Alberta Gazette, Part I — Tuesday, May 31, 2022
Tuesday, May 31, 2022
Alberta — Gazette
The Alberta Gazette
Part I
Vol. 118 Edmonton, Tuesday, May 31, 2022 No. 10
APPOINTMENTS
Appointment of Provincial Court Judge
(Provincial Court Act)
May 9, 2022
Barry Lorne Nordin
Reappointment of Full-time Provincial Court Judge
(Provincial Court Act)
May 19, 2022
Honourable Judge Jerry Neil LeGrandeur
For a term to expire May 18, 2023.
Reappointment of Part-time Provincial Court Judge
(Provincial Court Act)
May 11, 2022
Honourable Judge Gordon William James Paul
For a term to expire May 10, 2023.
GOVERNMENT NOTICES
Agriculture, Forestry and Rural Economic Development
Form 15
(Irrigation Districts Act)
(Section 88)
Notice to Irrigation Secretariat:
Change of Area of an Irrigation District
On behalf of the St. Mary River Irrigation District, I hereby request that the
Irrigation Secretariat forward a certified copy of this notice to the Registrar of Land
Titles for the purposes of registration under
section 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
0023 473 069
4;18;8;27;SE
921 219 660 +1
I certify the procedures required under
part 4 of the Irrigation Districts Act have been
completed and the area of the St. Mary River Irrigation District should be changed
according to the above list.
Rebecca Fast, Office Administrator,
Irrigation Secretariat.
Education
Ministerial Order No. 002/2022
(Education Act)
I, Adriana LaGrange, Minister of Education, pursuant to
Section 114 of the
Education Act, make the Order in the attached Appendix, being The Mayvrille
School District No. 1717 (The Clearview School Division) Correction Order.
Dated at Edmonton, Alberta, May 3, 2022.
Adriana LaGrange, Minister.
APPENDIX
The Mayvrille School District No. 1717 (The Clearview School Division)
Correction Order
WHEREAS, such lands specifically Township 38, Range 17, West of the
4th Meridian, Sections 18 and 19 and North half of
Section 7, and specifically
Township 38, Range 18, West of the 4th Meridian, East half of
Section 13 and
Northeast quarter of
Section 12, have been identified as previously being transferred
to The Mayvrille School District No. 1717 on December 15, 1953;
AND
WHEREAS
Section 114 of the Education Act permits the adding or taking of
lands from a public school district, separate school district or school division;
AND
WHEREAS such lands specifically Township 38, Range 17, West of the
4th Meridian, Sections 18 and 19 and North half of
Section 7, and specifically
Township 38, Range 18, West of the 4th Meridian, East half of
Section 13 and
Northeast quarter of
Section 12, were incorrectly transferred to The Mayvrille School
District No. 1717;
AND
WHEREAS the boundaries of The Mayvrille School District No. 1717 require
to be accurately described.
THEREFORE, I do hereby order that
1 Ministerial Order dated December 10, 1953 is repealed.
2 The Mayvrille School District No. 1717 shall be comprised of the following
lands:
Township 38, Range 18, West of the 4th Meridian
Sections 14 to 17 inclusive; Sections 20 to 24 inclusive; North halves of Sections
9 to 11 inclusive; West half of
Section 13; South halves of Sections 26 to 29
inclusive; Northwest quarter of
Section 12.
3 This order shall be effective upon signing.
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 has withdrawn as a party to the agreement entitled "Red
Earth Slave Point Agreement No. 2" effective February 28, 2022.
Stacey Szeto, 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 - Cygnet Duvernay
Agreement No. 40" and that the Unit became effective on July 1, 2021.
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 - Cygnet Duvernay
Agreement No. 42" and that the Unit became effective on July 1, 2021.
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 - Ferrybank Falher
Agreement" and that the Unit became effective on March 1, 2021.
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 - Ferrybank Falher
Agreement No. 2" and that the Unit became effective on March 1, 2021.
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 - Leduc-Woodbend
Sparky Agreement No. 2" and that the Unit became effective on November 1, 2021.
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 - Lloydminster Sparky
Agreement No. 6" and that the Unit became effective on August 1, 2021.
Environment and Parks
Notice of Revised Specified Gas Reporting Standard
The revised Specified Gas Reporting Standard has been released for the 2021
emissions reporting period.
This letter is to inform you of the release of the revised Specified Gas Reporting
Standard to be used for 2021 reporting under the Specified Gas Reporting Regulation
(SGRR).
The amended standard (May 2022, Version 14.0) is available on the department's
web site at: https://www.alberta.ca/specified-gas-reporting-regulation.aspx.
A facility that meets or exceeds 10,000 tonnes of CO2 equivalent emissions must
submit a Specified Gas Report to Alberta Environment and Parks through ECCC's
Single Window Information Management (SWIM) system. The link to the system is
provided at: https://ec.ss.ec.gc.ca/.
The Specified Gas Report must be submitted in accordance with the requirements set
out in the Specified Gas Reporting Regulation and Specified Gas Reporting Standard
as stated in sections 3(1)(a), and 3(2). The report for the 2021 period must be
submitted by no later than June 1, 2022.
Please send an email to our general inbox if you have any questions:
AEP.GHG@gov.ab.ca.
Infrastructure
Sale or Disposition of Land
(Government Organization Act)
Name of Purchaser: Melliott Holdings Ltd. & 1675070 Alberta Inc.
