filing of annual audited and interim financial statements by a recognized trade

repository

(1) A recognized trade repository must file annual audited financial statements

that comply with subsections 4(2) and (3) no later than the 90th day after the

end of its financial year.

(2) A recognized trade repository must file interim financial statements no later

than the 45th day after the end of each interim period.

(3) The interim financial statements referred to in subsection (2) must

(

a) be prepared in accordance with one of the following:

(

i) Canadian GAAP applicable to publicly accountable enterprises;

(ii) IFRS;

(iii) U.S. GAAP, if the person or company is incorporated or

organized under the laws of the United States of America or a

jurisdiction of the United States of America, and

(

b) identify in the notes to the financial statements the accounting principles

used to prepare the financial statements.

Ceasing to carry on business

(1) A recognized trade repository that intends to cease carrying on business as a

trade repository in the local jurisdiction must file a report on Form 96-101F3

Cessation of Operations Report for Recognized Trade Repository no later than

the 180th day before the date on which it intends to cease carrying on that

business.

(2) A recognized trade repository that involuntarily ceases to carry on business as

a trade repository in the local jurisdiction must file a report on Form 96-101F3

as soon as practicable after it ceases to carry on that business.

Legal framework

(1) A recognized trade repository must establish, implement and maintain clear

and transparent written rules, policies and procedures that are not contrary to

the public interest and that are reasonably designed to ensure that

(

a) each material aspect of its activities complies with applicable laws,

(

b) its rules, policies, procedures and contractual arrangements applicable to

its users are consistent with applicable laws,

(

c) the rights and obligations of its users and owners with respect to the use

of derivatives data reported to the trade repository are clear and

transparent, and

(

d) where a reasonable person would conclude that it is appropriate to do so,

an agreement that it enters into clearly states service levels, rights of

access, protection of confidential information, who possesses intellectual

property rights and levels of operational reliability of the recognized

trade repository's systems, as applicable.

(2) Without limiting the generality of subsection (1), a recognized trade repository

must implement rules, policies and procedures that clearly establish the status

of records of contracts for derivatives reported to the trade repository and

whether those records of contracts are the legal contracts of record.

Governance

(1) A recognized trade repository must establish, implement and maintain clear

and transparent written governance arrangements that set out a clear

organizational structure with direct lines of responsibility and are reasonably

designed to do each of the following:

(

a) provide for internal controls;

(

b) provide for the safety of the recognized trade repository;

(

c) ensure oversight of the recognized trade repository;

(

d) support the stability of the financial system and other relevant public

interest considerations;

(

e) balance the interests of relevant stakeholders.

(2) A recognized trade repository must establish, implement and maintain written

rules, policies and procedures reasonably designed to identify and manage or

resolve conflicts of interest.

(3) A recognized trade repository must disclose on its website, in a manner that is

easily accessible to the public,

(

a) the governance arrangements required under subsection (1), and

(

b) the rules, policies and procedures required under subsection (2).

Board of directors

(1) A recognized trade repository must have a board of directors.

(2) The board of directors of a recognized trade repository must include

(

a) individuals who have sufficient skill and experience to effectively

oversee the management of its operations in accordance with all relevant

laws, and

(

b) reasonable representation by individuals who are independent of the

recognized trade repository.

(3) The board of directors of a recognized trade repository must, in consultation

with the chief compliance officer of the recognized trade repository, manage

or resolve conflicts of interest identified by the chief compliance officer.

Management

(1) A recognized trade repository must establish, implement and maintain written

policies and procedures that

(

a) specify the roles and responsibilities of management, and

(

b) ensure that management has sufficient skill and experience to effectively

discharge its roles and responsibilities.

(2) A recognized trade repository must notify the regulator or securities regulatory

authority no later than the 5th business day after appointing or replacing its

chief compliance officer, chief executive officer or chief risk officer.

Chief compliance officer

(1) The board of directors of a recognized trade repository must appoint a chief

compliance officer with sufficient skill and experience to effectively serve in

that capacity.

(2) The chief compliance officer of a recognized trade repository must report

directly to the board of directors of the recognized trade repository or, if so

directed by the board of directors, to the chief executive officer of the

recognized trade repository.

(3) The chief compliance officer of a recognized trade repository must

(

a) establish, implement and maintain written rules, policies and procedures

designed to identify and resolve conflicts of interest,

(

b) establish, implement and maintain written rules, policies and procedures

designed to ensure that the recognized trade repository complies with

securities legislation,

(

c) monitor compliance with the rules, policies and procedures required

under paragraphs (

a) and (

b) on an ongoing basis,

(

d) report to the board of directors of the recognized trade repository as soon

as practicable upon becoming aware of a circumstance indicating that

the recognized trade repository, or an individual acting on its behalf, has

not complied with securities legislation in any jurisdiction, including a

foreign jurisdiction, in which it operates and any of the following apply:

(

i) the non-compliance creates a risk of harm to a user;

(ii) the non-compliance creates a risk of harm to the capital markets;

(iii) the non-compliance is part of a pattern of non-compliance;

(iv) the non-compliance could impact the ability of the recognized

trade repository to carry on business as a trade repository in

compliance with securities legislation,

(

e) report to the board of directors of the recognized trade repository as soon

as practicable upon becoming aware of a conflict of interest that creates

a risk of harm to a user or to the capital markets, and

(

f) prepare and certify an annual report assessing compliance by the

recognized trade repository, and individuals acting on its behalf, with

securities legislation and submit the report to the board of directors.

(4) Concurrently with submitting a report under paragraph (3)(d), (

e) or (f), the

chief compliance officer must file a copy of the report with the regulator or

securities regulatory authority.

Fees

12. A recognized trade repository must disclose on its website, in a manner that is

easily accessible to the public, all fees and other material charges imposed by

it on its participants for each service it offers with respect to the collection and

maintenance of derivatives data.

Access to recognized trade repository services

(1) A recognized trade repository must establish, implement and maintain written

objective risk-based criteria for participation that permit fair and open access

to the services it provides.

(2) A recognized trade repository must disclose the criteria referred to in

subsection (1) on its website in a manner that is easily accessible to the public.

(3) A recognized trade repository must not do any of the following:

(

a) unreasonably prevent, condition or limit access by a person or company

to the services offered by it;

(

b) unreasonably discriminate between or among its participants;

(

c) impose an unreasonable barrier to competition;

(

d) require a person or company to use or purchase another service to utilize

the trade reporting service offered by the trade repository.

Acceptance of reporting

14. A recognized trade repository must accept derivatives data from a participant

for all derivatives of an asset class set out in the recognition order for the trade

repository.

Communication policies, procedures and standards

15. A recognized trade repository must use or accommodate relevant

internationally accepted communication procedures and standards that

facilitate the efficient exchange of data between its systems and those of

(

a) its participants,

(

b) other trade repositories,

(

c) clearing agencies, exchanges and other platforms that facilitate

derivatives transactions, and

(

d) its service providers.

Due process

(1) Before making a decision that directly and adversely affects a participant or an

applicant that applies to become a participant, a recognized trade repository

must give the participant or applicant an opportunity to be heard.

(2) A recognized trade repository must keep records of, give reasons for, and

provide for reviews of its decisions, including, for each applicant, the reasons

for granting, denying or limiting access.

Rules, policies and procedures

(1) A recognized trade repository must have rules, policies and procedures that

(

a) allow a reasonable participant to understand each of the following:

(

i) the participant's rights, obligations and material risks resulting

from being a participant of the recognized trade repository;

(ii) the fees and other charges that the participant may incur in using

the services of the recognized trade repository,

(

b) allow a reasonable user to understand the conditions of accessing

derivatives data relating to a derivative to which it is a counterparty, and

(

c) are reasonably designed to govern all aspects of the services it offers

with respect to the collection and maintenance of derivatives data and

other information relating to a derivative.

(2) The rules, policies and procedures of a recognized trade repository must not be

inconsistent with securities legislation.

(3) A recognized trade repository must monitor compliance with its rules, policies

and procedures on an ongoing basis.

(4) A recognized trade repository must establish, implement and maintain written

rules, policies and procedures that provide appropriate sanctions for violations

of its rules, policies and procedures applicable to its participants.

