The Alberta Gazette

Part I

Vol. 112 Edmonton, Saturday, February 13, 2016 No. 03

APPOINTMENTS

Reappointment of Part-time Provincial Court Judge

(Provincial Court Act)

January 24, 2016

Honourable Judge Lloyd Eric Malin

For a term to expire on January 23, 2017.

February 28, 2016

Honourable Judge Douglas G. Rae

For a term to expire on February 27, 2017.

ORDERS IN COUNCIL

O.C. 297/2015

(Municipal Government Act)

Approved and ordered:

Catherine A. Fraser

Administrator. December 18, 2015

The Lieutenant Governor in Council orders that

(

a) effective January 1, 2016, the land described in Appendix A and shown on

the sketch in Appendix B is separated from Beaver County and annexed to

the Village of Ryley,

(

b) any taxes owing to Beaver County at the end of December 31, 2015 in

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

Village of Ryley together with any lawful penalties and costs levied in

respect of those taxes, and the Village of Ryley upon collecting those taxes,

penalties and costs must pay them to Beaver County, and

(

c) the assessor for the Village of Ryley must assess, for the purposes of

taxation in 2017 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

BEAVER COUNTY AND ANNEXED TO THE VILLAGE OF RYLEY

THE NORTHEAST QUARTER OF

SECTION NINE (9), TOWNSHIP FIFTY

(50), RANGE SEVENTEEN (17), WEST OF THE FOURTH MERIDIAN

EXCEPTING THEREOUT PLAN 7521617.

APPENDIX B

A SKETCH SHOWING THE GENERAL LOCATION OF THE AREAS

ANNEXED TO THE VILLAGE OF RYLEY

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 the purposes of taxation in 2016 and in each subsequent year up to and

including December 31, 2030, the annexed land and the assessable

improvements to it

(

a) must be assessed by the Village of Ryley on the same basis as if they

had remained in Beaver County, and

(

b) must be taxed by the Village of Ryley in respect of each assessment

class that applies to the annexed land and the assessable improvements

to it using

(

i) the municipal tax rate established by Beaver County, or

(ii) the municipal tax rate established by the Village of Ryley,

whichever is lower.

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

(

a) becomes a new parcel of land created

(

i) as a result of subdivision,

(ii) as a result of separation of title by registered plan of subdivision, or

(iii) 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 Village of Ryley's Land Use Bylaw to another designation, or

(

c) is connected, at the request of or on behalf of the landowner, to the

Village of Ryley's water and sewer services,

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 the annexed land or a portion of it, the

annexed land or portion 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

Village of Ryley is assessed and taxed.

GOVERNMENT NOTICES

Culture and Tourism

Hosting Expenses Exceeding $600.00

For the Period July 1 to September 30, 2015

Function: Alberta Foundation for the Arts / Edmonton Arts Council Board Reception

Date: September 3, 2015

Amount: $1,085.55

Purpose: Opportunity for the Edmonton Arts Council and the Alberta Foundation for

the Arts to network.

Location: Prince of Wales Armoury, Edmonton, AB

BU #: 027

Function: Ammy Awards Gala

Date: September 29, 2015

Amount: $3,246.00

Purpose: To recognize and celebrate the achievement of visitor information centres

and their staff in the areas of individual, visitor services, operational, and facility

excellence.

Location: Lethbridge Lodge Hotel and Conference Centre, Lethbridge, AB

BU #: 022

_______________

Alberta Sport Connection

Hosting Expenses Exceeding $600.00

For the period July 1 to September 30, 2015

Function: 2015 Team Alberta Appreciation Night for Western Canada Summer

Games - Phase 1

Date: August 8, 2015

Amount: $8,492.21

Purpose: The Appreciation Night is to recognize the contributions of the coaches,

managers, parents and family of Team Alberta.

Location: Shell Place, Fort McMurray, AB

BU #: 029

Function: 2015 Western Canada Summer Games Mission Gathering

Date: August 9, 2015

Amount: $2,378.08

Purpose: Alberta hosted a mission gathering for all the provinces and territories'

Mission Staff teams.

Location: Paddy McSwiggins Irish Pub, Fort McMurray, AB

BU #: 029

Function: 2015 Team Alberta Appreciation Night for Western Canada Summer

Games - Phase 2

Date: August 13, 2015

Amount: $9,791.73

Purpose: The Appreciation Night is to recognize the contributions of the coaches,

managers, parents and family of Team Alberta.

Location: Shell Place, Fort McMurray, AB

BU #: 029

Function: Alberta Future Leaders Community and Sponsor Recognition Day

Date: August 25, 2015

Amount: $7,506.76

Purpose: To provide luncheon and refreshments for Alberta Future Leaders

Community and Sponsorship Recognition Day.

Location: Riverdale Community League, Edmonton, AB

BU #: 029

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 - Pembina Cardium

Agreement No. 18" and that the Unit became effective on November 1, 2015.

Infrastructure

Sale or Disposition of Land

(Government Organization Act)

Name of Purchaser: Strathcona County

Consideration: $1.00

Land Description: Plan 1027079, Block 1, Lot 7. Excepting thereout all mines and

minerals.

Justice and Solicitor General

Designation of Qualified Technician Appointment

(Intox EC/IR II)

Edmonton Police Service

Kirby, Andrew Lee

Leach, Todd Anthony Mark

(Date of Designation January 8, 2016)

RCMP K Division, Traffic Services

Cousineau, Olivier

Dunbar, Jeffrey Lawrence

Edgar, William Edward

Firmston, Larry

Flundra, Sherri Allison

Fung, King-Fai Kevin

Hardy, Dylan Fredrick

Gallant, Robert Joseph

Gratton, Stephanie Lauren

Greenland, Gavin Neal

Hansen, Katherine Ann

Howson, Matthew Edward Wesley

Illi, David Edward

Kyle, Kristopher Blaine

Macintyre, Dustin Jay

Organ, Resus Bernard

Pitcher, Nathan Philip

Proulx, Ryan Norman

Reed, Martin Conrad

Sauve, Daniel Gregory

Smith, Steven Derek

Spaans, Sarah Gene

Valade, Christopher Francis Claude

Wierenga, Jason Andrew

Zielke, Wilma Leanne

(Date of Designation January 25, 2016)

Municipal Affairs

Notice of the Mailing of the

2015 Assessment Year

2016 Tax Year

Linear Property Assessment Notices

(Municipal Government Act)

Pursuant to

Section 311 of the Municipal Government Act Revised Statutes of Alberta

Chapter M-26 as amended, the 2015 Assessment Year Linear Property

Assessment Notices have been sent to all assessed linear property owners with copies

to the affected municipalities. All assessed persons are deemed to have received their

linear property assessment notices as a result of the publication of this notice.

The linear property assessment roll is open for viewing year round. A copy can be

found at the:

Assessment Services Branch

15th Floor Commerce Place

10155 - 102 Street, Edmonton, AB

T5J 4L4

Questions concerning linear property assessment notices can be directed to the

Assessment Services Branch of Municipal Affairs at (780) 422-1377 or toll free at

310-0000. Dial 310-0000 before dialing the office's area code and telephone number.

Calling by cell phone? Start with one of the toll-free codes, and then punch in the

office's area code and telephone number: *310 (Roger's Wireless) #310 (Bell and

Telus).

Safety Codes Council

Agency Accreditation

(Safety Codes Act)

Pursuant to

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

Behr Energy Services Ltd., Accreditation No. A000889, Order No. 2971

provide services under the Safety Codes Act including applicable Alberta

amendments and regulations for Fire.

Consisting of all parts of the Alberta Fire Code including investigations.

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

Corporate Accreditation - Cancellation

(Safety Codes Act)

Pursuant to

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

Blaze Energy Ltd., Accreditation No. C000815, Order No. 2577

Is to cease administer under the Safety Codes Act within its jurisdiction 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: January 25, 2016.

Alberta Securities Commission

MULTILATERAL INSTRUMENT 13-102

SYSTEM FEES FOR SEDAR AND NRD

(Securities Act)

Made as a rule by the Alberta Securities Commission on December 9, 2015 pursuant

to sections 223 and 224 of the Securities Act.