Consideration: $700,000.00
Land Description: Plan 1921034; Block 1; Lot 1
Excepting thereout all mines and minerals
Area: 3.79 hectares (9.37 acres) more or less
Name of Purchaser: Town of Rocky Mountain House
Consideration: $1.00
Land Description: Plan 8022518; Block 1; Lot 2MR (Municipal Reserve)
Excepting thereout all mines and minerals
Area: 0.314 hectares (0.78 acres) more or less
Justice and Solicitor General
Designation of Qualified Technician Appointment
(Intox EC/IR II)
Royal Canadian Mounted Police, Traffic Services "K" Division
Amponsah, George Ayim
Bergeron, Lara
Clayton, Sabrina Nadine
Dewan, Sidharth
Dhinsay, Paul Singh
Frampton, Luke Sean Randall
Kok, Jordan Andrew
Kornicki, Cory Michael
Mason, Tyler James
McDougall, Connor John
Pepin, Amy Lynne
Sask, Lisa Elaine
Thorne, Damen Malcolm Robert
(Date of Designation May 13, 2022)
Municipal Affairs
Hosting Expenses Exceeding $600.00
For the period January 1, 2022 to March 31, 2022
Function: Minister's Open House and Meeting Rooms, 2021 Alberta Urban
Municipalities (AUMA) Fall Convention
Purpose: The Minister hosted an Open House and conducted 30+ meetings during
the 2021 AUMA Fall Convention.
Amount: $11,622.62
Date: November 16-19, 2021
Location: Edmonton
Function: Minister's Open House and Meeting Room, 2021 Rural Municipalities of
Alberta (RMA) Fall Convention
Purpose: The Minister hosted an Open House and conducted 30+ meetings during
the 2021 RMA Fall Convention.
Amount: $22,561.80
Date: November 23-26, 2021
Location: Edmonton
Safety Codes Council
Corporate Accreditation - Cancellation
(Safety Codes Act)
Pursuant to
Section 28 of the Safety Codes Act it is hereby ordered that
Aurora Cannabis, Accreditation No. C000910, Order No. 3074
Is to cease services under the Safety Codes Act within its jurisdiction for Building
Consisting of all parts of the National Building Code - 2019 Alberta Edition, and the
National Energy Code of Canada for Buildings 2017 as amended from time to time.
Accredited Date: February 12, 2019 Issued Date: May 13, 2022.
_______________
Pursuant to
Section 28 of the Safety Codes Act it is hereby ordered that
Aurora Cannabis, Accreditation No. C000910, Order No. 3075
Is to cease services under the Safety Codes Act within its jurisdiction for Electrical
Consisting of all parts of the CSA C22.1-18 Canadian Electrical Code (24th Edition)
as amended from time to time.
Accredited Date: February 12, 2019 Issued Date: May 13, 2022.
_______________
Pursuant to
Section 28 of the Safety Codes Act it is hereby ordered that
Aurora Cannabis, Accreditation No. C000910, Order No. 3076
Is to cease services under the Safety Codes Act within its jurisdiction for Fire
Consisting of all parts of the National Fire Code - 2019 Alberta Edition as amended
from time to time, except for those requirements pertaining to the installation,
alteration, and removal of the storage tank systems for flammable and combustible
liquids, and Fire Investigation (cause and circumstance).
Accredited Date: February 12, 2019 Issued Date: May 13, 2022.
_______________
Pursuant to
Section 28 of the Safety Codes Act it is hereby ordered that
Aurora Cannabis, Accreditation No. C000910, Order No. 3077
Is to cease services under the Safety Codes Act within its jurisdiction for Gas
Consisting of all parts of the CSA-B149.1:20 Natural gas and propane installation
code; CSA-B149.2:20 Propane storage and handling code; CSA-B108.1:21
Compressed natural gas refuelling stations installation code; and CSA-B108.2:21
Liquefied natural gas refuelling stations installation code.
Excluding the CSA-B109:17 Natural gas for vehicles installation code; CSA-
B149.3:20 Code for the field approval of fuel related components on appliances and
equipment; and CSA B149.5:20 Installation code for propane fuel systems and
containers on motor vehicles.
Accredited Date: February 12, 2019 Issued Date: May 13, 2022.
_______________
Pursuant to
Section 28 of the Safety Codes Act it is hereby ordered that
Aurora Cannabis, Accreditation No. C000910, Order No. 3078
Is to cease services under the Safety Codes Act within its jurisdiction for Plumbing
Consisting of all parts of the National Plumbing Code of Canada 2015, and Alberta
Private Sewage Systems Standard of Practice 2015 as amended from time to time.
Accredited Date: February 12, 2019 Issued Date: May 13, 2022.
Joint Municipal Accreditation
(Safety Codes Act)
Pursuant to
Section 26 of the Safety Codes Act it is hereby ordered that
County of Minburn, Village of Innisfree, Village of Mannville
Accreditation No. J124851, Order No. 79842047
provide services under the Safety Codes Act including applicable Alberta amendments
and regulations for the discipline of Fire
Consisting of all parts of the National Fire Code - 2019 Alberta Edition as amended
from time to time, except for those requirements pertaining to the installation,
alteration, and removal of the storage tank systems for flammable and combustible
liquids; and Fire Investigation (cause and circumstance).
Accredited Date: May 9, 2022 Issued Date: May 9, 2022.
Alberta Securities Commission
AMENDMENTS TO NATIONAL INSTRUMENT 31-103
REGISTRATION REQUIREMENTS, EXEMPTIONS
AND ONGOING REGISTRANT OBLIGATIONS
(Securities Act)
Made as a rule by the Alberta Securities Commission on November 17, 2021 pursuant
to sections 223 and 224 of the Securities Act.