(5) A recognized trade repository must disclose on its website, in a manner that is

easily accessible to the public,

(

a) the rules, policies and procedures required under this section, and

(

b) its procedures for adopting new rules, policies and procedures or

amending existing rules, policies and procedures.

Records of data reported

(1) A recognized trade repository must have recordkeeping procedures reasonably

designed to ensure that it records derivatives data accurately, completely and

on a timely basis.

(2) A recognized trade repository must keep, in a safe location and in a durable

form, records of derivatives data relating to a derivative required to be

reported under this Instrument for 7 years after the date on which the

derivative expires or terminates.

(3) A recognized trade repository must create and maintain at least one copy of

each record of derivatives data required to be kept under subsection (2), for

the same period as referenced in subsection (2), in a safe location and in a

durable form, separate from the location of the original record.

Comprehensive risk-management framework

19. A recognized trade repository must establish, implement, and maintain a

written risk-management framework reasonably designed to comprehensively

manage risks including general business, legal and operational risks.

General business risk

(1) A recognized trade repository must establish, implement and maintain

appropriate systems, controls and procedures reasonably designed to identify,

monitor, and manage its general business risk.

(2) Without limiting the generality of subsection (1), a recognized trade repository

must hold sufficient insurance coverage and liquid net assets funded by equity

to cover potential general business losses in order that it can continue

operations and services as a going concern and in order to achieve a recovery

or an orderly wind-down if those losses materialize.

(3) For the purposes of subsection (2), a recognized trade repository must hold, at

a minimum, liquid net assets funded by equity equal to 6 months of current

operating expenses.

(4) A recognized trade repository must have policies and procedures reasonably

designed to identify scenarios that could potentially prevent it from being able

to provide its critical operations and services as a going concern and to assess

the effectiveness of a full range of options for an orderly wind-down.

(5) A recognized trade repository must establish, implement and maintain written

rules, policies and procedures reasonably designed to facilitate its orderly

wind-down based on the results of the assessment required by subsection (4).

(6) A recognized trade repository must establish, implement and maintain written

rules, policies and procedures reasonably designed to ensure that it or a

successor entity, insolvency administrator or other legal representative will be

able to continue to comply with the requirements of subsection 6(2) and

section 37 in the event of the bankruptcy or insolvency of the recognized trade

repository or the wind-down of the recognized trade repository's operations.

System and other operational risk requirements

(1) A recognized trade repository must establish, implement and maintain

appropriate systems, controls and procedures reasonably designed to identify

and minimize the impact of the plausible sources of operational risk, both

internal and external, including risks to data integrity, data security, business

continuity and capacity and performance management.

(2) The systems, controls and procedures required under subsection (1) must be

approved by the board of directors of the recognized trade repository.

(3) Without limiting the generality of subsection (1), a recognized trade repository

must

(

a) develop and maintain

(

i) an adequate system of internal controls over its systems, and

(ii) adequate information technology general controls, including,

without limitation, controls relating to information systems

operations, information security and integrity, change

management, problem management, network support and system

software support,

(

b) in accordance with prudent business practice, on a reasonably frequent

basis and, in any event, at least annually,

(

i) make reasonable current and future capacity estimates, and

(ii) conduct capacity stress tests to determine the ability of those

systems to process derivatives data in an accurate, timely and

efficient manner, and

(

c) promptly notify the regulator or securities regulatory authority of a

material systems failure, malfunction, delay or other disruptive incident,

or a breach of data security, integrity or confidentiality, and provide a

post-incident report that includes a root-cause analysis as soon as

practicable.

(4) Without limiting the generality of subsection (1), a recognized trade repository

must establish, implement and maintain business continuity plans, including

disaster recovery plans, reasonably designed to

(

a) achieve prompt recovery of its operations following a disruption,

(

b) allow for the timely recovery of information, including derivatives data,

in the event of a disruption, and

(

c) provide for the exercise of authority in the event of an emergency.

(5) A recognized trade repository must test its business continuity plans, including

disaster recovery plans, at least annually.

(6) For each of its systems for collecting and maintaining reports of derivatives

data, a recognized trade repository must annually engage a qualified party to

conduct an independent review and prepare a report in accordance with

established audit standards to ensure that the recognized trade repository is in

compliance with paragraphs (3)(

a) and (

b) and subsections (4) and (5).

(7) A recognized trade repository must provide the report referred to in subsection

(6) to

(

a) its board of directors or audit committee promptly upon the completion

of the report, and

(

b) the regulator or securities regulatory authority not later than the 30th day

after providing the report to its board of directors or audit committee.

(8) A recognized trade repository must disclose on its website, in a manner that is

easily accessible to the public, all technology requirements regarding

interfacing with or accessing the services provided by the recognized trade

repository

(

a) if operations have not begun, sufficiently in advance of operations to

allow a reasonable period for testing and system modification by

participants, and

(

b) if operations have begun, sufficiently in advance of implementing a

material change to technology requirements to allow a reasonable period

for testing and system modification by participants.

(9) A recognized trade repository must make available testing facilities for

interfacing with or accessing the services provided by the recognized trade

repository,

(

a) if operations have not begun, sufficiently in advance of operations to

allow a reasonable period for testing and system modification by

participants, and

(

b) if operations have begun, sufficiently in advance of implementing a

material change to technology requirements to allow a reasonable period

for testing and system modification by participants.

(10) A recognized trade repository must not begin operations in the local

jurisdiction unless it has complied with paragraphs (8)(

a) and (9)(a).

(11) Paragraphs (8)(

b) and (9)(

b) do not apply to a recognized trade repository if

(

a) the change to the recognized trade repository's technology requirements

must be made immediately to address a failure, malfunction or material

delay of its systems or equipment,

(

b) the recognized trade repository immediately notifies the regulator or

securities regulatory authority of its intention to make the change to its

technology requirements, and

(

c) the recognized trade repository discloses on its website, in a manner that

is easily accessible to the public, the changed technology requirements

as soon as practicable.

Data security and confidentiality

(1) A recognized trade repository must establish, implement and maintain written

rules, policies and procedures reasonably designed to ensure the safety,

privacy and confidentiality of derivatives data reported to it under this

Instrument.

(2) A recognized trade repository must not release derivatives data for

commercial or business purposes unless one or more of the following apply:

(

a) the derivatives data has otherwise been disclosed under

section 39;

(

b) the counterparties to the derivative have provided the recognized trade

repository with their express written consent to use or release the

derivatives data.

Confirmation of data and information

(1) A recognized trade repository must establish, implement and maintain written

rules, policies and procedures reasonably designed to allow for confirmation

by each counterparty to a derivative that has been reported under this

Instrument that the derivatives data reported in relation to the derivative is

accurate.

(2) Despite subsection (1), a recognized trade repository is not required to

establish, implement and maintain written rules, policies or procedures

referred to in that subsection in respect of a counterparty that is not a

participant of the recognized trade repository.

Outsourcing

24. If a recognized trade repository outsources a material service or system to a

service provider, including to an associate or affiliated entity of the recognized

trade repository, the recognized trade repository must do each of the

following:

(

a) establish, implement and maintain written rules, policies and procedures

for the selection of a service provider to which a material service or

system may be outsourced and for the evaluation and approval of such

an outsourcing arrangement;

(

b) identify any conflicts of interest between the recognized trade repository

and a service provider to which a material service or system is

outsourced, and establish, implement, maintain and enforce written

rules, policies and procedures to mitigate and manage or resolve those

conflicts of interest;

(

c) enter into a written contract with the service provider that is appropriate

for the materiality and nature of the outsourced activity and that provides

for adequate termination procedures;

(

d) maintain access to the books and records of the service provider relating

to the outsourced activity;

(

e) ensure that the regulator or securities regulatory authority has the same

access to all data, information and systems maintained by the service

provider on behalf of the recognized trade repository that it would have

absent the outsourcing arrangement;

(

f) ensure that all persons or companies conducting an audit or independent

review of the recognized trade repository under this Instrument have

appropriate access to all data, information and systems maintained by

the service provider on behalf of the recognized trade repository that

those persons or companies would have absent the outsourcing

arrangement;

(

g) take appropriate measures to determine that a service provider to which

a material service or system is outsourced establishes, maintains and

periodically tests an appropriate business continuity plan, including a

disaster recovery plan in accordance with the requirements set out in

section 21;

(

h) take appropriate measures to ensure that the service provider protects the

safety, privacy and confidentiality of derivatives data and of users'

confidential information in accordance with the requirements set out in

section 22;

(

i) establish, implement, maintain and enforce written rules, policies and

procedures to regularly review the performance of the service provider

under the outsourcing agreement.