MULTILATERAL INSTRUMENT 13-102

SYSTEM FEES FOR SEDAR AND NRD

PART 1

DEFINITIONS AND

INTERPRETATION

Definitions

(1) In this Instrument,

"annual information form" means an "AIF" as defined by National Instrument 51-102

Continuous Disclosure Obligations or an annual information form for the purposes of

Part 9 of National Instrument 81-106 Investment Fund Continuous Disclosure;

"initial filer profile" means a filer profile filed in accordance with subsection 5.1(1) of

National Instrument 13-101 System for Electronic Document Analysis and Retrieval

(SEDAR);

"issuer bid",

(

a) except in Ontario, means an issuer bid to which

Part 2 of Multilateral

Instrument 62-104 Take-Over Bids and Issuer Bids applies, and

(

b) in Ontario, means a "formal issuer bid" as defined by subsection 89(1)

of the Securities Act (Ontario);

"shelf prospectus" means a prospectus filed under National Instrument 44-102 Shelf

Distributions;

"take-over bid",

(

a) except in Ontario, means a take-over bid to which

Part 2 of Multilateral

Instrument 62-104 Take-Over Bids and Issuer Bids applies, and

(

b) in Ontario, means a "formal take-over bid" as defined by subsection

89(1) of the Securities Act (Ontario).

(2) In this Instrument, a term referred to in Column 1 of the following table has the

meaning ascribed to it in the Instrument referred to in Column 2 opposite that term.

Column 1

Defined Term

Column 2

Instrument

CPC instrument

National Instrument 45-106 Prospectus

Exemptions

firm filer

National Instrument 31-102 National

Registration Database

individual filer

National Instrument 31-102 National

Registration Database

long form prospectus

National Instrument 41-101 General Prospectus

Requirements

MJDS prospectus

National Instrument 71-101 The

Multijurisdictional Disclosure System

NRD

National Instrument 31-102 National

Registration Database

principal jurisdiction

Multilateral Instrument 11-102 Passport System

principal regulator

Multilateral Instrument 11-102 Passport System

rights offering circular

Section 2.1 of National Instrument 45-106

Prospectus Exemptions

SEDAR

National Instrument 13-101 System for

Electronic Document Analysis and Retrieval

(SEDAR)

short form prospectus

National Instrument 41-101 General Prospectus

Requirements

sponsoring firm

National Instrument 33-109 Registration

Information, in Form 33-109F4 Registration of

Individuals and Review of Permitted Individuals

Inconsistency with other instruments

2. If there is any conflict or inconsistency between this Instrument and National

Instrument 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)

or National Instrument 31-102 National Registration Database, this Instrument

prevails.

PART 2

SEDAR SYSTEM FEES

Local system fees

3. In Qu‚bec, a person or company making the type of filing described in Column C

of Appendix A with the Autorit‚ des march‚s financiers must pay to the Autorit‚ des

march‚s financiers the system fee specified in Column D of that Appendix.

System fees

(1) A person or company making a filing, in the local jurisdiction, of the type

described in Column B of Appendix B, and of the category referred to in Column A

of that Appendix, must pay to the securities regulatory authority the system fee

specified in Column C or D of that Appendix, as the case may be.

(2) Despite subsection (1), if a person or company pays a fee referred to in item 1 or 2

of Appendix B, the person or company is not required to pay a fee with respect to any

other filing referred to in that item made during the calendar year in which the

payment was made.

(3) Despite subsection (1), in the calendar year that a person or company files its

initial filer profile, the fee referred to in item 1 or 2 of Appendix B is prorated in

accordance with the following formula:

A ž B /12, where

A = the amount referred to in item 1 or 2 of Appendix B, as applicable, and

B = the number of months remaining in the calendar year following the month in

which the initial filer profile was filed.

4.1 System fees for filings that do not require a principal regulator -

(1) A person or

company making a filing of the type described in Column B of Appendix C, and of

the category referred to in Column A of that Appendix, must pay the system fee

specified in Column C of that Appendix. The system fee is payable to, and allocated

among, the securities regulatory authorities with whom the filing is required under

National Instrument 13-101 System for Electronic Document Analysis and Retrieval

(SEDAR).

PART 3

NRD SYSTEM FEES

Enrolment Fee

5. If the local jurisdiction is a firm filer's principal jurisdiction, the firm filer must pay

to the securities regulatory authority an enrolment fee of $500 upon enrolment in

NRD.

NRD submission fee

(1) A firm filer must pay an NRD system fee in respect of an individual filer to the

securities regulatory authority in the local jurisdiction if

(

a) the firm filer is the sponsoring firm for the individual filer, and

(

b) through the filing of a Form 33-109F4 Registration of Individuals and

Review of Permitted Individuals, the individual filer registers or

reactivates their registration in the local jurisdiction.

(2) The NRD system fee payable to the securities regulatory authority under

subsection (1) by a sponsoring firm in respect of an individual filer is,

(

a) if the securities regulatory authority is the principal regulator of the

individual filer, $75.00, and

(

b) in any other case, $20.50.

Annual NRD system fee

7. On December 31 of each year, a firm filer must pay an annual NRD system fee to

the securities regulatory authority in the local jurisdiction equal to the total of the

following:

(

a) if the securities regulatory authority in the local jurisdiction is the

principal regulator of one or more individuals who are individual filers

on that date, and for which the firm filer is the sponsoring firm in that

jurisdiction,

$75.00 ž the number of those individuals, and

(

b) if there are individual filers on that date for which the securities

regulatory authority in the local jurisdiction is not the principal

regulator, and for which the firm filer is the sponsoring firm in that

jurisdiction,

$20.50 ž the number of those individuals.

PART 4

PAYMENT OF FEES

Means of payment

8. A fee under

section 3, 4, 4.1, 6 or 7 must be paid through SEDAR or NRD, as the

case may be.

PART 5

EXEMPTION

Exemption

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

from this Instrument, in whole or in part, subject to such conditions or restrictions as

may be imposed in the exemption.

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

exemption.

(3) Except in Ontario, an exemption referred to in subsection (1) is granted under the

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

Definitions, opposite

the name of the local jurisdiction.

PART 6

EFFECTIVE DATE

Effective Date

10. This Instrument comes into force on March 1, 2016.

Appendix A - Local SEDAR System Fees

(Section 3)

Column A

Local

Jurisdiction

Column B

Category of

Filing

Column C

Type of Filing

Column D

System Fee

Qu‚bec

Securities

Offerings

Prospectus distribution to person

outside Qu‚bec, if made from

within Qu‚bec (section 12 of

Securities Act (Qu‚bec))

$130.00

Appendix B - Other SEDAR System Fees

(Section 4)

Item

Column A

Category of Filing

Column B

Type of Filing

Column C

System Fee

Payable to

Principal

Regulator

Column D

System Fee

Payable to

Each Other

Securities

Regulatory

Authority

Annual filing fee for

continuous disclosure

- investment funds

Note: Excludes the

annual information

form and all other

filings listed

separately in items 3

to 21.

Initial filer profile or

annual financial

statements (for

investment funds)

$495.00

N/A

Annual filing fee for

continuous disclosure

Note: Excludes the

annual information

form and all other

filings listed

separately in items 3

to 21.

Initial filer profile or

annual financial

statements ( for reporting

issuers other than

investment funds)

$705.00

$74.00

Investment fund

issuers / securities

offerings

Simplified prospectus,

annual information form

and fund facts (National

Instrument 81-101

Mutual Fund Prospectus

Disclosure)

$585.00,

which

applies in

total to a

combined

filing, if one

annual

information

form and

one

simplified

prospectus

are used to

qualify the

investment

fund

securities of

more than

one

investment

fund for

distribution

$162.50,

which

applies in

total to a

combined

filing, if one

annual

information

form and

one

simplified

prospectus

are used to

qualify the

investment

fund

securities of

more than

one

investment

fund for

distribution

Long form prospectus

$715.00

$212.50

Investment fund

issuers / continuous

disclosure

Annual information form

(National Instrument 81-

106 Investment Fund

Continuous Disclosure)

for investment fund if

not a short form

prospectus issuer

$455.00

N/A

Investment fund

issuers / continuous

disclosure

Annual information form

(National Instrument 81-

106 Investment Fund

Continuous Disclosure)

for investment fund if

short form prospectus

issuer

$2,655.00

N/A

Investment fund

issuers / exemptions

and other

applications

Exemptions and other

applications (National

Instrument 81-102

Investment Funds)

$195.00

$40.00

Exemptions and other

applications in

connection with a

prospectus filing

$195.00

$82.50

Other issuers /

securities offerings

Short form prospectus

(National Instrument 44-

101 Short Form

Prospectus

Distributions)