AMENDMENTS TO NATIONAL INSTRUMENT 31-103
REGISTRATION REQUIREMENTS, EXEMPTIONS
AND ONGOING REGISTRANT OBLIGATIONS
1. National Instrument 31-103 Registration Requirements, Exemptions and
Ongoing Registrant Obligations is amended by this Instrument.
2. Paragraph 8.7(4)(
a) is amended by deleting "deferred or contingent sales charge
or".
3. Paragraph 14.2.1(1)(
b) is repealed.
4. This Instrument comes into force in Alberta on June 1, 2022.
AMENDMENTS TO NATIONAL INSTRUMENT 81-101
MUTUAL FUND PROSPECTUS DISCLOSURE
(Securities Act)
Made as a rule by the Alberta Securities Commission on November 17, 2021 pursuant
to sections 223 and 224 of the Securities Act.
AMENDMENTS TO NATIONAL INSTRUMENT 81-101
MUTUAL FUND PROSPECTUS DISCLOSURE
1. National Instrument 81-101 Mutual Fund Prospectus Disclosure is amended
by this Instrument.
2. Form 81-101F3 Contents of Fund Facts Document is amended
(
a) in subsection (1) of the Instructions under Item 1.2 of
Part II by deleting
", deferred sales charge",
(
b) in subsection (2) of the Instructions under Item 1.2 of
Part II by deleting
"For a deferred sales charge, provide the full sales charge schedule.",
(
c) in subsection (3) of the Instructions under Item 1.2 of
Part II by deleting
"For a deferred sales charge, include a range for the amount that can be
charged on every $1,000 redemption.", and
(
d) in subsection (4) of the Instructions under Item 1.2 of
Part II by deleting
the following:
In the case of a deferred sales charge, the disclosure must also briefly state:
* any amount payable as an upfront sales commission;
* who pays and who receives the amount payable as the upfront
sales commission;
* any free redemption amount and key details about how it works;
* whether switches can be made without incurring a sales charge;
and
* how the amount paid by an investor at the time of a redemption of
securities is calculated, for example, whether it is based on the net
asset value of those securities at the time of redemption or another
time..
3. This Instrument comes into force in Alberta on June 1, 2022.
AMENDMENTS TO NATIONAL INSTRUMENT 81-105
MUTUAL FUND SALES PRACTICES
(Securities Act)
Made as a rule by the Alberta Securities Commission on November 17, 2021 pursuant
to sections 223 and 224 of the Securities Act.
AMENDMENTS TO NATIONAL INSTRUMENT 81-105
MUTUAL FUND SALES PRACTICES
1. National Instrument 81-105 Mutual Fund Sales Practices is amended by this
Instrument.
Section 1.1 is amended in paragraph (
d) of the definition of "member of the
organization" by adding "associate or" before "affiliate".
Section 3.1 is repealed.
4. This Instrument comes into force in Alberta on June 1, 2022.
AMENDMENTS TO NATIONAL INSTRUMENT 31-103
REGISTRATION REQUIREMENTS, EXEMPTIONS
AND ONGOING REGISTRANT OBLIGATIONS
(Securities Act)
Made as a rule by the Alberta Securities Commission on November 17, 2021 pursuant
to sections 223 and 224 of the Securities Act.
AMENDMENTS TO NATIONAL INSTRUMENT 31-103
REGISTRATION REQUIREMENTS, EXEMPTIONS
AND ONGOING REGISTRANT OBLIGATIONS
1. National Instrument 31-103 Registration Requirements, Exemptions and
Ongoing Registrant Obligations is amended by this Instrument.
Section 12.7 is repealed and replaced with the following:
Notifying the regulator or the securities regulatory authority of a change,
claim or cancellation
12.7
(1) A registered firm must, as soon as possible, notify the regulator or, in
Qu‚bec, the securities regulatory authority in writing of any change in,
claim made under, or cancellation of any bonding or insurance required
under this Division.
(2) Subsection (1) does not apply with respect to a renewal of bonding or
insurance if the term of the renewal is for a period of at least one year
and the insurance policy had not lapsed at the time of renewal..
3. The Instrument is amended by adding the following section:
13.4.3 Restrictions on a registered individual who is in a position of influence
(1) In this section, "position of influence" means a position, other than a
position with a sponsoring firm, if, due to the nature of the position or
the training or specialized knowledge required for the position, an
individual in that position would be considered by a reasonable person
to have influence over another individual.
(2) For greater certainty, a position of influence under subsection
(1) includes the following:
(
a) a leader in a religious or similar organization;
(
b) a medical doctor;
(
c) a nurse;
(
d) a professor, instructor or teacher at a degree or diploma granting
institution;
(
e) a lawyer;
(
f) a notary.
(3) A registered firm must not knowingly permit a registered individual of
the firm who is in a position of influence to purchase or sell securities
or derivatives for, or recommend the purchase, sale or holding of
securities or derivatives to,
(
a) an individual who
(
i) has a relationship with the registered individual arising from
the position of influence, and
(ii) to a reasonable person, would be considered to be susceptible
to the registered individual's influence, or
(
b) a spouse, parent, sibling, grandparent or child of an individual
referred to in paragraph (a).
(4) A registered individual who is in a position of influence must not
purchase or sell securities or derivatives for, or recommend the
purchase, sale or holding of securities or derivatives to
(
a) an individual who
(
i) has a relationship with the registered individual arising from
the position of influence, and
(ii) to a reasonable person, would be considered to be susceptible
to the registered individual's influence, or
(
b) an individual that the registered individual knows is a spouse,
parent, sibling, grandparent or child of an individual referred to in
paragraph (a)..