PART 3

DATA REPORTING

Reporting counterparty

(1) In this Instrument, "reporting counterparty", with respect to a derivative

involving a local counterparty, means

(

a) if the derivative is cleared through a reporting clearing agency, the

reporting clearing agency,

(

b) if paragraph (

a) does not apply and the derivative is between a

derivatives dealer and a counterparty that is not a derivatives dealer, the

derivatives dealer,

(

c) if paragraphs (

a) and (

b) do not apply and the counterparties to the

derivative have, at the time of the transaction, agreed in writing that one

of them will be the reporting counterparty, the counterparty determined

to be the reporting counterparty under the terms of that agreement, and

(

d) in any other case, each counterparty to the derivative.

(2) A local counterparty to a derivative to which paragraph (1)(

c) applies must

keep a record of the written agreement referred to in that paragraph for 7 years

after the date on which the derivative expires or terminates.

(3) The records required to be maintained under subsection (2) must be kept in

(

a) a safe location and in a durable form, and

(

b) a manner that permits the records to be provided to the regulator within a

reasonable time following request.

(4) Despite

section 40, a local counterparty that agrees under paragraph (1)(

c) to

be the reporting counterparty for a derivative to which

section 40 applies must

report derivatives data relating to the derivative in accordance with this

Instrument.

Duty to report

(1) A reporting counterparty to a derivative involving a local counterparty must

report, or cause to be reported, the data required to be reported under this Part

to a recognized trade repository.

(2) Despite subsection (1), if no recognized trade repository accepts the data

required to be reported under this Part, the reporting counterparty must

electronically report the data required to be reported under this Part to the

regulator or securities regulatory authority.

(3) A reporting counterparty satisfies the reporting obligation in respect of a

derivative required to be reported under subsection (1) if each of the following

applies:

(

a) one of the following applies to the derivative:

(

i) the derivative is required to be reported solely because a

counterparty to the derivative is a local counterparty under

subparagraph (a)(

i) of the definition of "local counterparty" and

that local counterparty does not conduct business in the local

jurisdiction other than incidental to being organized under the

laws of the local jurisdiction;

(ii) the derivative is required to be reported solely because a

counterparty to the derivative is a local counterparty under

paragraph (

c) of the definition of "local counterparty";

(

b) the derivative is reported to a recognized trade repository under one or

more of the following:

(

i) Manitoba Securities Commission Rule 91-507 Trade Repositories

and Derivatives Data Reporting, as amended from time to time;

(ii) Ontario Securities Commission Rule 91-507 Trade Repositories

and Derivatives Data Reporting, as amended from time to time;

(iii) Qu‚bec Regulation 91-507 respecting trade repositories and

derivatives data reporting, as amended from time to time;

(

c) the reporting counterparty instructs the recognized trade repository

referred to in paragraph (

b) to provide the regulator or securities

regulatory authority with access to the derivatives data that it is required

to report under this Instrument and otherwise uses its best efforts to

provide the regulator or securities regulatory authority with access to

such derivatives data.

(4) A reporting counterparty must report all derivatives data relating to a

derivative to the same recognized trade repository to which an initial report

was made.

(5) A reporting counterparty must not submit derivatives data that is false or

misleading to a recognized trade repository.

(6) A reporting counterparty must report an error or omission in the derivatives

data it has reported as soon as practicable after discovery of the error or

omission and, in any event, no later than the end of the business day following

the day of discovery of the error or omission.

(7) A local counterparty, other than the reporting counterparty, must notify the

reporting counterparty of an error or omission with respect to derivatives data

relating to a derivative to which it is a counterparty as soon as practicable after

discovery of the error or omission and, in any event, no later than the end of

the business day following the day of discovery of the error or omission.

(8) If a local counterparty to a derivative that is required to be reported under this

Instrument and is cleared through a reporting clearing agency has specified a

recognized trade repository to which derivatives data in relation to the

derivative is to be reported, the reporting clearing agency must report the

derivatives data to that recognized trade repository.

Identifiers, general

(1) In a report of creation data required under this Part, a reporting counterparty

must include each of the following:

(

a) the legal entity identifier of each counterparty to the derivative as set out

section 28;

(

b) the unique product identifier for the derivative as set out in

section 30.

(2) In a report of life-cycle data or valuation data required under this Part, a

reporting counterparty must include the unique transaction identifier for the

transaction relating to the derivative as set out in

section 29.

Legal entity identifiers

(1) A recognized trade repository must identify each counterparty to a derivative

that is required to be reported under this Instrument in all recordkeeping and

all reporting required under this Instrument by means of a single legal entity

identifier.

(2) Subject to subsection (3), the legal entity identifier referred to in subsection

(1) must be a unique identification code assigned to a counterparty in

accordance with the standards set by the Global LEI System.

(3) If the Global LEI System is unavailable to a counterparty to a derivative at the

time when a report under this Instrument is required to be made, each of the

following applies:

(

a) each counterparty to the derivative must obtain a substitute legal entity

identifier which complies with the standards established March 8, 2013

by the Legal Entity Identifier Regulatory Oversight Committee for pre-

legal entity identifiers;

(

b) a local counterparty must use the substitute legal entity identifier until a

legal entity identifier is assigned to the counterparty in accordance with

the standards set by the Global LEI System as required under subsection

(2);

(

c) after the holder of a substitute legal entity identifier is assigned a legal

entity identifier in accordance with the standards set by the Global LEI

System as required under subsection (2), the local counterparty must

ensure that it is identified only by the assigned legal entity identifier in

all derivatives data reported under this Instrument in respect of a

derivative to which it is a counterparty.

(4) If a local counterparty to a derivative required to be reported under this

Instrument is not eligible to receive a legal entity identifier assigned by the

Global LEI System, the reporting counterparty must identify the counterparty

by a single alternative identifier.

Unique transaction identifiers

(1) A recognized trade repository must identify each transaction relating to a

derivative that is required to be reported under this Instrument in all

recordkeeping and all reporting required under this Instrument by means of a

unique transaction identifier.

(2) A recognized trade repository must assign a unique transaction identifier to a

transaction, using its own methodology or incorporating a unique transaction

identifier previously assigned to the transaction.

(3) A recognized trade repository must not assign more than one unique

transaction identifier to a transaction.

Unique product identifiers

(1) In this section, "unique product identifier" means a code that uniquely

identifies a sub-type of derivative and is assigned in accordance with

international or industry standards.

(2) For each derivative that is required to be reported under this Instrument, the

reporting counterparty must assign a unique product identifier that identifies

the sub-type of the derivative.

(3) A reporting counterparty must not assign more than one unique product

identifier to a derivative.

(4) If international or industry standards for a unique product identifier are not

reasonably available for a particular sub-type of derivative at the time a report

is made under this Instrument, a reporting counterparty must assign a unique

product identifier to the derivative using its own methodology or incorporating

a unique product identifier previously assigned to the derivative.

Creation data

(1) A reporting counterparty must report creation data relating to a derivative that

is required to be reported under this Instrument to a recognized trade

repository immediately following the transaction.

(2) Despite subsection (1), if it is not practicable to immediately report the

creation data, a reporting counterparty must report creation data as soon as

practicable and in no event later than the end of the business day following the

day on which the data would otherwise be required to be reported.

Life-cycle event data

(1) A reporting counterparty must report all life-cycle event data relating to a

derivative that is required to be reported under this Instrument to a recognized

trade repository by the end of the business day on which the life-cycle event

occurs.

(2) Despite subsection (1), if it is not practicable to report life-cycle event data by

the end of the business day on which the life-cycle event occurs, the reporting

counterparty must report life-cycle event data no later than the end of the

business day following the day on which the life-cycle event occurs.