$390.00

$115.00

Shelf prospectus

$390.00

$115.00

MJDS Prospectus

(National Instrument 71-

101 The

Multijurisdictional

Disclosure System)

$390.00

$115.00

Long form prospectus

$715.00

$212.50

Rights offering circular

$325.00

$115.00

Prospectus governed by

CPC instrument (TSX

Venture Exchange)

$715.00

$212.50

Other issuers /

continuous disclosure

Annual information

form, if neither an

investment fund nor a

short form prospectus

issuer

$455.00

N/A

Annual information

form, if a short form

prospectus issuer (other

than an investment fund)

$2,655.00

N/A

Exemptions and other

applications (if not an

investment fund)

Exemptions and other

applications in

connection with

prospectus filing

$195.00

$82.50

Other issuers / going

private / related party

transactions

Going private transaction

filings

$325.00

$115.00

Related party transaction

filings

$325.00

$115.00

Other issuers /

securities acquisitions

Issuer bid filings

$195.00

$82.50

Third party filers /

third party filings

Take-over bid filings

$195.00

$82.50

Appendix C - Other SEDAR System Fees

(for filings that do not require a principal regulator)

(Section 4.1)

Item

Column A

Category of Filing

Column B

Type of Filing

Column C

System

Fee

Payable

Investment fund issuers /

exempt market offerings and

disclosure

Report of Exempt Distribution

$25.00

Other issuers / exempt

market offerings and

disclosure

Report of Exempt Distribution

$25.00

Alberta Securities Commission

NATIONAL INSTRUMENT 24-102

CLEARING AGENCY REQUIREMENTS

(Securities Act)

Made as a rule by the Alberta Securities Commission on November 10, 2015 pursuant

to sections 223 and 224 of the Securities Act.

NATIONAL INSTRUMENT 24-102

CLEARING AGENCY REQUIREMENTS

PART 1

DEFINITIONS,

INTERPRETATION AND APPLICATION

Definitions

1.1 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;

"board of directors" means, in the case of a recognized clearing agency that does not

have a board of directors, a group of individuals that acts for the clearing agency in a

capacity similar to a board of directors;

"central counterparty" means a person or company that interposes itself between the

counterparties to securities or derivatives transactions in one or more financial

markets, acting functionally as the buyer to every seller and the seller to every buyer

or the counterparty to every party;

"central securities depository" means a person or company that provides centralized

facilities as a depository of securities, including securities accounts, central

safekeeping services and asset services, which may include the administration of

corporate actions and redemptions;

"exempt clearing agency" means a clearing agency that has been granted a decision of

the securities regulatory authority pursuant to securities legislation exempting it from

the requirement in such legislation to be recognized by the securities regulatory

authority as a clearing agency;

"link" means, in relation to a clearing agency, contractual and operational

arrangements that directly or indirectly through an intermediary connect the clearing

agency and one or more other systems for the clearing, settlement or recording of

securities or derivatives transactions;

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

clearing agency to access the services of the clearing agency and is bound by the

clearing agency's rules and procedures;

"PFMI Disclosure Framework Document" means a disclosure document completed

substantially in the form of Annex A: FMI disclosure template of the December 2012

report Principles for financial market infrastructures: Disclosure framework and

Assessment methodology published by the Committee on Payments and Market

Infrastructures and the International Organization of Securities Commissions, as

amended, supplemented or superseded from time to time, or a similar disclosure

document required to be completed regularly and disclosed publicly by a clearing

agency in accordance with the regulatory requirements of a foreign jurisdiction in

which the clearing agency is located;

"PFMI Principle" means a principle, including applicable key considerations, in the

April 2012 report Principles for financial market infrastructures published by the

Committee on Payments and Market Infrastructures and the International

Organization of Securities Commissions, as amended from time to time;

"publicly accountable enterprise" means a publicly accountable enterprise as defined

Part 3 of National Instrument 52-107 Acceptable Accounting Principles and

Auditing Standards;

"securities settlement system" means a system that enables securities to be transferred

and settled by book entry according to a set of predetermined multilateral rules.

Interpretation - Affiliated Entity, Controlled Entity and Subsidiary Entity

1.2

(1) In this Instrument, a person or company is considered to be an affiliated entity

of another person or company if one is a subsidiary entity of the other or if both are

subsidiary entities of the same person or company, or if each of them is a controlled

entity of the same person or company.

(2) In this Instrument, a person or company is considered to be controlled by a person

or company if

(

a) in the case of a person or company,

(

i) voting securities of the first-mentioned person or company

carrying more than fifty percent of the votes for the election of

directors are held, otherwise than by way of security only, by or

for the benefit of the other person or company, and

(ii) the votes carried by the securities are entitled, if exercised, to

elect a majority of the directors of the first-mentioned person or

company;

(

b) in the case of a partnership that does not have directors, other than a

limited partnership, the second-mentioned person or company holds

more than fifty percent of the interests in the partnership; or

(

c) in the case of a limited partnership, the general partner is the second-

mentioned person or company.

(3) In this Instrument, a person or company is considered to be a subsidiary entity of

another person or company if

(

a) it is a controlled entity of

(

i) that other,

(ii) that other and one or more persons or companies, each of which is

a controlled entity of that other, or

(iii) two or more persons or companies, each of which is a controlled

entity of that other; or

(

b) it is a subsidiary entity of a person or company that is the other's

subsidiary entity.

Interpretation - Extended Meaning of Affiliated Entity

1.3 For the purposes of the PFMI Principles, a person or company is considered to be

an affiliate of a participant, the person or company and the participant each being

described in this

section as a "party", where,

(

a) a party holds, otherwise than by way of security only, voting securities

of the other party carrying more than 20 percent of the votes for the

election of directors, or

(

b) in the event paragraph (

a) is not applicable,

(

i) a party holds, otherwise than by way of security only, an interest

in the other party that allows it to direct the management or

operations of the other party; or

(ii) financial information in respect of both parties is consolidated for

financial reporting purposes.

Interpretation - Clearing Agency

1.4 For the purposes of this Instrument, in Qu‚bec, a clearing agency includes a

clearing house, a central securities depository and a settlement system within the

meaning of the Qu‚bec Securities Act and a clearing house and a settlement system

within the meaning of the Qu‚bec Derivatives Act.

Application

1.5

(1) Part 3 applies to a recognized clearing agency that operates as any of the

following:

(

a) a central counterparty;

(

b) a central securities depository;

(

c) a securities settlement system.

(2) Unless the context otherwise indicates,

Part 4 applies to a recognized clearing

agency whether or not it operates as a central counterparty, central securities

depository or securities settlement system.

(3) In Qu‚bec, if there is a conflict or an inconsistency between

section 2.2 and the

provisions of the Qu‚bec Derivatives Act governing the self-certification process with

respect to a clearing agency implementing a significant change or a fee change, the

provisions of the Qu‚bec Derivatives Act prevail.

(4) The requirements of

section 2.2 or 2.5 apply only to the extent that the subject

decision of the securities regulatory authority that recognizes a clearing agency or that

exempts a clearing agency from a recognition requirement.

PART 2

CLEARING AGENCY RECOGNITION

OR EXEMPTION FROM RECOGNITION

Application and initial filing of information

2.1

(1) An applicant for recognition as a clearing agency under securities legislation,

or for exemption from the requirement to be recognized as a clearing agency under

securities legislation, must include in its application all of the following:

(

a) if applicable, the applicant's most recently completed PFMI Disclosure

Framework Document;

(

b) sufficient information to demonstrate that the applicant is in compliance

with

(

i) provincial and territorial securities legislation, or

(ii) the regulatory regime of a foreign jurisdiction in which the

applicant's head office or principal place of business is located;

(

c) any additional relevant information sufficient to demonstrate that it is in

the public interest for the securities regulatory authority to recognize or

exempt the applicant, as the case may be.

(2) In addition to the requirement set out in subsection (1), an applicant that has a

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

(

a) certify that it will assist the securities regulatory authority in accessing

the applicant's books and records and in undertaking an onsite

inspection and examination at the applicant's premises, and

(

b) certify that it will provide the securities regulatory authority, if requested

by such authority, with an opinion of legal counsel that the applicant

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

(

i) provide the securities regulatory authority with prompt access to

its books and records, and

(ii) submit to onsite inspection and examination by the securities

regulatory authority.