(1) This Instrument comes into force on June 6, 2022.
(2) In Saskatchewan, despite subsection (1), if this Instrument is filed with the
Registrar of Regulations after June 6, 2022, this Instrument comes into force
on the day on which it is filed with the Registrar of Regulations.
AMENDMENTS TO NATIONAL INSTRUMENT 33-109
REGISTRATION INFORMATION
(Securities Act)
Made as a rule by the Alberta Securities Commission on November 17, 2021 pursuant
to sections 223 and 224 of the Securities Act.
AMENDMENTS TO NATIONAL INSTRUMENT 33-109
REGISTRATION INFORMATION
1. National Instrument 33-109 Registration Information is amended by this
Instrument.
Section 1.1 is amended
(
a) in the definition of "cessation date" by deleting ", because of the end of,
or a change in, the individual's employment, partnership, or agency
relationship with the firm", and
(
b) by replacing the definition of "Form 33-109F1" with the following:
"Form 33-109F1" means Form 33-109F1 Notice of End of Individual
Registration or Permitted Individual Status;.
3. Subsection 2.3(2) is amended
(
a) by replacing paragraph (
b) with the following:
(
b) in the case of the individual ceasing to be a registered individual or a
permitted individual of a sponsoring firm, at the time of cessation
there was no allegation against the individual, in Canada or in any
foreign jurisdiction, relevant to an assessment of whether the
individual is not suitable for registration or the registration is
objectionable, including, for greater certainty, an allegation of any of
the following:
(
i) a crime;
(ii) a contravention of any statute, regulation or order of a court or
regulatory body;
(iii) a contravention of any rule or bylaw of an SRO, of a
professional body or of a similar organization;
(iv) a failure to meet any standard of conduct of the sponsoring firm
or of any professional body;, and
(
b) by adding the following paragraphs:
(b.1) on or before the cessation date, the individual notified, in accordance
with
section 4.1, the regulator or, in Qu‚bec, the securities regulatory
authority of any change to the information previously submitted in
the individual's Form 33-109F4;
(b.2) if the Form 33-109F7 is submitted on or after June 6, 2023, on the
date Form 33-109F7 is submitted, the individual's information in the
National Registration Database does not state "there is no response to
this question" for any item of the individual's Form 33-109F4;.
Section 2.5 is amended
(
a) by replacing "10 days" with "15 days" wherever it appears, and
(
b) in subsection (2), by replacing paragraph (
c) with the following:
(
c) the conditions in paragraphs 2.3(2)(b), (b.1), (b.2) and (
c) are met..
Section 3.1 is amended
(
a) by replacing subsection (1) with the following:
(1) In this section, "authorized affiliate" means, in respect of a registered
firm, another registered firm that
(
a) is an affiliate of the registered firm, and
(
b) has the same principal regulator as the registered firm.
(1.1) Subject to subsection (3) or (4), a registered firm must notify the
regulator or, in Qu‚bec, the securities regulatory authority of a
change to any information previously submitted in Form 33-109F6
or under this subsection as follows:
(
a) for a change to information previously submitted in relation to
any of the following parts or items of Form 33-109F6, within
30 days of the change:
(
i) part 3 [Business history and structure];
(ii) item 4.1 [Securities registration];
(iii) item 5.12 [Auditor];
(iv) item 6.1 [Client assets];
(
v) item 6.2 [Conflicts of interest];
(
b) for a change to information previously submitted in relation to
any other part of Form 33-109F6, within 15 days of the
change.,
(
b) in subsection (2), by replacing "subsection (1)" with "subsection (1.1)",
(
c) by adding the following subsection:
(2.1) A registered firm may delegate to an authorized affiliate the duty to
notify the regulator or, in Qu‚bec, the securities regulatory authority
under subsection (1.1) of a change to information previously
submitted if all of the following apply:
(
a) the change in information relates only to one or more of the
following items or parts of Form 33-109F6:
(
i) item 3.12 [Ownership chart];
(ii) item 4.1 [Securities registration];
(iii) item 4.3 [Membership of exchange or SRO];
(iv) item 4.5 [Refusal of registration, licensing or
membership];
(
v) item 4.6 [Registration for other financial products];
(vi)
part 7 [Regulatory action];
(vii)
part 8 [Legal action];
(
b) the registered firm has filed a certificate, executed by the
officer or partner authorized to certify and sign Form 33-109F5,
with the registered firm's principal regulator, that confirms all
of the following:
(
i) the registered firm has delegated to the authorized
affiliate the duty to notify the regulator or, in Qu‚bec, the
securities regulatory authority of a change to any
information set out in paragraph (a),
(ii) the full legal name and NRD number of the registered
firm and the authorized affiliate, and
(iii) that the following certification of the registered firm
applies to each notice of change submitted by the
authorized affiliate:
"I have read this form and understand all matters within
this form, including the questions, and to the best of my
knowledge and after reasonable inquiry, all of the
information provided on this form is true and complete.";
(
c) the registered firm directs the authorized affiliate to include the
full legal name and NRD number of the registered firm and to
state the following in each notice of change submitted by the
authorized affiliate:
"The registered firm has delegated to the authorized
affiliate the duty to notify the regulator or, in Qu‚bec, the
securities regulatory authority of a change to any of the
following items or parts of Form 33-109F6:
(
i) item 3.12 [Ownership chart];
(ii) item 4.1 [Securities registration];
(iii) item 4.3 [Membership of exchange or SRO];
(iv) item 4.5 [Refusal of registration, licensing or
membership];
(
v) item 4.6 [Registration for other financial products];
(vi)
part 7 [Regulatory action];
(vii)
part 8 [Legal action].",
(
d) in subsection (3), by replacing "subsection (1)" with "subsection (1.1)",
by replacing "termination" with "cessation" in paragraph (b), and by
adding the following paragraphs:
(
e) a change in a person or company's ownership of the firm's voting
securities referred to in item 3.12 of Form 33-109F6, if the change
did not result in the person or company's percentage of ownership
falling below or exceeding 10%, 20% or 50% of the firm's voting
securities;
(
f) a renewal of the bonding or insurance referred to in item 5.5 or in
item 5.6 of Form 33-109F6, if the bonding or insurance has not
lapsed and the only change is the expiry date of the bonding or
insurance policy to a new date that is at least one year from the
previous expiry date., and
(
e) in subsection (4) by replacing "a completed
Schedule B" with "an
executed
Schedule B" wherever it appears, adding "in" before "item 4",
and replacing "10 days" with "15 days".