Valuation data

(1) A reporting counterparty must report valuation data relating to a derivative

that is required to be reported under this Instrument to a recognized trade

repository in accordance with industry accepted valuation standards

(

a) daily, based on relevant closing market data from the previous business

day, if the reporting counterparty is a reporting clearing agency or a

derivatives dealer, or

(

b) quarterly, as of the last day of each calendar quarter, if the reporting

counterparty is not a reporting clearing agency or a derivatives dealer.

(2) Despite subsection (1), valuation data required to be reported under paragraph

(1)(

b) must be reported to the recognized trade repository no later than the

30th day after the end of the calendar quarter.

Pre-existing derivatives

(1) Despite

section 31 and subject to subsection 44(2), on or before December 1,

2016, a reporting counterparty must report creation data relating to a

derivative if all of the following apply:

(

a) the reporting counterparty is a reporting clearing agency or a derivatives

dealer;

(

b) the transaction was entered into before May 1, 2016;

(

c) there were outstanding contractual obligations with respect to the

derivative on the earlier of the date that the derivative is reported or

December 1, 2016.

(2) Despite

section 31 and subject to subsection 44(3), on or before February 1,

2017, a reporting counterparty must report creation data relating to a

derivative if all of the following apply:

(

a) the reporting counterparty is not a reporting clearing agency or a

derivatives dealer;

(

b) the transaction was entered into before May 1, 2016;

(

c) there were outstanding contractual obligations with respect to the

derivative on the earlier of the date that the derivative is reported or

February 1, 2017.

(3) Despite

section 31, a reporting counterparty to a derivative to which

subsection (1) or (2) applies is required to report, in relation to the derivative,

only the creation data indicated in the column in Appendix A entitled

"Required for Pre-existing Derivatives".

(4) Despite

section 32, a reporting counterparty is not required to report life-cycle

event data relating to a derivative to which subsection (1) or (2) applies until

the reporting counterparty has reported creation data in accordance with

subsection (1) or (2).

(5) Despite

section 33, a reporting counterparty is not required to report valuation

data relating to a derivative to which subsection (1) or (2) applies until the

reporting counterparty has reported creation data in accordance with

subsection (1) or (2).

Timing requirements for reporting data to another recognized trade repository

35. Despite subsection 26(4) and sections 31 to 34, if a recognized trade

repository ceases operations or stops accepting derivatives data for an asset

class of derivatives, a reporting counterparty may fulfill its reporting

obligations under this Instrument by reporting the derivatives data to another

recognized trade repository or, if there is not an available recognized trade

repository, the regulator or securities regulatory authority.

Records of data reported

(1) A reporting counterparty must keep records relating to a derivative that is

required to be reported under this Instrument, including transaction records,

for 7 years after the date on which the derivative expires or terminates.

(2) A reporting counterparty must keep the records referred to in subsection (1) in

a safe location and in a durable form.

PART 4

DATA DISSEMINATION AND ACCESS TO DATA

Data available to regulators

(1) A recognized trade repository must

(

a) provide to the regulator or securities regulatory authority direct,

continuous and timely electronic access to derivatives data in the

possession of the recognized trade repository that has been reported

under this Instrument or that may impact the capital markets,

(

b) provide the data referenced in paragraph (

a) on an aggregated basis, and

(

c) notify the regulator or securities regulatory authority of the manner in

which the derivatives data provided under paragraph (

b) has been

aggregated.

(2) A recognized trade repository must establish, implement and maintain rules,

policies or operations designed to ensure that it meets or exceeds the access

standards and recommendations published by the International Organization

of Securities Commissions in the August, 2013 report entitled "Authorities'

access to trade repository data", as amended from time to time.

(3) A reporting counterparty must use its best efforts to provide the regulator or

securities regulatory authority with prompt access to all derivatives data that it

is required to report under this Instrument, including instructing a trade

repository to provide the regulator or securities regulatory authority with

access to that data.

Data available to counterparties

(1) A recognized trade repository must provide all counterparties to a derivative

with timely access to all derivatives data relating to that derivative which is

submitted to the recognized trade repository.

(2) A recognized trade repository must have appropriate verification and

authorization procedures in place to deal with access pursuant to subsection

(1) by a non-reporting counterparty or a delegate of a non-reporting

counterparty.

(3) Each counterparty to a derivative must permit the release of all derivatives

data required to be reported or disclosed under this Instrument.

(4) Subsection (3) applies despite any agreement to the contrary between the

counterparties to a derivative.

Data available to public

(1) Unless otherwise governed by the requirements or conditions of a decision of

the securities regulatory authority, a recognized trade repository must, on a

reasonably frequent basis, create and make available on its website, in a

manner that is easily accessible to the public, at no cost, aggregate data on

open positions, volume, number and, if applicable, price, relating to the

derivatives reported to it under this Instrument.

(2) The data made available under subsection (1) must include, at a minimum,

breakdowns, if applicable, by currency of denomination, geographic location

of reference entity or asset, asset class, contract type, maturity and whether the

derivative is cleared.

(3) A recognized trade repository must make transaction level reports available to

the public at no cost.

(4) In making transaction level reports available for the purpose of subsection (3),

a recognized trade repository must not disclose the identity of either

counterparty to the derivative.

(5) A recognized trade repository must make the data referred to in this

section

available to the public on its website or through a similar medium, in a usable

form and in a manner that is easily accessible to the public at no cost.

(6) Despite subsections (1) to (5), a recognized trade repository must not make

public derivatives data relating to a derivative between affiliated entities,

unless otherwise required by law.

PART 5

EXCLUSIONS

Commodity derivative

40. Despite

Part 3, a local counterparty is not required to report derivatives data

relating to a derivative the asset class of which is a commodity, other than

currency, if

(

a) none of the counterparties to the derivative are any of the following:

(

i) a clearing agency;

(ii) a derivatives dealer;

(iii) an affiliated entity of a person or company referred to in

subparagraph (

i) or (ii), and

(

b) the aggregate month-end gross notional amount under all outstanding

derivatives the asset class of which is a commodity, other than currency,

of the local counterparty and of each affiliated entity of the local

counterparty that is a local counterparty in a jurisdiction of Canada,

excluding derivatives with an affiliated entity, did not, in any calendar

month in the preceding 12 calendar months, exceed $250 000 000.

Derivative between a government and its consolidated entity

41. Despite

Part 3, a counterparty is not required to report derivatives data relating

to a derivative between

(

a) the government of a local jurisdiction, and

(

b) a crown corporation or agency the accounts of which are consolidated

for accounting purposes with those of the government referred to in

paragraph (a).

Derivative between a non-resident derivatives dealer and a non-local

counterparty

42. Despite

Part 3, a counterparty is not required to report derivatives data relating

to a derivative if the derivative is required to be reported solely because one or

both counterparties is a local counterparty under paragraph (

b) of the

definition of "local counterparty".

PART 6

EXEMPTIONS

Exemption - general

(1) Except in Alberta, the regulator or securities regulatory authority may, under

the statute referred to in Appendix B of National Instrument 14-101

Definitions opposite the name of the local jurisdiction, grant an exemption to

this Instrument.

(2) In Alberta, the regulator or securities regulatory authority may grant an

exemption to this Instrument, in whole or in part, subject to such terms,

conditions, restrictions or requirements as may be imposed in the exemption.

PART 7

TRANSITION PERIOD AND EFFECTIVE DATE

Transition period

(1) Despite

Part 3, a reporting counterparty that is not a reporting clearing agency

or a derivatives dealer is not required to make a report under that Part until

November 1, 2016.

(2) Despite

Part 3, a reporting counterparty is not required to report derivatives

data relating to a derivative if all of the following apply:

(

a) the derivative is entered into before May 1, 2016;

(

b) the derivative expires or terminates on or before July 28, 2016;

(

c) the reporting counterparty is a reporting clearing agency or a derivatives

dealer.

(3) Despite

Part 3, a reporting counterparty is not required to report derivatives

data relating to a derivative if all of the following apply:

(

a) the derivative is entered into before May 1, 2016;

(

b) the derivative expires or terminates on or before October 31, 2016;

(

c) the reporting counterparty is not a reporting clearing agency or a

derivatives dealer.