(3) In addition to the requirements set out in subsections (1) and (2), an applicant

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

must file a completed Form 24-102F1 Submission to Jurisdiction and Appointment of

Agent for Service.

(4) An applicant must inform the securities regulatory authority in writing of any

material change to the information provided in its application, or if any of the

information becomes materially inaccurate for any reason, as soon as the change

occurs or the applicant becomes aware of any inaccuracy.

Significant changes, fee changes and other changes in information

2.2

(1) In this section, for greater certainty, a "significant change" includes, in relation

to a clearing agency,

(

a) any change to the clearing agency's constating documents or by-laws;

(

b) any change to the clearing agency's corporate governance or corporate

structure, including any change of control of the clearing agency,

whether direct or indirect;

(

c) any material change to an agreement among the clearing agency and

participants in connection with the clearing agency's operations and

services, including those agreements to which the clearing agency is a

party and those agreements among participants to which the clearing

agency is not a party, but that are expressly referred to in the clearing

agency's rules or procedures and are made available by participants to

the clearing agency;

(

d) any material change to the clearing agency's rules, operating procedures,

user guides, manuals, or other documentation governing or establishing

the rights, obligations and relationships among the clearing agency and

participants in connection with the clearing agency's operations and

services;

(

e) any material change to the design, operation or functionality of any of

the clearing agency's operations and services;

(

f) the establishment or removal of a link or any material change to an

existing link;

(

g) commencing to engage in a new type of business activity or ceasing to

engage in a business activity in which the clearing agency is then

engaged;

(

h) any other matter identified as a significant change in the recognition

(2) Subject to subsection (4), a recognized clearing agency must not implement a

significant change unless it has filed a written notice of the significant change with

the securities regulatory authority at least 45 days before implementing the change.

(3) If a proposed significant change referred to in subsection (2) would affect the

information set out in its PFMI Disclosure Framework Document filed with the

securities regulatory authority, a recognized clearing agency must complete and file

with the securities regulatory authority, concurrently with providing the written notice

referred to in subsection (2), an appropriate amendment to its PFMI Disclosure

Framework Document.

(4) If a recognized clearing agency proposes to modify a fee or introduce a new fee

for any of its clearing, settlement or depository services, the clearing agency must

notify in writing the securities regulatory authority of such fee change before

a decision of the securities regulatory authority that recognizes the clearing agency.

(5) An exempt clearing agency must notify in writing the securities regulatory

authority of any material change to the information provided to the securities

regulatory authority in its PFMI Disclosure Framework Document and related

application materials, or if any of the information becomes materially inaccurate for

any reason, as soon as the change occurs or the exempt clearing agency becomes

aware of any inaccuracy.

Ceasing to carry on business

2.3

(1) A recognized clearing agency or exempt clearing agency that intends to cease

carrying on business in the local jurisdiction as a clearing agency must file a report on

Form 24-102F2 Cessation of Operations Report for Clearing Agency with the

securities regulatory authority

(

a) at least 180 days before ceasing to carry on business if a significant

reason for ceasing to carry on business relates to the clearing agency's

financial viability or any other matter that is preventing, or may

potentially prevent, it from being able to provide its operations and

services as a going concern, or

(

b) at least 90 days before ceasing to carry on business for any other reason.

(2) A recognized clearing agency or exempt clearing agency that involuntarily ceases

to carry on business in the local jurisdiction as a clearing agency must file a report on

Form 24-102F2 Cessation of Operations Report for Clearing Agency with the

securities regulatory authority as soon as practicable after it ceases to carry on that

business.

Filing of initial audited financial statements

2.4

(1) An applicant must file audited financial statements for its most recently

completed financial year with the securities regulatory authority as part of its

application under

section 2.1.

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

(

a) be prepared in accordance with Canadian GAAP applicable to publicly

accountable enterprises, IFRS or the generally accepted accounting

principles of the foreign jurisdiction in which the person or company is

incorporated, organized or located,

(

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 Canadian GAAS, International Standards

on Auditing or the generally accepted auditing standards of the foreign

jurisdiction in which the person or company is incorporated, organized

or located.

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

auditor's report that

(

a) expresses an unmodified or unqualified opinion,

(

b) identifies all financial periods presented for which the auditor's report

applies,

(

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

(

d) identifies the accounting principles used to prepare the financial

statements,

(

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

conduct the audit, and

(

f) 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

2.5

(1) A recognized clearing agency or exempt clearing agency must file annual

audited financial statements that comply with the requirements set out in subsections

2.4(2) and (3) with the securities regulatory authority no later than the 90th day after

the end of the recognized clearing agency or exempt clearing agency's financial year.

(2) A recognized clearing agency or exempt clearing agency must file interim

financial statements that comply with the requirements set out in paragraphs 2.4(2)(

a) and (2)(

b) with the securities regulatory authority no later than the 45th day after the

end of each interim period.

PART 3

PFMI PRINCIPLES APPLICABLE TO

RECOGNIZED CLEARING AGENCIES

PFMI Principles

3.1 A recognized clearing agency must establish, implement and maintain rules,

procedures, policies or operations designed to ensure that it meets or exceeds PFMI

Principles 1 to 3, 10, 13, 15 to 19, 20 other than key consideration 9, 21 to 23 and the

following:

(

a) if the clearing agency operates as a central counterparty, PFMI

Principles 4 to 9, 12 and 14;

(

b) if the clearing agency operates as a securities settlement system, PFMI

Principles 4, 5, 7 to 9 and12; and

(

c) if the clearing agency operates as a central securities depository, PFMI

Principle 11.

PART 4

OTHER REQUIREMENTS OF

RECOGNIZED CLEARING AGENCIES

Division 1 - Governance:

Board of directors

4.1

(1) A recognized clearing agency must have a board of directors.

(2) The board of directors must include appropriate representation by individuals who

are

(

a) independent of the clearing agency, and

(

b) not employees or executive officers of a participant or their immediate

family members.

(3) For the purposes of paragraph (2)(a), an individual is independent of a clearing

agency if he or she has no direct or indirect material relationship with the clearing

agency.

(4) For the purposes of subsection (3), a "material relationship" is a relationship that

could, in the view of the clearing agency's board of directors, be reasonably expected

to interfere with the exercise of a member's independent judgment.

Documented procedures regarding risk spill-overs

4.2 The board of directors and management of a recognized clearing agency must

have documented procedures to manage possible risk spill over where the clearing

agency provides services with a different risk profile than its depository, clearing and

settlement services.

Chief Risk Officer and Chief Compliance Officer

4.3

(1) A recognized clearing agency must designate a chief risk officer and a chief

compliance officer, who must report directly to the board of directors or, if

determined by the board of directors, to the chief executive officer of the clearing

agency.

(2) The chief risk officer must

(

a) have full responsibility and authority to maintain, implement and

enforce the risk management framework established by the clearing

agency,

(

b) make recommendations to the clearing agency's board of directors

regarding the clearing agency's risk management framework,

(

c) monitor the effectiveness of the clearing agency's risk management

framework, and

(

d) report to the clearing agency's board of directors on a timely basis upon

becoming aware of any significant deficiency with the risk management

framework.

(3) The chief compliance officer must

(

a) establish, implement, maintain and enforce written policies and

procedures to identify and resolve conflicts of interest and ensure that

the clearing agency complies with securities legislation,

(

b) monitor compliance with the policies and procedures described in

paragraph (a),

(

c) report to the board of directors of the clearing agency as soon as

practicable upon becoming aware of any circumstance indicating that the

clearing agency, or any individual acting on its behalf, is not in

compliance with securities legislation and one or more of the following

apply:

(

i) the non-compliance creates a risk of harm to a participant,

(ii) the non-compliance creates a risk of harm to the broader financial

system,

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

(iv) the non-compliance may have an impact on the ability of the

clearing agency to carry on business in compliance with securities

legislation,

(

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

clearing agency, and individuals acting on its behalf, with securities

legislation and submit the report to the board of directors,

(

e) report to the clearing agency's board of directors as soon as practicable

upon becoming aware of a conflict of interest that creates a risk of harm

to a participant or to the capital markets, and

(

f) concurrently with submitting a report under paragraphs (c), (

d) or (e),

file a copy of such report with the securities regulatory authority.

Board or advisory committees

4.4

(1) The board of directors of a recognized clearing agency must, at a minimum,

establish and maintain committees on risk management, finance and audit.

(2) If a committee is a board committee, it must be chaired by a sufficiently

knowledgeable individual who is independent of the clearing agency.