Section 3.2 is amended by replacing "10 days" with "15 days".
Section 4.1 is amended
(
a) by replacing subsection (1) with the following:
(1) Subject to subsection (2), a registered individual or permitted
individual must notify the regulator or, in Qu‚bec, the securities
regulatory authority of a change to any information previously
submitted in respect of the individual's Form 33-109F4 as follows:
(
a) for a change to information previously submitted in any of the
following items, within 30 days of the change:
(
i) item 2.1 [Current and previous residential addresses];
(ii) item 2.2 [Mailing address];
(iii) item 4 [Citizenship];
(iv) item 10 [Reportable activities];
(
v) item 11 [Previous employment and other activities];
(
b) for a change to information previously submitted in any other
items of Form 33-109F4, within 15 days of the change.,
(
b) by replacing subsection (2) with the following:
(2) A notice of change is not required under subsection (1) if the change
only relates to any of the following:
(
a) information previously submitted in item 3 [Personal
information] of Form 33-109F4;
(
b) the individual ceasing to have authority to act on behalf of the
sponsoring firm as a registered individual or be a permitted
individual of the sponsoring firm if a Form 33-109F1 is
required to be submitted by the sponsoring firm under
subsection 4.2(1)., and
(
c) by replacing paragraph (4)(
a) with the following:
(
a) a change in a category of permitted activities of a permitted
individual,.
Section 4.2 is amended
(
a) by replacing subsection (1) with the following:
(1) A registered firm must notify the regulator or, in Qu‚bec, the
securities regulatory authority if an individual ceases to have
authority to act on behalf of the registered firm as a registered
individual or be a permitted individual of the registered firm by
submitting Form 33-109F1 to the regulator or, in Qu‚bec, the
securities regulatory authority in accordance with National
Instrument 31-102 National Registration Database with
(
a) items 1 to 4 of the Form completed, and
(
b) item 5 of the Form completed unless the reason for cessation
under item 4 was death of the individual.. and
(
b) by replacing "10 days" with "15 days" wherever it appears.
9. The Instrument is amended by adding the following section:
4.3 Updating NRD
A registered individual or permitted individual must submit in accordance
with National Instrument 31-102 National Registration Database to the
regulator or, in Qu‚bec, the securities regulatory authority, a completed
Form 33-109F5 for any item of the individual's Form 33-109F4 in the
National Registration Database that states "there is no response to this
question" by the earlier of
(
a) the date the individual is required to notify the regulator or, in
Qu‚bec, the securities regulatory authority under subsection 4.1(1) of
the first change after June 6, 2022 to any information previously
submitted in respect of the individual's Form 33-109F4, and
(
b) June 6, 2023..
10. Form 33-109F1 Notice of Termination of Registered Individuals and
Permitted Individuals (section 4.2) is amended
(
a) by replacing the title with the following
"FORM 33-109F1 Notice of End of Individual Registration or
Permitted Individual Status (Section 4.2)",
(
b) by adding the following immediately before the heading "GENERAL
INSTRUCTIONS":
WARNING - It is an offence to knowingly give false or misleading
information to the regulator or the securities regulatory authority.
CERTIFICATION
I, on behalf of the firm, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where the firm is submitting this
form and to any applicable self-regulatory authority (SRO) that
* I have read this form and understand all matters within this form,
including the questions, and
* to the best of my knowledge and after reasonable inquiry, all of the
information provided on this form is true and complete.
NRD format:
0 I, the authorized firm representative, am making this submission
under authority delegated by the firm. By checking this box, I certify
that the firm
(
a) provided me with all of the information on this form, and
(
b) makes the certification above.
Non-NRD format:
By signing below, I, on behalf of the firm, make the certification above.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed
(YYYY/MM/DD)
(
c) by deleting the heading "Terms" and replacing the text between the
heading "Terms" and "How to submit the form" with the following:
As set out in
section 1.1 of National Instrument 33-109 Registration
Information, "cessation date" means the last day on which an individual
had authority to act as a registered individual on behalf of their sponsoring
firm or the last day on which an individual was a permitted individual of
their sponsoring firm.,
(
d) by replacing the text between the heading "When to submit the form"
and "Item 1 Terminating firm" with the following:
As set out in paragraph 4.2(2)(
a) of National Instrument 33-109
Registration Information, you must submit the responses to Items 1, 2, 3
and 4 within 15 days of the cessation date.