(4) Despite

Part 3, a reporting counterparty is not required to report derivatives

data relating to a derivative if all of the following apply:

(

a) the derivative is entered into before January 1, 2017;

(

b) the counterparties are affiliated entities at the time of the transaction;

(

c) none of the counterparties to the derivative is one or more of the

following:

(

i) a recognized or exempt clearing agency;

(ii) a derivatives dealer;

(iii) an affiliated entity of a person or company referred to in

subparagraph (

i) or (ii).

Effective date

(1) This Instrument comes into force on May 1, 2016.

(2) In Saskatchewan, despite subsection (1), if these regulations are filed with the

Registrar of Regulations after May 1, 2016, these regulations come into force

on the day on which they are filed with the Registrar of Regulations.

(3) Despite subsection (1) and, in Saskatchewan, subject to subsection (2), Parts 3

and 5 come into force on July 29, 2016.

(4) Despite subsection (1) and, in Saskatchewan, subject to subsection (2),

subsection 39(3) comes into force on January 1, 2017.

APPENDIX A

MULTILATERAL INSTRUMENT 96-101

TRADE REPOSITORIES AND DERIVATIVES DATA REPORTING

Minimum Data Fields Required to be Reported to a

Recognized Trade Repository

Instructions:

The reporting counterparty is required to provide a response for each of the fields

unless the field is not applicable to the derivative.

Data field

Description

Required

for

Pre-existing

Derivatives

Transaction

identifier

The unique transaction identifier as provided

by the recognized trade repository or the

identifier as identified by the two

counterparties, electronic trading venue of

execution or clearing agency.

Master

agreement type

The type of master agreement, if used for the

reported derivative.

Master

agreement

version

Date of the master agreement version (e.g.,

2002, 2006).

Cleared

Indicate whether the derivative has been

cleared by a clearing agency.

Intent to clear

Indicate whether the derivative will be cleared

by a clearing agency.

Clearing agency

LEI of the clearing agency where the

derivative is or will be cleared.

(If available)

Clearing

member

LEI of the clearing member, if the clearing

member is not a counterparty.

Clearing

exemption

Indicate whether one or more of the

counterparties to the derivative are exempted

from a mandatory clearing requirement.

Broker/Clearing

intermediary

LEI of the broker acting as an intermediary

for the reporting counterparty without

becoming a counterparty.

Electronic

trading venue

identifier

LEI of the electronic trading venue where the

transaction was executed.

Inter-affiliate

Indicate whether the derivative is between two

affiliated entities.

(If available)

Collateralization

Indicate whether the derivative is

collateralized.

Field Values:

. Fully (initial and variation margin

required to be posted by both parties);

. Partially (variation only required to be

posted by both parties);

. One-way (one party will be required to

post some form of collateral);

. Uncollateralized.

Identifier of

reporting

counterparty

LEI of the reporting counterparty or, in case

of an individual, its client code.

Identifier of

non-reporting

counterparty

LEI of the non-reporting counterparty or, in

case of an individual, its client code.

Counterparty

side

Indicate whether the reporting counterparty

was the buyer or seller. In the case of swaps,

other than credit default, the buyer will

represent the payer of leg 1 and the seller will

be the payer of leg 2.

Identifier of

agent reporting

the derivative

LEI of the agent reporting the derivative if

reporting of the derivative has been delegated

by the reporting counterparty.

Jurisdiction of

reporting

counterparty

If the reporting counterparty is a local

counterparty under the derivatives data

reporting rules of one or more provinces of

Canada, indicate all of the jurisdictions in

which it is a local counterparty.

(If available)

Jurisdiction of

non-reporting

counterparty

If the non-reporting counterparty is a local

counterparty under the derivatives data

reporting rules of one or more provinces of

Canada, indicate all of the jurisdictions in

which it is a local counterparty.

(If available)

A. Common

Data

These fields are required to be reported for all derivatives even

if the information may be entered in an Additional Asset

Information field below.

A field is not required to be reported if the unique product

identifier adequately describes the data required in that field.

Unique product

identifier

Unique product identification code based on

the taxonomy of the product.

Contract or

instrument type

The name of the contract or instrument type

(e.g., swap, swaption, forward, option, basis

swap, index swap, basket swap).

Underlying asset

identifier 1

The unique identifier of the asset referenced in

the derivative.

Underlying asset

identifier 2

The unique identifier of the second asset

referenced in the derivative, if more than one.

If more than two assets identified in the

derivative, report the unique identifiers for

those additional underlying assets.

Asset class

Major asset class of the product (e.g., interest

rate, credit, commodity, foreign exchange,

equity).

(If

available)

Effective date or

start date

The date the derivative becomes effective or

starts.

Maturity,

termination or

end date

The date the derivative expires.

Payment

frequency or

dates

The dates or frequency the derivative requires

payments to be made (e.g., quarterly, monthly).

Reset frequency

or dates

The dates or frequency at which the price resets

(e.g., quarterly, semi-annually, annually).

Day count

convention

Factor used to calculate the payments (e.g.,

30/360, actual/360).

Delivery type

Indicate whether derivative is settled physically

or in cash.

Price 1

The price, rate, yield, spread, coupon or similar

characteristic of the derivative. This must not

include any premiums such as commissions,

collateral premiums or accrued interest.

Price 2

The price, rate, yield, spread, coupon or

similar characteristic of the derivative. This

must not include any premiums such as

commissions, collateral premiums or accrued

interest.

Price notation

type 1

The manner in which the price is expressed

(e.g., percentage, basis points).

Price notation

type 2

The manner in which the price is expressed

(e.g., percentage, basis points).

Price multiplier

The number of units of the underlying

reference entity represented by 1 unit of the

derivative.

(If

available)

Notional amount

leg 1

Total notional amount(

s) of leg 1 of the

derivative.

Notional amount

leg 2

Total notional amount(

s) of leg 2 of the

derivative.

Currency leg 1

Currency of leg 1.

Currency leg 2

Currency of leg 2.

Settlement

currency

The currency used to determine the cash

settlement amount.

Up-front

payment

Amount of any up-front payment.

Currency or

currencies of up-

front payment

The currency or currencies in which any up-

front payment is made by one counterparty to

another.

Embedded

option

Indicate whether the option is an embedded

option.

(If

available)

B. Additional

Asset

Information

These fields are required to be reported for the respective types

of derivatives set out below, even if the information is entered

in a Common Data field above.

i) Interest

rate

derivatives

Fixed rate leg 1

The rate used to determine the payment amount

for leg 1 of the derivative.

Fixed rate leg 2

The rate used to determine the payment amount

for leg 2 of the derivative.

Floating rate leg

The floating rate used to determine the

payment amount for leg 1 of the derivative.

Floating rate leg

The floating rate used to determine the

payment amount for leg 2 of the derivative.

Fixed rate day

count

convention

Factor used to calculate the fixed payer

payments (e.g., 30/360, actual/360).

Fixed leg

payment

frequency or

dates

Frequency or dates of payments for the fixed

rate leg of the derivative (e.g., quarterly, semi-

annually, annually).

Floating leg

payment

frequency or

dates

Frequency or dates of payments for the floating

rate leg of the derivative (e.g., quarterly, semi-

annually, annually).

Floating rate

reset frequency

or dates

The dates or frequency at which the floating

leg of the derivative resets (e.g., quarterly,

semi-annually, annually).

ii) Currency

derivatives

Exchange rate

Contractual rate(

s) of exchange of the

currencies.

iii) Commodity

derivatives

Sub-asset class

Specific information to identify the type of

commodity derivative (e.g., Agriculture,

Power, Oil, Natural Gas, Freights, Metals,

Index, Environmental, Exotic).

Quantity

Total quantity in the unit of measure of an

underlying commodity.

Unit of measure

Unit of measure for the quantity of each side of

the derivative (e.g., barrels, bushels).

Grade

Grade of product being delivered (e.g., grade of

oil).

Delivery point

The delivery location.

Load type

For power, load profile for the delivery.

Transmission

days

For power, the delivery days of the week.

Transmission

duration

For power, the hours of day transmission starts

and ends.

C. Options

These fields are required to be reported for options derivatives,

even if the information is entered in a Common Data field

above.

Option exercise

date

The date(

s) on which the option may be

exercised.

Option premium

Fixed premium paid by the buyer to the seller.

Strike price

(cap/floor rate)

The strike price of the option.