(3) Subject to subsection (4), a committee must have an appropriate representation by

individuals who are independent of the clearing agency.

(4) An audit or risk committee must have an appropriate representation by individuals

who are

(

a) independent of the clearing agency, and

(

b) not employees or executive officers of a participant or their immediate

family members.

Division 2 - Default management:

Use of own capital

4.5 A recognized clearing agency that operates as a central counterparty must

dedicate and use a reasonable portion of its own capital to cover losses resulting from

one or more participant defaults.

Division 3 - Operational risk:

Systems requirements

4.6 For each system operated by or on behalf of a recognized clearing agency that

supports the clearing agency's clearing, settlement and depository functions, the

clearing agency must

(

a) develop and maintain

(

i) an adequate system of internal controls over that system, and

(ii) adequate information technology general controls, including,

without limitation, controls relating to information systems

operations, information security, 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 that

system to process transactions in an accurate, timely and efficient

manner, and

(

c) promptly notify the regulator or, in Qu‚bec, the securities regulatory

authority of any material systems failure, malfunction, delay or security

breach, and provide timely updates on the status of the failure,

malfunction, delay or security breach, the resumption of service, and the

results of the clearing agency's internal review of the failure,

malfunction, delay or security breach.

Systems reviews

4.7

(1) A recognized clearing agency must annually engage a qualified party to

conduct an independent systems review and vulnerability assessment and prepare a

report in accordance with established audit standards and best industry practices to

ensure that the clearing agency is in compliance with paragraph 4.6(

a) and

section

4.9.

(2) The clearing agency must provide the report resulting from the review conducted

under subsection (1) to

(

a) its board of directors, or audit committee, promptly upon the report's

completion, and

(

b) the regulator or, in Qu‚bec, the securities regulatory authority, by the

earlier of the 30th day after providing the report to its board of directors

or the audit committee or the 60th day after the calendar year end.

Clearing agency technology requirements and testing facilities

4.8

(1) A recognized clearing agency must make available to participants, in their

final form, all technology requirements regarding interfacing with or accessing the

clearing agency

(

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.

(2) After complying with subsection (1), the clearing agency must make available

testing facilities for interfacing with or accessing the clearing agency

(

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.

(3) The clearing agency must not begin operations before

(

a) it has complied with paragraphs (1)(

a) and (2)(a), and

(

b) the chief information officer of the clearing agency, or an individual

performing a similar function, has certified in writing to the regulator or,

in Qu‚bec, the securities regulatory authority, that all information

technology systems used by the clearing agency have been tested

according to prudent business practices and are operating as designed.

(4) The clearing agency must not implement a material change to the systems referred

to in

section 4.6 before

(

a) it has complied with paragraphs (1)(

b) and (2)(b), and

(

b) the chief information officer of the clearing agency, or an individual

performing a similar function, has certified in writing to the regulator or,

in Qu‚bec, the securities regulatory authority, that the change has been

tested according to prudent business practices and is operating as

designed.

(5) Subsection (4) does not apply to the clearing agency if the change must be made

immediately to address a failure, malfunction or material delay of its systems or

equipment and if

(

a) the clearing agency immediately notifies the regulator or, in Qu‚bec, the

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

(

b) the clearing agency discloses to its participants the changed technology

requirements as soon as practicable.

Testing of business continuity plans

4.9 A recognized clearing agency must

(

a) develop and maintain reasonable business continuity plans, including

disaster recovery plans, and

(

b) test its business continuity plans, including its disaster recovery plans,

according to prudent business practices and on a reasonably frequent

basis and, in any event, at least annually.

Outsourcing

4.10 If a recognized clearing agency outsources a critical service or system to a

service provider, including to an affiliated entity of the clearing agency, the clearing

agency must do all of the following:

(

a) establish, implement, maintain and enforce written policies and

procedures to conduct suitable due diligence for selecting service

providers to which a critical service and system may be outsourced and

for the evaluation and approval of those outsourcing arrangements;

(

b) identify any conflicts of interest between the clearing agency and the

service provider to which a critical service and system is outsourced, and

establish, implement, maintain and enforce written policies and

procedures to mitigate and manage those conflicts of interest;

(

c) enter into a written contract with the service provider to which a critical

service or system is outsourced that

(

i) is appropriate for the materiality and nature of the outsourced

activities,

(ii) includes service level provisions, and

(iii) provides for adequate termination procedures;

(

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

to the outsourced activities;

(

e) ensure that the securities regulatory authority has the same access to all

data, information and systems maintained by the service provider on

behalf of the clearing agency that it would have absent the outsourcing

arrangements;

(

f) ensure that all persons conducting audits or independent reviews of the

clearing agency under this Instrument have appropriate access to all

data, information and systems maintained by the service provider on

behalf of the clearing agency that such persons would have absent the

outsourcing arrangements;

(

g) take appropriate measures to determine that the service provider to

which a critical service or system is outsourced establishes, maintains

and periodically tests an appropriate business continuity plan, including

a disaster recovery plan;

(

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

clearing agency's proprietary information and participants' confidential

information, including taking measures to protect information from loss,

thefts, vulnerabilities, threats, unauthorized access, copying, use and

modification, and discloses it only in circumstances where legislation or

an order of a court or tribunal of competent jurisdiction requires the

disclosure of such information;

(

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

procedures to monitor the ongoing performance of the service provider's

contractual obligations under the outsourcing arrangements.

Division 4 - Participation requirements:

Access requirements and due process

4.11

(1) A recognized clearing agency must not

(

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

to the services offered by the clearing agency,

(

b) unreasonably discriminate among its participants or indirect participants,

(

c) impose any burden on competition that is not reasonably necessary and

appropriate,

(

d) unreasonably require the use or purchase of another service for a person

or company to utilize the clearing agency's services offered by it, and

(

e) impose fees or other material costs on its participants that are unfairly or

inequitably allocated among the participants.

(2) For any decision made by the clearing agency that terminates, suspends or restricts

a participant's membership in the clearing agency or that declines entry to

membership to an applicant that applies to become a participant, the clearing agency

must ensure that

(

a) the participant or applicant is given an opportunity to be heard or make

representations, and

(

b) it keeps records of, gives reasons for, and provides for reviews of its

decisions, including, for each applicant, the reasons for granting access

or for denying or limiting access to the applicant, as the case may be.

(3) Nothing in subsection (2) limits or prevents the clearing agency from taking

timely action in accordance with its rules and procedures to manage the default of one

or more participants or in connection with the clearing agency's recovery or orderly

wind-down, whether or not such action adversely affects a participant.

PART 5

BOOKS AND RECORDS AND LEGAL ENTITY IDENTIFIER

Books and records

5.1

(1) A recognized clearing agency or exempt clearing agency must keep books,

records and other documents as are necessary to account for the conduct of its

clearing, settlement and depository activities, business transactions and financial

affairs and must keep those other books, records and documents as may otherwise be

required under securities legislation.

(2) The clearing agency must retain the books and records maintained under this

section

(

a) for a period of seven years from the date the record was made or

received, whichever is later,

(

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

(

c) in a manner that permits them to be provided promptly to the securities

regulatory authority.

Legal Entity Identifier

5.2

(1) In this section,

"Global Legal Entity Identifier System" means the system for unique

identification of parties to financial transactions developed by the LEI

Regulatory Oversight Committee, and

"LEI 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.

(2) For the purposes of any recordkeeping and reporting requirements required under

securities legislation, a recognized clearing agency or exempt clearing agency must

identify itself by means of a single legal entity identifier assigned to the clearing

agency in accordance with the standards set by the Global Legal Entity Identifier

System.

(3) If the Global Legal Entity Identifier System is unavailable to the clearing agency,

all of the following apply:

(

a) the clearing agency must obtain a substitute legal entity identifier that

complies with the standards established by the LEI Regulatory Oversight

Committee for pre-legal entity identifiers;

(

b) the clearing agency must use the substitute legal entity identifier until a

legal entity identifier is assigned to the clearing agency in accordance

with the standards set by the Global Legal Entity Identifier System;

(

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 Legal

Entity Identifier System, the clearing agency must ensure that it is

identified only by the assigned identifier.

PART 6

EXEMPTIONS

Exemption

6.1

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

from the provisions of this Instrument, in whole or in part, subject to such conditions

or restrictions as may be imposed in the exemption.

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

(3) Except in Ontario, an exemption referred to in subsection (1) is granted under the

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

Definitions opposite

the name of the local jurisdiction.