If you are required to complete Item 5, you must submit those responses
within 30 days of the cessation date. If you are submitting the responses to
Item 5 in NRD format, after Items 1 to 4 have been submitted at NRD, use
the NRD submission type called "Update/Correct Cessation Information"
to complete Item 5 of this form.,
(
e) in Item 1, by replacing in the heading "Terminating" with "Former
sponsoring",
(
f) in Item 2, by replacing in the heading "Terminated individual" with
"Individual",
(
g) in Item 3, by deleting in the heading "terminated",
(
h) by replacing Item 4 with the following:
Item 4 Date and reason for cessation
1. Cessation date
(YYYY/MM/DD)
The above date is the last day on which the individual had authority
to act as a registered individual on behalf of the sponsoring firm, or
the last day on which the individual was a permitted individual of the
sponsoring firm.
2. Reason for cessation (check one):
Resigned - voluntary 0
Resigned - at the firm's request 0
Terminated in good standing 0
Terminated for cause 0
Completed temporary employment contract 0
Retired 0
Deceased 0
Other 0
If "Other", explain:
(
i) in Item 5, by replacing in the heading "termination" with "cessation"
and by replacing the text between the heading and the sentence "Answer
the following questions to the best of the firm's knowledge." with the
following:
Complete Item 5 except if the individual is deceased. In the space below
* state the reason(
s) for the cessation and
* provide details if the answer to any of the following questions is
"Yes".
[For NRD format only:]
0 This information will be disclosed within 30 days of the cessation
date
0 Not applicable: individual is deceased
(
j) in Item 5, by replacing in question 7 "outside business activity" with
"outside activity", and
(
k) by repealing Items 7 and 8.
11. Form 33-109F2 Change or Surrender of Individual Categories (sections
2.2(2), 2.4, 2.6(2) or 4.1(4)) is amended
(
a) by adding the following text between the title Form 33-109F2 Change or
Surrender of Individual Categories (sections 2.2(2), 2.4, 2.6(2) or
4.1(4))" and the heading "GENERAL INSTRUCTIONS":
WARNING - It is an offence to knowingly give false or misleading
information to the regulator or the securities regulatory authority.
CERTIFICATION
Individual
I, the individual, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where I am submitting this form
and to any applicable self-regulatory organization (SRO) that
* I have read this form and understand all matters within this form,
including the questions,
* I have discussed this form with a branch manager, supervisor, officer
or partner of my sponsoring firm and that to the best of my
knowledge, the branch manager, supervisor, officer or partner is
satisfied that I understand all matters within this form, including the
questions,
* to the best of my knowledge and after reasonable inquiry, all of the
information provided on this form is true and complete, and
* if applicable, I will limit my activities to those allowed by my
category of registration and any SRO approval.
I consent to and authorize the collection, directly and indirectly, of
personal information by each regulator, securities regulatory authority and
SRO and to the use of my personal information as set out in item 6.
Firm
I, on behalf of the firm, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where the firm is submitting this
form and to any applicable SRO that
* the individual identified in this form will be engaged by the
sponsoring firm as a registered individual or a permitted individual,
and
* I have, or a branch manager, supervisor, officer or partner has,
discussed this form with the individual. To the best of my
knowledge, the individual understands all matters within this form,
including the questions.
NRD format:
0 I, the authorized firm representative, am making this submission
under authority delegated by the firm and the individual identified in
this form. By checking this box, I certify that
(
a) the firm provided me with all of the information on this form
and makes the firm certification above,
(
b) the individual provided the firm with all of the information on
this form and makes the individual certification above, and
(
c) the individual provided the above consent and authorization for
the collection and use of the individual's personal information.
Non-NRD format:
Individual
By signing below, I, the individual, make the above individual certification
and provide my consent and authorization for the collection, directly and
indirectly, and use of my personal information.
Signature of individual
Date signed
(YYYY/MM/DD)
Firm
By signing below, I, on behalf of the firm, make the firm certification
above.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed
(YYYY/MM/DD)
(
b) in Item 4, by deleting "industry" in the subheading "3. Relevant
securities industry experience" and by replacing the text between that
subheading and "Item 5 Reason for surrender" with the following:
Do you have securities experience?
Yes 0 No 0 N/A 0
If you are an individual applying for IIROC approval, select "N/A".
If "Yes", complete
Schedule A.
(
c) by replacing Item 6 with the following:
Item 6 Notice and consent for collection and use of personal
information
1. Notice of collection and use of personal information
Your personal information is collected by, or on behalf of, each securities
regulatory authority and SRO set out in
Schedule B. Any of the securities
regulatory authorities or SROs set out in
Schedule B may contact
governmental or regulatory authorities, private bodies or agencies,
individuals, corporations, employers, and other organizations, in Canada
and in other countries, for information about you.
This personal information is being collected under the authority of the
applicable securities legislation, derivatives legislation (including
commodity futures legislation) or both of the securities regulatory
authorities and under the SRO rules of an SRO set out in
Schedule B. The
collection, use and disclosure are done in accordance with applicable
freedom of information and privacy legislation.
The principal purpose of this collection by the securities regulatory
authorities is to administer, enforce, carry out their duties or exercise their
powers under their respective securities legislation, derivatives legislation
(including commodity futures legislation) or both, and by the SROs to
administer and enforce the rules of the SROs.
The information submitted by you on this form with your consent, or
collected indirectly with your authorization, may be collected
* at any time during your registration or while you are a permitted
individual, or
* at the time the regulator or, in Qu‚bec, the securities regulatory
authority, or the SRO is informed by your sponsoring firm that you
no longer have authority to act on behalf of the sponsoring firm or
are not a permitted individual of the sponsoring firm.