Option style

Indicate whether the option can be exercised on

a fixed date or anytime during the life of the

derivative (e.g., American, European,

Bermudan, Asian).

Option type

Put/call.

D. Event Data

Action

Describes the type of event to the derivative

(e.g., new transaction, modification or

cancellation of existing derivative).

Execution

timestamp

The time and date of execution of a transaction,

including a novation, expressed using

Coordinated Universal Time (UTC).

(If

available)

Post-transaction

events

Indicate whether the report results from a post-

transaction service (e.g., compression,

reconciliation) or from a life-cycle event (e.g.,

amendment).

Reporting

timestamp

The time and date the derivative was submitted

to the trade repository, expressed using UTC.

E. Valuation

data

These fields are required to be reported on a continuing basis

for all reported derivatives, including reported pre-existing

derivatives.

Value of

derivative

calculated by the

reporting

counterparty

Mark-to-market valuation or mark-to-model

valuation of the derivative.

Valuation

currency

Indicate the currency used when reporting the

value of the derivative.

Valuation date

Date of the latest mark-to-market or mark-to-

model valuation.

F. Other details

Other details

Where the terms of the derivative cannot be

effectively reported in the above prescribed

fields, provide any additional information that

may be necessary.

(If

applicable)

FORM 96-101F1

APPLICATION FOR RECOGNITION -

TRADE REPOSITORY INFORMATION STATEMENT

Filer:

Type of Filing: 0 INITIAL 0 AMENDMENT

Name(s)

1. Full name of trade repository:

2. Name(

s) under which business is conducted, if different from item 1:

3. If this filing makes a name change on behalf of the trade repository in respect

of the name set out in item 1 or item 2, enter the previous name and the new

name.

Previous name:

New name:

Contact information

4. Head office

Address:

Telephone:

Fax:

5. Mailing address (if different):

6. Other office(

s) Address:

Telephone:

Fax:

7. Website address:

8. Contact employee

Name and title:

Telephone:

Fax:

E-mail:

9. Counsel

Firm name:

Lawyer name:

Telephone:

Fax:

E-mail:

10. Canadian counsel (if applicable)

Firm name:

Lawyer name:

Telephone:

Fax:

E-mail:

EXHIBITS

File all Exhibits with the Filing. For each Exhibit, include the name of the trade

repository, the date of filing of the Exhibit and the date as of which the information is

accurate (if different from the date of the filing). If any required Exhibit is

inapplicable, a statement to that effect must be furnished in place of such Exhibit.

Except as provided below, if the filer files an amendment to the information provided

in its Filing and the information relates to an Exhibit filed with the Filing or a

subsequent amendment, the filer must, in order to comply with

section 3 of the

Instrument, provide a description of the change, the expected date of the

implementation of the change, and file a complete and updated Exhibit. The filer must

provide a clean and blacklined version showing changes from the previous filing.

If the filer has otherwise filed the information required by the previous paragraph

under

section 17 of the Instrument, it is not required to file the information again as

an amendment to an Exhibit. However, if supplementary material relating to a filed

rule is contained in an Exhibit, an amendment to the Exhibit must also be filed.

Exhibit A - Corporate Governance

1. Legal status:

0 Corporation

0 Partnership

0 Other (specify):

2. Indicate the following:

(1) Date (DD/MM/YYYY) of formation.

(2) Place of formation.

(3) Statute under which trade repository was organized.

(4) Regulatory status in other jurisdictions.

3. Provide a copy of the constating documents (including corporate by-laws),

shareholder agreements, partnership agreements and other similar documents,

and all subsequent amendments.

4. Provide the policies and procedures to address potential conflicts of interest

arising from the operation of the trade repository or the services it provides,

including those related to the commercial interest of the trade repository, the

interests of its owners and its operators, the responsibilities and sound

functioning of the trade repository, and those between the operations of the

trade repository and its regulatory responsibilities.

5. An applicant that is located outside of the local jurisdiction that is applying for

recognition as a trade repository under the local securities legislation must

additionally provide the following:

(1) An opinion of legal counsel that, as a matter of law, the applicant has

the power and authority to provide the securities regulatory authority

with prompt access to the applicant's books and records and submit to

onsite inspection and examination by the securities regulatory authority.

(2) A completed Form 96-101F2 Trade Repository Submission to

Jurisdiction and Appointment of Agent for Service of Process.

Exhibit B - Ownership

1. Provide a list of the registered or beneficial holders of securities of,

partnership interests in, or other ownership interests in, the trade repository,

indicating the following for each:

(1) Name.

(2) Principal business or occupation and title.

(3) Ownership interest.

(4) Nature of the ownership interest, including a description of the type of

security, partnership interest or other ownership interest.

2. In the case of a trade repository that is publicly traded, if the trade repository

is a corporation, please only provide a list of each shareholder that directly

owns 5% or more of a class of a security with voting rights.

Exhibit C - Organization

1. Provide a list of partners, officers, governors, and members of the board of

directors and any standing committees of the board, or persons performing

similar functions, who presently hold or have held their offices or positions

during the previous year, indicating the following for each:

(1) Name.

(2) Principal business or occupation and title.

(3) Dates of commencement and expiry of present term of office or

position.

(4) Type of business in which each is primarily engaged and current

employer.

(5) Type of business in which each was primarily engaged in the preceding

five years, if different from that set out in item 4.

(6) Whether the person is considered to be an independent director.

2. Provide a list of the committees of the board, including their mandates.

3. Provide the name of the trade repository's Chief Compliance Officer.

Exhibit D - Affiliated Entities

1. For each affiliated entity of the trade repository, provide the name and head

office address and describe the principal business of the affiliated entity.

2. For each affiliated entity of the trade repository

(

a) to which the trade repository has outsourced any of its key

services or systems described in Exhibit E - Operations of the

Trade Repository, including business recordkeeping,

recordkeeping of trade data, trade data reporting, trade data

comparison or data feed, or

(

b) with which the trade repository has any other material business

relationship, including loans or cross-guarantees,

provide the following information:

(1) Name and address of the affiliated entity.

(2) The name and title of the directors and officers, or persons performing

similar functions, of the affiliated entity.

(3) A description of the nature and extent of the contractual and other

agreements with the trade repository, and the roles and responsibilities

of the affiliated entity under the arrangement.

(4) A copy of each material contract relating to any outsourced functions or

other material relationship.

(5) Copies of constating documents (including corporate by-laws),

shareholder agreements, partnership agreements and other similar

documents.

(6) For the latest financial year of any affiliated entity that has any

outstanding loans or cross-guarantee arrangements with the trade

repository, copies of financial statements, which may be unaudited,

prepared in accordance with one or more of the following:

(

a) Canadian GAAP applicable to publicly accountable enterprises;

(

b) IFRS;

(

c) U.S. GAAP, if the affiliated entity is incorporated or organized

under the laws of the United States of America or a jurisdiction of

the United States of America.

Exhibit E - Operations of the Trade Repository

1. Describe in detail the manner of operation of the trade repository and its

associated functions, including, but not limited to, the following:

(1) The structure of the trade repository.

(2) Means of access by the trade repository's participants and, if

applicable, their clients to the trade repository's facilities and services.

(3) The hours of operation.

(4) The facilities and services offered by the trade repository including, but

not limited to, collection and maintenance of derivatives data.

(5) A list of the types of derivatives instruments for which data

recordkeeping is offered, including, but not limited to, a description of

the features and characteristics of the instruments.

(6) Procedures regarding the entry, display and reporting of derivatives

data.

(7) Recordkeeping procedures that ensure derivatives data is recorded

accurately, completely and on a timely basis.

(8) The safeguards and procedures to protect derivatives data of the trade

repository's participants, including required policies and procedures

reasonably designed to protect the privacy and confidentiality of the

data.

(9) Training provided to participants and a copy of any materials provided

with respect to systems and rules and other requirements of the trade

repository.

(10) Steps taken to ensure that the trade repository's participants have

knowledge of and comply with the requirements of the trade repository.

(11) The trade repository's risk management framework for

comprehensively managing risks including business, legal and

operational risks.

2. Provide all policies, procedures and manuals related to the operation of the

trade repository.