PART 7

EFFECTIVE DATE AND TRANSITION

Effective date and transition

7.1

(1) This Instrument comes into force on February 17, 2016.

(2) Despite

section 3.1, until December 31, 2016, a recognized clearing agency is not

required to implement rules, procedures, policies or operations designed to ensure that

a recognized clearing agency meets or exceeds the following:

(

a) PFMI Principle 14;

(

b) key consideration 4 of PFMI Principle 3 and key consideration 3 of

PFMI Principle 15 with respect to a clearing agency's recovery and

orderly wind-down plans; and

(

c) PFMI Principle 19.

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

Registrar of Regulations after February 17, 2016, these regulations come into force on

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

FORM 24-102F1

CLEARING AGENCY SUBMISSION TO

JURISDICTION AND APPOINTMENT OF

AGENT FOR SERVICE OF PROCESS

1. Name of clearing agency (the "Clearing Agency"):

____________________________________________________________

2. Jurisdiction of incorporation, or equivalent, of Clearing Agency:

____________________________________________________________

3. Address of principal place of business of Clearing Agency:

____________________________________________________________

4. Name of the agent for service of process (the "Agent") for the Clearing

Agency:

____________________________________________________________

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

____________________________________________________________

6. The __________________ [name of securities regulatory authority]

("securities regulatory authority") issued an order recognizing the Clearing

Agency as a clearing agency pursuant to securities legislation, or the securities

regulatory authority issued an order exempting the Clearing Agency from the

requirement to be recognized as a clearing agency pursuant to such legislation,

on ____________.

7. The Clearing Agency 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

Clearing Agency in ______________ [province of local jurisdiction]. The

Clearing Agency hereby irrevocably waives any right to challenge service upon

its Agent as not binding upon the Clearing Agency.

8. The Clearing Agency agrees to unconditionally and irrevocably attorn to the

non-exclusive jurisdiction of (

i) the courts and administrative tribunals of

______________ [name of 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

Clearing Agency in ______________ [name of local jurisdiction].

9. The Clearing Agency must file a new submission to jurisdiction and

appointment of agent for service of process in this form at least 30 days before

the Clearing Agency ceases to be recognized or exempted by the securities

regulatory authority, to be in effect for six years from the date it ceases to be

recognized or exempted unless otherwise amended in accordance with

section

10. Until six years after it has ceased to be a recognized or exempted by the

securities regulatory authority, the Clearing Agency must file an amended

submission to jurisdiction and appointment of agent for service of process at

least 30 days before any change in the name or above address of the Agent.

11. The Clearing Agency agrees that this submission to jurisdiction and

appointment of agent for service of process is to be governed by and construed

in accordance with the laws of ______________ [name of local jurisdiction].

Dated: _________________________________

______________________________

Signature of the Clearing Agency

______________________________

Print name and title of signing officer

of the Clearing Agency

AGENT

CONSENT TO ACT AS AGENT FOR SERVICE

I, ______________________________________ [name of Agent in full; if a

corporation, full corporate name] of ______________________________________

[business address], hereby accept the appointment as agent for service of process of

______________________________________ [insert name of Clearing Agency] and

hereby consent to act as agent for service pursuant to the terms of the appointment

executed by ______________________________________ [insert name of Clearing

Agency] on ______________________________________ [insert date].

Dated: ________________________________

______________________________

Signature of Agent

______________________________

Print name of person signing and, if

Agent is not an individual, the title of

the person

FORM 24-102F2

CESSATION OF OPERATIONS REPORT FOR CLEARING AGENCY

1. Identification:

A. Full name of the recognized or exempted clearing agency:

B. Name(

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

2. Date clearing agency proposes to cease carrying on business as a clearing

agency:

3. If cessation of business was involuntary, date clearing agency has ceased to

carry on business as a clearing agency:

Exhibits

File all exhibits with the Cessation of Operations Report. For each exhibit, include the

name of the clearing agency, 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 exhibit

required is inapplicable, a statement to that effect must be provided instead of the

exhibit.

Exhibit A

The reasons for the clearing agency ceasing to carry on business as a clearing agency.

Exhibit B

A list of all participants in Canada during the last 30 days prior to ceasing business as

a clearing agency.

Exhibit C

A description of the alternative arrangements available to participants in respect of the

services offered by the clearing agency immediately before the cessation of business

as a clearing agency.

Exhibit D

A description of all links the clearing agency had immediately before the cessation of

business as a clearing agency with other clearing agencies or trade repositories.

CERTIFICATE OF CLEARING AGENCY

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

DATED at ________________ this ________ day of _________________ 20 _____

_________________________

(Name of clearing agency)

_________________________

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

_________________________

(Signature of director, officer or partner)

_________________________

(Official capacity - please type or print)

Treasury Board and Finance

Insurance Notice

(Insurance Act)

Effective January 1, 2016, The North Waterloo Farmers Mutual Insurance Company

changed its name to Heartland Farm Mutual Inc.

David Sorensen

Deputy Superintendent of Insurance.

Workers' Compensation Board

2016 Premium Rates

Sector Index

(Workers' Compensation Act)

Rate

Premium

Group

Industry

Industry Title

Rate

Notes

Sector 1 - Agriculture and Forestry

Beef Producers

2.97

Feed Lots

2.97

Livestock Auctions/Stockyards

2.97

Dairy Farms

2.97

Elk/Bison Producers

2.97

Llama/Alpaca Producers

2.97

Riding Academies/Horse Stables

2.97

Hog Producers

1.75

Poultry/Egg Producers

1.75

Goat/Sheep Producers

1.75

Fishing/Fish or Fur Farms

1.75

Apiaries

1.75

Hay/Grain/Crop Farming

2.25

Harvesting/Baling - Custom

2.25

Forage & Peat Moss Processing

2.25

Greenhouses/Market Gardens

1.70

Mushroom Producers/Bait Farms

1.70

Agri-Tourism Farms

1.70

ADVERTISEMENTS

Notice of Certificate of Intent to Dissolve

(Business Corporations Act)

Notice is hereby given that a Certificate of Intent to Dissolve was issued to Sarus

Energy Ltd. on January 19, 2016.

Dated at Calgary, Alberta on January 19, 2016.

Jonathan D. Warren, Warren Benson Amantea LLP.

_______________

Notice is hereby given that a Certificate of Intent to Dissolve was issued to Solar

Construction Co. Ltd. on January 12, 2016.

Dated at Edmonton, Alberta on January 28, 2016.

Ross Nelson, Director.

Notice of Liquidation

Loric Glass Ltd.

(Business Corporations Act)

TAKE NOTICE that Grant Thornton Limited (the "Liquidator") has been appointed

as Liquidator of Loric Glass Ltd. operating as an outsourced sales service for

manufacturers in Edmonton (the "Company") by Order of Court of Queen's Bench of

Alberta dated January 18, 2016 in Action Number 1503 17989, Judicial District of

Edmonton.

All persons having claims against the Company, whether liquidated, unliquidated,

future or contingent, are required to present particulars of such claim in writing to the

Liquidator along with copies of any supporting documentation of such claim not later

than March 4, 2016. All such claims and supporting documentation shall be provided

by personal delivery, fax or email to the Liquidator, a copy of the Proof of Claim

form can be found on the liquidator website at

http://www.grantthornton.ca/services/reorg/bankruptcy_and_insolvency/loric.

Provided that nothing in this Notice shall preclude the Liquidator from disallowing all

or any portion of any claim submitted or from seeking additional clarification or

documentation with respect to any such claim.

All persons who are indebted to the Company are hereby required to pay to the

Liquidator an amount equating to such indebtedness. Such payments are to be

directed to the Liquidator no later than thirty days after the publication of this Notice.

Nothing in the Notice shall limit or preclude the Liquidator from asserting that a

person is indebted to the Company for a sum in excess of that asserted or paid by that

person in response to this Notice. Payment to any other party will not discharge your

liability to the Company.

All persons possessing any property of the Company are, subject to the remaining

provisions of this paragraph, required to deliver such property to the Liquidator on or

before thirty days after the publication of this Notice. Prior to delivering any such

property, any person in the possession of property of the Company is to provide seven

day written notice to the Liquidator by way of personal delivery or fax

communication. Such notice shall briefly describe the property of the Company

which is in possession of the person giving the notice and shall include a return

address, phone number, fax number or email address of the person giving notice. The

Liquidator may in its absolute discretion provide to the person giving notice

alternative directions or instructions with respect to delivery of the property.