If you have any questions about the collection, use and disclosure of this
information, contact the securities regulatory authority or SRO in any
jurisdiction in which the required information is submitted. See
Schedule
B for details.
Certain information, such as your name(s) (including aliases, trade names
or some past names), your sponsoring firm, and other relevant registration
information, will be listed in a publicly available registry of registered
individuals and, if applicable, on the Disciplined List.
Certain securities regulatory authorities may provide to or receive from
certain entities information under separate provisions of their securities
legislation or derivatives legislation (including commodity futures
legislation) or both, and SROs may provide or receive information under
the rules of the SROs. This consent and notice does not limit the
authority, powers, obligations, or rights conferred on any of the securities
regulatory authorities by legislation or regulations in effect in their
jurisdiction.
2. Consent to collect and use personal information
By submitting this form, you consent to and authorize the collection,
directly and indirectly, of personal information by each securities
regulatory authority and SRO and to the use of your personal information
as set out above.
The personal information that each securities regulatory authority or SRO
collects includes the following:
* the personal information provided in this form;
* the personal information provided by your sponsoring firm;
* registration or financial services licensing information;
* law enforcement records, including police records;
* credit records;
* bankruptcy or other insolvency records;
* employment records and information received from an employer;
* records and information received from entities you had or have an
independent contractor or agency relationship with;
* personal information available online;
* records from governmental or regulatory authorities, SROs or
professional bodies;
* records of, and used in, court proceedings, including probation
records.,
(
d) by repealing Item 7,
(
e) by repealing Item 8,
(
f) by replacing
Schedule A with the following:
Schedule A
Relevant securities experience (Item 4)
Instructions:
* Some registration categories require a specified amount of
experience to have been obtained within specified timeframes.
Please see National Instrument 31-103 Registration
Requirements, Exemptions and Ongoing Registrant Obligations
or the relevant SRO rules for more information.
* If you are applying to be an advising representative or an
associate advising representative, or with IIROC as a portfolio
manager, associate portfolio manager, or supervisor
designated to be responsible for the supervision of managed
accounts, provide details of the activities you performed for
each position in which you gained relevant investment
management experience. Such details may include the level of
responsibility; value of accounts under direct supervision;
number of years of experience in performing securities
research and analysis for the purpose of portfolio securities
selection, portfolio construction and analysis; type of
experience in performing client relationship management;
number of years of experience collecting know-your-client
information; or number of years of experience conducting
suitability assessments.
* If you are applying as an advising representative limited to
client relationship management, indicate this by including the
following statement: "Individual seeking registration as CRM
AR".
* For all other categories, provide details of activities that you
performed for each position in which you gained relevant
securities industry experience.
1. If you are applying
* to be an advising representative or an associate advising
representative of a portfolio manager, describe the relevant
investment management experience that you have gained, or
* for any other category, describe the relevant securities industry
experience that you have gained.
For each position in which you gained relevant experience, provide
the following information:
(
a) the name of the firm or entity with which you gained this
experience;
(
b) your title;
(
c) the start and end dates of this position;
(
d) the details of the activities you performed that are relevant for
the category of registration that you are applying for;
(
e) the percentage of your time in this position that was spent on
activities relating to the experience.
2. Indicate the continuing education activities in which you have
participated during the last 36 months and that are relevant to the
category of registration you are applying for:
(
g) in
Schedule B, by replacing "Notice of" in the title with "notice and
consent for",
(
h) in
Schedule B in the portion of the form under the contact information
for British Columbia, by replacing "Freedom of Information Officer"
with "Registration staff" and adding "E-mail: Registration@bcsc.bc.ca"
at the end,
(
i) in
Schedule B in the portion of the form under the contact information
for Saskatchewan, by deleting "Deputy" after "Attention:" and adding at
the end "E-mail: registrationfcaa@gov.sk.ca",
(
j) in
Schedule B in the portion of the form under the contact information
for Nova Scotia, by replacing "Deputy Director, Capital Markets" with
"Registration",
(
k) in
Schedule B in the portion of the form under the contact information
for Yukon, by adding "Office of the Yukon" before "Superintendent of
Securities" and replacing "(867) 667-5314" with "(867) 667-5466", and
(
l) in
Schedule B in the portion of the form under the contact information
for Northwest Territories, by deleting "Deputy" after "Attention:".
12. Form 33-109F3 Business Locations Other Than Head Office (section 3.2) is
amended
(
a) by adding the following text between the title "FORM 33-109F3
Business Locations Other Than Head Office (section 3.2)" and
"GENERAL INSTRUCTIONS":
WARNING - It is an offence to knowingly give false or misleading
information to the regulator or the securities regulatory authority.
CERTIFICATION
I, on behalf of the firm, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where the firm is submitting this
form and to any applicable self-regulatory organization (SRO) that
* I have read this form and understand all matters within this form,
including the questions,
* if the business location specified in this form is a residence, the
individual conducting business from that business location has
completed a Form 33-109F4 Registration of Individuals and Review
of Permitted Individuals, and
* to the best of my knowledge and after reasonable inquiry, all of the
information provided on this form is true and complete.
NRD format:
0 I, the authorized firm representative, am making this submission
under authority delegated by the firm.
0 By checking this box, I, the authorized firm representative, certify
that
(
a) the firm provided me with all of the information on this form,
and
(
b) the firm makes the certification above.
Non-NRD format:
By signing below, I, on behalf of the firm, make the certification above.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed
(YYYY/MM/DD)
(
b) by adding at the end of Item 3 the following:
Notice regarding a business location that is a residence
For the administration of securities legislation or derivatives legislation,
including commodity futures legislation, or both, the regulator or, in
Qu‚bec, the securities regulatory authority may require access to the
business location to review the books, records and documents of the
registered firm. If applicable, the SRO may also require access to the
business location for the administration of the rules of the SRO.