Exhibit F - Outsourcing

1. Where the trade repository has outsourced the operation of key services or

systems described in Exhibit E - Operations of the Trade Repository to an

arm's-length third party, including any function associated with the collection

and maintenance of derivatives data, provide the following information:

(1) Name and address of the person or company (including any affiliated

entities of the trade repository) to which the function has been

outsourced.

(2) A description of the nature and extent of the contractual or other

agreement with the trade repository and the roles and responsibilities of

the arm's-length party under the arrangement.

(3) A copy of each material contract relating to any outsourced function.

Exhibit G - Systems and Contingency Planning

1. For each of the systems for collecting and maintaining reports of derivatives

data, describe:

(1) Current and future capacity estimates.

(2) Procedures for reviewing system capacity.

(3) Procedures for reviewing system security.

(4) Procedures to conduct stress tests.

(5) The filer's business continuity and disaster recovery plans, including

any relevant documentation.

(6) Procedures to test business continuity and disaster recovery plans.

(7) The list of data to be reported by all types of participants.

(8) The data format or formats that will be available to the securities

regulatory authority and other persons or companies receiving trade

reporting data.

Exhibit H - Access to Services

1. Provide a complete set of all forms, agreements or other materials pertaining

to access to the services of the trade repository described in item 1(4) in

Exhibit E - Operations of the Trade Repository.

2. Describe the types of trade repository participants.

3. Describe the trade repository's criteria for access to the services of the trade

repository.

4. Describe any differences in access to the services offered by the trade

repository to different groups or types of participants.

5. Describe conditions under which the trade repository's participants may be

subject to suspension or termination with regard to access to the services of

the trade repository.

6. Describe any procedures that will be involved in the suspension or termination

of a participant.

7. Describe the trade repository's arrangements for permitting clients of

participants to have access to the trade repository. Provide a copy of any

agreements or documentation relating to these arrangements.

Exhibit I - Fees

1. Provide a description of the fee model and all fees charged by the trade

repository, or by a party to which services have been directly or indirectly

outsourced, including, but not limited to, fees relating to access and the

collection and maintenance of derivatives data, how such fees are set, and any

fee rebates or discounts and how the rebates and discounts are set.

CERTIFICATE OF TRADE REPOSITORY

The undersigned certifies that the information given in this report is true and correct.

DATED at ____________ this ________ day of _________________, 20____

________________________________________________________

(Name of trade repository)

________________________________________________________

(Name of director, officer or partner - please type or print)

________________________________________________________

(Signature of director, officer or partner)

________________________________________________________

(Official capacity - please type or print)

[If applicable,]

ADDITIONAL CERTIFICATE

OF TRADE REPOSITORY THAT IS LOCATED OUTSIDE OF

[insert local jurisdiction]

The undersigned certifies that

1. it will provide the securities regulatory authority with access to its books and

records and will submit to onsite inspection and examination by the securities

regulatory authority;

2. as a matter of law, it has the power and authority to

(

a) provide the securities regulatory authority with access to its books

and records, and

(

b) submit to onsite inspection and examination by the securities

regulatory authority.

DATED at ____________ this ________ day of _________________, 20____

________________________________________________________

(Name of trade repository)

________________________________________________________

(Name of director, officer or partner - please type or print)

________________________________________________________

(Signature of director, officer or partner)

________________________________________________________

(Official capacity - please type or print)

FORM 96-101F2

TRADE REPOSITORY SUBMISSION TO JURISDICTION

AND APPOINTMENT OF AGENT FOR SERVICE OF PROCESS

1. Name of trade repository (the "Trade Repository"):

_______________________________________________________________

2. Jurisdiction of incorporation, or equivalent, of the Trade Repository:

_______________________________________________________________

3. Address of principal place of business of the Trade Repository:

_______________________________________________________________

4. Name of the agent for service of process for the Trade Repository (the

"Agent"):

_______________________________________________________________

5. Address of the Agent in [insert local jurisdiction]:

_______________________________________________________________

6. The Trade Repository designates and appoints the Agent as its agent upon

whom may be served a notice, pleading, subpoena, summons or other process

in any action, investigation or administrative, criminal, quasi-criminal, penal

or other proceeding arising out of or relating to or concerning the activities of

the Trade Repository in [insert local jurisdiction]. The Trade Repository

hereby irrevocably waives any right to challenge service upon its Agent as not

binding upon the Trade Repository.

7. The Trade Repository agrees to unconditionally and irrevocably attorn to the

non-exclusive jurisdiction of (

i) the courts and administrative tribunals of

[insert local jurisdiction] and (ii) any proceeding in any province or territory

arising out of, related to, concerning or in any other manner connected with

the regulation and oversight of the activities of the Trade Repository in [insert

local jurisdiction].

8. The Trade Repository must file a new submission to jurisdiction and

appointment of agent for service of process in this form at least 30 days before

the Trade Repository ceases to be recognized or exempted by the

Commission, to be in effect for 6 years from the date it ceases to be

recognized or exempted unless otherwise amended in accordance with item 9.

9. Until 6 years after it has ceased to be recognized or exempted by the

Commission from the recognition requirement under the securities legislation

of [insert local jurisdiction], the Trade Repository must file an amended

submission to jurisdiction and appointment of agent for service of process in

this form at least 30 days before any change in the name or above address of

the Agent.

10. This submission to jurisdiction and appointment of agent for service of

process shall be governed by and construed in accordance with the laws of

[insert local jurisdiction].

Dated: _________________________ _________________________________

Signature of the Trade Repository

_________________________________

Print name and title of signing

officer of the Trade Repository

AGENT

CONSENT TO ACT AS AGENT FOR SERVICE

I, ____________________________________ (name of Agent in full; if Corporation,

full Corporate name) of _____________________________ (business address),

hereby accept the appointment as agent for service of process of

________________________________ (insert name of Trade Repository) and hereby

consent to act as agent for service pursuant to the terms of the appointment executed

by ______________________________________ (insert name of Trade Repository)

on ______________________________________ (insert date).

Dated: _____________________ ___________________________________

Signature of the Trade Repository

___________________________________

Print name and title of signing

officer of the Trade Repository

FORM 96-101F3

CESSATION OF OPERATIONS REPORT FOR

RECOGNIZED TRADE REPOSITORY

1. Identification:

(1) Full name of the recognized trade repository:

(2) Name(

s) under which business is conducted, if different from item 1(1):

2. Date the recognized trade repository proposes to cease carrying on business as

a trade repository:

3. If cessation of business was involuntary, date the recognized trade repository

has ceased to carry on business as a trade repository:

EXHIBITS

File all Exhibits with this Cessation of Operations Report. For each exhibit, include

the name of the recognized trade repository, the date of filing of the exhibit and the

date as of which the information is accurate (if different from the date of the filing). If

any required Exhibit is inapplicable, a statement to that effect must be furnished in

place of such Exhibit.

Exhibit A

Provide the reasons for the recognized trade repository ceasing to carry on business as

a trade repository.

Exhibit B

Provide a list of all derivatives instruments for which data recordkeeping is offered

during the last 30 days prior to ceasing business as a trade repository.

Exhibit C

Provide a list of all participants who are counterparties to a derivative required to be

reported under this Instrument and for whom the recognized trade repository provided

services during the last 30 days prior to ceasing business as a trade repository.

CERTIFICATE OF RECOGNIZED TRADE REPOSITORY

The undersigned certifies that the information given in this report is true and correct.

DATED at ____________ this ________ day of _________________, 20____

________________________________________________________

(Name of trade repository)

________________________________________________________

(Name of director, officer or partner - please type or print)

________________________________________________________

(Signature of director, officer or partner)

________________________________________________________

(Official capacity - please type or print)

Alberta Securities Commission

AMENDMENTS TO

MULTILATERAL INSTRUMENT 62-104

TAKE-OVER BIDS AND ISSUER BIDS

(Securities Act)

Made as a rule by the Alberta Securities Commission on February 10, 2016 pursuant

to sections 223 and 224 of the Securities Act.

AMENDMENTS TO

MULTILATERAL INSTRUMENT 62-104 TAKE-OVER BIDS AND ISSUER BIDS

1. Multilateral Instrument 62-104 Take-Over Bids and Issuer Bids is amended

by this Instrument.