All payments, notices and deliveries to the Liquidator shall be directed to the

Liquidator at Grant Thornton Limited, 1701 Scotia Place II, 10060 Jasper Avenue,

Edmonton, AB, T5J 3R8, Fax No. 780-426-3208, Attention: Mr. David Lewis.

Dated at Edmonton, Alberta on January 27th, 2016.

Grant Thornton Limited, In its capacity as Liquidator of Loric Glass Ltd.

Public Sale of Land

(Municipal Government Act)

City of Lethbridge

Notice is hereby given that under the provisions of the Municipal Government Act,

the City of Lethbridge will offer for sale, by public auction, in the Culver City Room

(Room 147) on the main floor of City Hall, 910 4 Avenue South, Lethbridge, Alberta,

on Thursday, April 7, 2016, at 11:00 a.m., the following parcels of land:

Plan

Block

Lot/Unit

Civic Address

18 Couleesprings Pl S

2478R

33,34

1015 12B St S

4353S

1,2

1402 2 Ave S

384B

40-42

809 7 Ave S

813 Blackfoot Terr W

10 Mt Blakiston Pl W

300 Bridge Dr W

5329JK

320 Bridge Dr W

800 Canyonview Close W

15 Chilcotin Lane W

305-420 Columbia Blvd W

206-440 Columbia Blvd W

22 Columbia Pl W

27 Dakota Rd W

26 Heritage Close W

3 Mt Sundial Bay W

21 Robin Rd N

8480GQ

625 Stafford Dr N

1044AI

13,14

1116 Stafford Dr N

1706 St Edward Blvd N

99 Jessie Robinson Close

6212GP

1119 7 St N

406R

22,23

702 12B St N

4863IA

1207 12B St N

406R

31,32

807 12C St N

2932AA

21,22

1818 4 Ave N

3365Y

10,11

1722 5A Ave N

4-4002 9 Ave N

Each property will be offered for sale subject to a reserve bid and to the following

The properties are being offered for sale on an "as is, where is" basis and the City of

Lethbridge makes no representation and gives no warranty whatsoever as to the

adequacy of services, soil conditions, zoning, building and development conditions,

absence or presence of environmental contamination, vacant possession, or the

development potential of the lands for any intended use by the successful bidder.

The successful bidder has a right to a clear title with some exceptions.

Section

423(1)(

a) to (

h) of the MGA states "a person who purchases a parcel of land at a

public auction acquires the land free of all encumbrances, except (

a) encumbrances

arising from claims of the Crown in right of Canada, (

b) irrigation of drainage

debentures, (

c) caveats referred to in

section 39(12) of the Condominium Property

Act, (

d) registered easements and instruments registered pursuant to

section 69 of the

Land Titles Act, (

e) right of entry orders as defined in the Surface Rights Act

registered under the Land Titles Act, (

f) a notice of lien filed pursuant to

section 38 of

the Rural Utilities Act, (

g) a notice of lien filed pursuant to

section 20 of the Rural

Electrification Loan Act, and (

h) liens registered pursuant to

section 21 of the Rural

Electrification Long-term Financing Act."

The purchaser of the property will be responsible for property taxes for the current

year.

The successful bidder must, at the time of the sale, make a non-refundable ten

percent (10%) deposit payable to the municipality, with the balance of the purchase

price due on closing date.

Closing date for all sales will be fourteen (14) days after Auction Date.

Goods and Services Tax (GST) will apply to all vacant parcels of land sold at the

Public Auction.

No terms or conditions of the sale will be considered other than those specified by the

municipality.

Payments by cash, certified cheque or bank draft only. Vendor financing or financing

using third party mortgages or encumbrances upon the purchased lands, or other

similar financing arrangements, cannot be accommodated.

The auctioneer, councilors, the chief administrative officer and the designated officers

and employees of the municipality must not bid or buy any property offered for sale,

unless directed by the municipality to bid for or buy a parcel of land on behalf of the

municipality.

If no offer is received on a property or if the reserve bid is not met, the property

cannot be sold at the public auction.

Once the property is declared sold to another individual at public auction the previous

owner has no further right of possession by paying the tax arrears.

The risk of the property lies with the purchaser immediately following the auction.

The purchaser will be required to execute a Sale Agreement in form and substance

provided by the municipality.

The purchaser is responsible for obtaining vacant possession.

The purchaser will be responsible for the transfer registration fee.

The City of Lethbridge may, after the public auction, become the owner of any

property that is not sold at the public auction.

A property will be removed from the Public Auction if payment of all arrears of taxes

and costs occurs at any time prior to the sale.

Dated at Lethbridge, Alberta, February 13, 2016.

Stan Dilworth, Assessment and Taxation Manager.

City of St. Albert

Notice is hereby given that under the provisions of the Municipal Government Act,

the City of St. Albert will offer for sale, by public auction, in the Douglas Cardinal

Boardroom, Third Floor, St. Albert Place, 5 St. Anne Street, St. Albert, Alberta, on

Tuesday, April 12, 2016, at 2:00 p.m., the following lands:

Lot or

Unit

Block

Plan

4708RS

2924TR

Each parcel of land offered for sale will be subject to a reserve bid and to the

reservations and conditions contained in the existing certificate of title. Redemption

of a parcel of land offered for sale may be effected by certified payment of all arrears

of taxes, penalties and costs at any time prior to the date of the Public Auction.

Terms: 10% deposit and balance payable within 30 days of the date of the Public

Auction. G.S.T. will apply to all applicable lands.

The City of St. Albert may, after the public auction, become the owner of any parcel

of land that is not sold at the public auction.

The lands are being offered for sale on an "as is, where is" basis and the City of St.

Albert makes no representation and gives no warranty whatsoever as to the adequacy

of services, soil conditions, land use districting, building and development conditions,

absence or presence of environmental contamination, vacant possession, or the

developability of the lands for any intended use by the successful bidder. No bid will

be accepted where the bidder attempts to attach conditions to the sale of any parcel of

City of St. Albert. The minimum reserve bid cannot be lower than the market value

estimate predetermined by the City Assessor. The successful bidder shall be required

to execute a Sale Agreement in a form and substance acceptable to The City of St.

Albert. No further information is available at the auction regarding the lands to be

sold.

Dated at St. Albert, Alberta, January 26, 2016.

Director, Assessment and Taxation Services.

Regional Municipality of Wood Buffalo

Notice is hereby given that under the provisions of the Municipal Government Act,

The Regional Municipality of Wood Buffalo will offer for sale, by public auction, in

the Jubilee Center, 4th Floor Boardroom, 9909 Franklin Avenue, Fort McMurray,

Alberta, on Thursday, March 31, 2016, at 10:00 a.m., the following lands:

Plan

Blk

Lot

Unit

Certificate

of Title

Number

Reserve

Bid

Location

Unit 501

233,560

Fort McMurray

Unit 93

320,000

Fort McMurray

Unit 22

59,440

Fort McMurray

Unit 352

289,900

Fort McMurray

2274NY

637,410

Fort McMurray

1268NY

869,330

Fort McMurray

1268NY

574,080

Fort McMurray

1268NY

574,080

Fort McMurray

1268NY

574,110

Fort McMurray

1268NY

574,100

Fort McMurray

591,700

Fort McMurray

705,470

Fort McMurray

571,060

Fort McMurray

531,940

Fort McMurray

617,740

Fort McMurray

Unit 8

439,900

Fort McMurray

854,490

Fort McMurray

942,970

Fort McMurray

640,450

Fort McMurray

871,100

Fort McMurray

84,670

Fort Chipewyan

84,850

Fort Chipewyan

95,600

Janvier

99,690

Janvier

298,650

Conklin

400,340

Fort McMurray

367,880

Fort McMurray

The parcel will be offered for sale subject to a reserve bid and to the reservation and

conditions contained in the existing certificate of title.

The land is being offered for sale on an "as is, where is" basis, and the Regional

Municipality of Wood Buffalo makes no representation and gives no warranty

whatsoever as to the adequacy of services, soil condition, land use districting,

building and development conditions, absence or presence of environmental

contamination, or the develop ability of the subject land for any intended use by the

purchaser. No bid will be accepted where the bidder attempts to attach conditions

precedent to the sale of any property. No further information is available at the

auction regarding the lands to be sold.