2. Subsection 1.8(1) is replaced with the following:

1.8

(1) In this Instrument, in determining the beneficial ownership of securities

of an offeror, of an acquiror or of any person acting jointly or in concert with

the offeror or the acquiror, at any given date, the offeror, the acquiror or the

person is deemed to have acquired and to be the beneficial owner of a security,

including an unissued security, if the offeror, the acquiror or the person

(

a) is the beneficial owner of a security convertible into the security

within 60 days following that date, or

(

b) has a right or obligation permitting or requiring the offeror, the

acquiror or the person, whether or not on conditions, to acquire

beneficial ownership of the security within 60 days by a single

transaction or a series of linked transactions..

3. Subsection 1.9(1) is replaced with the following:

1.9

(1) In this Instrument, it is a question of fact as to whether a person is

acting jointly or in concert with an offeror or an acquiror and, without limiting

the generality of the foregoing,

(

a) the following are deemed to be acting jointly or in concert with an

offeror or an acquiror:

(

i) a person that, as a result of any agreement, commitment or

understanding with the offeror, the acquiror or with any other

person acting jointly or in concert with the offeror or the

acquiror, acquires or offers to acquire securities of the same

class as those subject to the offer to acquire;

(ii) an affiliate of the offeror or the acquiror;

(

b) the following are presumed to be acting jointly or in concert with

an offeror or an acquiror:

(

i) a person that, as a result of any agreement, commitment or

understanding with the offeror, the acquiror or with any other

person acting jointly or in concert with the offeror or the

acquiror, intends to exercise jointly or in concert with the

offeror, the acquiror or with any person acting jointly or in

concert with the offeror or the acquiror any voting rights

attaching to any securities of the offeree issuer;

(ii) an associate of the offeror or the acquiror..

Part 5 is replaced with the following:

PART 5: REPORTS AND ANNOUNCEMENTS OF ACQUISITIONS

Definitions and

Interpretation

5.1

(1) In this Part,

"acquiror" means a person who acquires a security, other than by way

of a take-over bid or an issuer bid made in compliance with

Part 2;

"acquiror's securities" means securities of an issuer beneficially

owned, or over which control or direction is exercised, on the date of

the acquisition or disposition, by an acquiror or any person acting

jointly or in concert with the acquiror;

"specified securities lending arrangement" means a securities

lending arrangement if all of the following apply:

(

a) the material terms of the securities lending arrangement are set

out in a written agreement;

(

b) the securities lending arrangement requires the borrower to pay

to the lender amounts equal to all dividends or interest

payments, if any, paid on the security that would have been

received by the lender if the lender had held the security

throughout the period beginning at the date of the transfer or

loan and ending at the time the security or an identical security

is transferred or returned to the lender;

(

c) the lender has established policies and procedures that require

the lender to maintain a record of all securities that it has

transferred or lent under securities lending arrangements;

(

d) the written agreement referred to in paragraph (

a) provides for

any of the following:

(

i) the lender has an unrestricted right to recall all securities

that it has transferred or lent under the securities lending

arrangement, or an equal number of identical securities,

before the record date for voting at any meeting of

securityholders at which the securities may be voted;

(ii) the lender requires the borrower to vote the securities

transferred or lent in accordance with the lender's

instructions;

"securities lending arrangement" means an arrangement between a

lender and a borrower with respect to which both of the following

apply:

(

a) the lender transfers or lends a security to the borrower;

(

b) at the time that the security is lent or transferred, the lender and

the borrower reasonably expect that the borrower will, at a later

date, transfer or return to the lender the security or an identical

security.

(2) For the purposes of this Part, if an acquiror and one or more persons acting

jointly or in concert with the acquiror acquire or dispose of securities, the

securities are deemed to be acquired or disposed of, as applicable, by the

acquiror.

Early warning

5.2

(1) An acquiror who acquires beneficial ownership of, or control or

direction over, voting or equity securities of any class of a reporting issuer, or

securities convertible into voting or equity securities of any class of a reporting

issuer, that, together with the acquiror's securities of that class, constitute 10%

or more of the outstanding securities of that class, must

(

a) promptly, and, in any event, no later than the opening of trading

on the business day following the acquisition, issue and file a

news release containing the information required by

section 3.1

of National Instrument 62-103 The Early Warning System and

Related Take-Over Bid and Insider Reporting Issues, and

(

b) promptly, and, in any event, no later than 2 business days from

the date of the acquisition, file a report containing the

information required by

section 3.1 of National Instrument 62-

103 The Early Warning System and Related Take-Over Bid and

Insider Reporting Issues.

(2) An acquiror who is required to make disclosure under subsection (1) must

make further disclosure, in accordance with subsection (1), each time any of

the following events occur:

(

a) the acquiror or any person acting jointly or in concert with the

acquiror, acquires or disposes beneficial ownership of, or

acquires or ceases to have control or direction over, either of the

following:

(

i) securities in an amount equal to 2% or more of the

outstanding securities of the class of securities that was the

subject of the most recent report required to be filed by the

acquiror under subsection (1) or under this subsection;

(ii) securities convertible into 2% or more of the outstanding

securities referred to in subparagraph (i);

(

b) there is a change in a material fact contained in the most recent

report required to be filed under paragraph (1)(

b) or under

paragraph (

a) of this subsection.

(3) An acquiror must issue and file a news release and file a report in

accordance with subsection (1) if beneficial ownership of, or control or

direction over, the outstanding securities of the class of securities that was the

subject of the most recent report required to be filed by the acquiror under this

section decreases to less than 10%.

(4) If an acquiror issues and files a news release and files a report under

subsection (3), the requirements under subsection (2) do not apply unless

subsection (1) applies in respect of a subsequent acquisition of beneficial

ownership of, or control or direction over, voting or equity securities of any

class of a reporting issuer, or securities convertible into voting or equity

securities of any class of a reporting issuer, that, together with the acquiror's

securities of that class, constitute 10% or more of the outstanding securities of

that class.

Moratorium provisions

5.3

(1) During the period beginning on the occurrence of an event in respect of

which a report is required to be filed under

section 5.2 and ending on the

expiry of the first business day following the date that the report is filed, an

acquiror, or any person acting jointly or in concert with the acquiror, must not

acquire or offer to acquire beneficial ownership of, or control or direction over,

any securities of the class in respect of which the report is required to be filed

or any securities convertible into securities of that class.

(2) Subsection (1) does not apply to an acquiror that has beneficial ownership

of, or control or direction over, securities that, together with the acquiror's

securities of that class, constitute 20% or more of the outstanding securities of

that class.

Acquisitions during bid

5.4

(1) If, after a take-over bid or an issuer bid has been made under

Part 2 for

voting or equity securities of a reporting issuer and before the expiry of the

bid, an acquiror acquires beneficial ownership of, or control or direction over,

securities of the class subject to the bid which, when added to the acquiror's

securities of that class, constitute 5% or more of the outstanding securities of

that class, the acquiror must, before the opening of trading on the next business

day, issue and file a news release containing the information required by

subsection (3).

(2) An acquiror must issue and file an additional news release in accordance

with subsection (3) before the opening of trading on the next business day each

time the acquiror, or any person acting jointly or in concert with the acquiror,

acquires beneficial ownership of, or control or direction over, in aggregate, an

additional 2% or more of the outstanding securities of the class of securities

that was the subject of the most recent news release required to be filed by the

acquiror under this section.

(3) A news release or further news release required under subsection (1) or (2)

must set out

(

a) the name of the acquiror,

(

b) the number of securities of the offeree issuer that were

beneficially acquired, or over which control or direction was

acquired, in the transaction that gave rise to the requirement

under subsection (1) or (2) to issue the news release,

(

c) the number of securities and the percentage of outstanding

securities of the offeree issuer that the acquiror and all persons

acting jointly or in concert with the acquiror, have beneficial

ownership of, or control or direction over, immediately after the

acquisition described in paragraph (b),

(

d) the nu

Document details

Collection	Alberta — Gazette
Citation	documents gazette 2016 pdf 07 Apr15 Part1.pdf
Type	gazette
Volume / chapter	documents gazette 2016 pdf 07 Apr15 Part1.pdf
Language	en
Format	json
Source	PROVINCIAL
Identifier	3982fdfcd034765a06bf06356f600fb485f753d5

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