Terms: Cash, Bank Draft or Certified Cheque made payable to the Regional

Municipality of Wood Buffalo.

The Regional Municipality of Wood Buffalo may, after the public auction, become

the owner of any parcel of land that is not sold at the public auction.

Redemption may be effected by payment of all arrears of taxes and costs at any time

prior to the sale.

If you have any inquiries regarding the above parcels of land, please contact us at

780-743-7819 or 780-743-7901.

Dated at Fort McMurray, Alberta, February 1, 2016.

Helen Baxter/Aasma Amin, Assessment and Taxation Department

Regional Municipality of Wood Buffalo.

______________

Town of Coalhurst

Notice is hereby given that under the provisions of the Municipal Government Act,

the Town of Coalhurst will offer for sale, by public auction, in the Council Chambers,

Town Administration Building, located at 100 - 51 Avenue, Coalhurst, Alberta, on

Thursday, March 31, 2016, at 10:00 a.m., the following lands:

Lot

Block

Plan

The parcel will be offered for sale subject to a reserve bid and to the reservations and

conditions contained in the existing Certificate of Title.

The land is being offered for sale on an "as is, where is" basis and the Town of

Coalhurst makes no representation and gives no warranty whatsoever as to the

adequacy of services, soil conditions, land use districting, building and development

conditions, absence or presence of environmental contamination, vacant possession or

the developability of the subject land for any intended use by the Purchaser.

No bid will be accepted where the bidder attempts to attach conditions precedent to

those specified by the Town of Coalhurst. No further information is available at the

auction regarding the lands to be sold.

The Town of Coalhurst may, after the public auction, become the owner of any parcel

of land not sold at the public auction.

Terms: 10% deposit by way of cash, bank draft or certified cheque, made payable to

the Town of Coalhurst, on date of public auction, with final payment to be received

within 30 days, by bank draft or certified cheque, made payable to the Town of

Coalhurst. Failure to pay the balance within the specified time will result in the

forfeit of the deposit and the Town will consider the next bid. The above property

may be subject to G.S.T.

Redemption may be effected by payment of all arrears of taxes and costs at any time

prior to the sale.

Dated at Coalhurst, Alberta, January 25, 2016.

Kyle Bullock, Director of Corporate Services.

______________

Town of Morinville

Notice is hereby given that, under the provisions of the Municipal Government Act,

the Town of Morinville will offer for sale, by public auction, at St. Germain Place,

10125 - 100 Avenue, Morinville, Alberta, in the Council Chambers on Tuesday,

March 29, 2016, at 2:30 p.m., the following lands:

Roll

Legal Description

Lot 60 Block 5 Plan 7920204

The lands are being offered for sale on an "as is, where is" basis, and the Town of

Morinville makes no representation and gives no warranty whatsoever as to the

adequacy of services, soil conditions, land use districting, building and development

conditions, absence or presence of environmental contamination, or the develop

ability of the subject lands for any intended use by the Purchaser.

The parcels will be offered for sale subject to a reserve bid, and to the reservations

and conditions contained in the existing certificate of title.

The Town of Morinville may, after the public auction, become the owner of any

parcel of land that is not sold at the public auction.

Terms: payment in Cash, Bank Draft or Certified Cheque. 10% deposit and balance

within 30 days of date of Public Auction. GST may apply.

Redemption may be effected by payment of all arrears of taxes and costs at any time

prior to the sale.

Dated at Morinville, Alberta, January 19, 2016.

Andrew Isbister, Interim Chief Administration Officer.

______________

Town of Taber

Notice is hereby given that, under the provisions of the Municipal Government Act,

the Town of Taber will offer for sale, by public auction, in the Council Chambers,

Town Administration Building, A - 4900 50 Street, Taber, Alberta, on Wednesday,

March 30, 2016, at 10:00 a.m., the following parcels of land:

Lot

Block

Plan

C of T

10, 11, 12

575T

This land is being offered for sale on an "as is, where is" basis. The Town of Taber

makes no representation and gives no warranty whatsoever as to the adequacy of

services, soil conditions, land use districting, building and development conditions,

absence or presence of environmental contamination, or the developability of the

subject land for any intended use by the purchaser.

Each parcel will be offered for sale subject to a reserve bid, and to the reservations

and conditions contained in the Certificate of Title that applies to that parcel.

Terms: 10% cash deposit, balance within forty-five (45) working days.

The Town of Taber may, after the public auction, become the owner of any parcel of

land that is not sold at the public auction.

If tax arrears are paid on any of these parcels of land prior to the auction, that parcel

will be removed from the auction list. If the auction is cancelled as a result of all tax

arrears being paid, the Town of Taber will post a notice in the Town Administration

Building foyer.

Dated at Taber, Alberta, February 1, 2016.

Greg Birch, Chief Administrative Officer.

Town of Vermilion

Notice is hereby given that, under the provisions of the Municipal Government Act,

the Town of Vermilion will offer for sale, by public auction, in the Town Hall, 5021 -

49th Avenue, Vermilion, Alberta, on Tuesday, March 29, 2016, at 1:00 p.m., the

following land:

Lot

Block

Plan

Civic Address

Certificate of

Title

635V

4715 55 Avenue

5728 Park Drive

Each parcel will be offered for sale, subject to a reserve bid and to the reservations

and conditions contained in the existing certificate of title.

The land is being offered for sale on an "as is, where is" basis, and the Town makes

no representation and gives no warranty whatsoever as to the adequacy of services,

soil conditions, land use districting, building and development conditions, absence or

presence of environmental contamination, vacant possession, or the developability of

the subject land for any intended use by the Purchaser. No bid will be accepted where

the bidder attempts to attach conditions precedent to the sale of any parcel. No terms

and conditions of sale will be considered other than those specified by the Town.

The Town of Vermilion may, after the public auction, become the owner of any

parcel of land not sold at the public auction.

Terms: Cash, or Certified Cheque.

Redemption may be effected by payment of all arrears of taxes and costs at any time

prior to the sale.

Dated at Vermilion, Alberta, February 2, 2016.

______________

Village of Chipman

Notice is hereby given that, under the provisions of the Municipal Government Act,

the Village of Chipman will offer for sale, by public auction, in the Village

Administration Office, 4816-50 Street, Chipman, Alberta, on Monday, April 11,

2016, at 10:00 a.m., the following lands:

Lot(

s) Block

Plan

1 & 2

5250-Q

5250-Q

Pt NE-30-54-18-4 containing 0.413 Hectares

(1.02 Acres) more or less.

Each parcel of land will be offered for sale subject to a reserve bid and to the

reservations and conditions contained in the existing certificate of title.

The land is being offered for sale on an "as is, where is" basis and the Village of

Chipman makes no representation and gives no warranty whatsoever as to the

adequacy of services, soil conditions, land use districting, building and development

conditions, absence or presence of environmental contamination, or the developability

of the subject land for an intended use by the purchaser. No bid will be accepted

where the bidder attempts to attach conditions precedent to the sale of any parcel. No

Village. No further information is available at the auction regarding the lands to be

sold.

The Village may, after the public auction, become the owner of any property or parcel

of land that is not sold at the public auction.

Terms: Cash

Redemption may be effected by payment of all arrears of taxes and costs at any time

prior to the sale.

Dated at Chipman, Alberta, January 11, 2016.

Pat Tomkow, Administrator.

NOTICE TO ADVERTISERS

The Alberta Gazette is issued twice monthly, on the 15th and last day.

Notices and advertisements must be received ten full working days before the

date of the issue in which the notices are to appear. Submissions received after

that date will appear in the next regular issue.

Notices and advertisements should be typed or written legibly and on a sheet separate

from the covering letter. An electronic submission by email or disk is preferred.

Email submissions may be sent to the Editor of The Alberta Gazette at

albertagazette@gov.ab.ca. The number of insertions required should be specified and

the names of all signing officers typed or printed. Please include name and complete

contact information of the individual submitting the notice or advertisement.

Proof of Publication: Statutory Declaration is available upon request.

A copy of the page containing the notice or advertisement will be emailed to each

advertiser without charge.

The dates for publication of Tax Sale Notices in The Alberta Gazette are as follows:

Issue of

Earliest date on which

sale may be held

February 29

April 10

March 15

April 25

March 31

May 11

April 15

May 26

April 30

June 10

May 14

June 24

May 31

July 11

June 15

July 26

June 30

August 10

July 15

August 25

July 30

September 9

August 15

September 25

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