If the business location specified in this form is a residence, the regulator,
securities regulatory authority or SRO may request consent to enter the
residence.
If consent is not provided, it may affect the ability of the regulator,
securities regulatory authority or SRO to access the books, records or
documents of a registered firm and to determine whether securities
legislation, derivatives legislation (including commodity futures
legislation) or the rules of the SRO are being complied with. As a result,
the regulator, securities regulatory authority or SRO may take action if it is
unable to access and review the books, records or documents of a
registered firm held at the business location.
(
c) by repealing Item 4,
(
d) by repealing Item 5,
(
e) by repealing Item 6, and
(
f) by repealing
Schedule A.
13. Form 33-109F4 Registration of Individuals and Review of Permitted
Individuals (section 2.2) is amended
(
a) by adding the following text between the title "Form 33-109F4
Registration of Individuals and Review of Permitted Individuals (section
2.2)" and "GENERAL INSTRUCTIONS":
WARNING - It is an offence to knowingly give false or misleading
information to the regulator or the securities regulatory authority.
CERTIFICATION
Individual
I, the individual, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where I am submitting this form
and to any applicable self-regulatory organization (SRO) that
* I have read this form and understand all matters within this form,
including the questions and, for greater certainty, if the business
location is a residence, the notice in Item 9,
* I have discussed this form with a branch manager, supervisor, officer
or partner of my sponsoring firm and that to the best of my
knowledge, the branch manager, supervisor, officer or partner is
satisfied that I understand all matters within this form, including the
questions,
* to the best of my knowledge and after reasonable inquiry, all of the
information provided on this form is true and complete, and
* if applicable, I will limit my activities to those allowed by my
category of registration and any SRO approval.
I consent to and authorize the collection, directly and indirectly, of
personal information by each regulator, securities regulatory authority and
SRO and to the use of my personal information as set out in Item 20.
Firm
I, on behalf of the firm, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where the firm is submitting this
form and to any applicable SRO that
* the individual identified in this form will be engaged by the
sponsoring firm as a registered individual or a permitted individual,
and
* I have, or a branch manager, supervisor, officer or partner has,
discussed this form with the individual. To the best of my
knowledge, the individual understands all matters within this form,
including the questions.
NRD format:
0 I, the authorized firm representative, am making this submission
under authority delegated by the firm and the individual identified in
this form. By checking this box, I certify that
(
a) the firm provided me with all of the information on this form
and makes the firm certification above,
(
b) the individual provided the firm with all of the information on
this form and makes the individual certification above, and
(
c) the individual provided the above consent and authorization for
the collection and use of the individual's personal information.
Non-NRD format:
Individual
By signing below, I, the individual, make the above individual certification
and provide my consent and authorization for the collection, directly and
indirectly, and use of my personal information.
Signature of individual
Date signed
(YYYY/MM/DD)
Firm
By signing below, I, on behalf of the firm, make the firm certification
above.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed
(YYYY/MM/DD)
(
b) in Item 5, by replacing the portion of the form in
section 2 with the
following:
2. Check each jurisdiction where you are seeking registration or, if you
are seeking review as a permitted individual, check each jurisdiction
where your sponsoring firm is registered:
0 All jurisdictions
0 Alberta
0 British Columbia
0 Manitoba
0 New Brunswick
0 Newfoundland and Labrador
0 Northwest Territories
0 Nova Scotia
0 Nunavut
0 Ontario
0 Prince Edward Island
0 Qu‚bec
0 Saskatchewan
0 Yukon
(
c) in Item 8, by replacing the portion of the form after the subheading "1.
Course, Examination or Designation Information and Other
Education" and before the subheading "2. Student Numbers" with the
following:
Complete
Schedule E to state each course, examination and designation
that
* is required for the registration categories or SRO approval categories
you are applying for, and
* you have successfully completed or, if you are an IIROC applicant,
have been exempted from.
0 Check here if you are not required under securities legislation or
derivatives legislation (including commodity futures legislation), or
the rules of an SRO, to satisfy any course, examination or
designation requirements.,
(
d) in Item 8, by deleting "industry" in the subheading "4. Relevant
Securities Industry Experience" and replacing the text between that
subheading and "Item 9 Location of Employment" with the following:
If you are an individual applying for IIROC approval, select "N/A".
Do you have relevant securities experience?
Yes 0 No 0 N/A 0
If "Yes", complete
Schedule F.,
(
e) by adding at the end of Item 9 the following:
6. Notice Regarding a Business Location That is a Residence
For the administration of securities legislation or derivatives legislation,
including commodity futures legislation, or both, the regulator or, in
Qu‚bec, the securities regulatory authority may require access to the
business location to review the books, records and documents of the
registered firm. If applicable, the SRO may also require access to the
business location for the administration of the rules of the SRO.
If the business location specified in this form is a residence, the regulator,
securities regulatory authority or SRO may request consent to enter the
residence.
If consent is not provided, it may affect the ability of the regulator,
securities regulatory authority or SRO to access the books, records or
documents of a registered firm and to determine whether securities
legislation, derivatives legislation (including commodity futures
legislation) or the rules of the SRO are being complied with. As a result,
the regulator, securities regulatory authority or SRO may take action if it is
unable to access and review the books, records or documents of a
registered firm held at the business location.
(
f) by replacing Item 10 with the following:
Item 10 Reportable Activities
1. Activities with your sponsoring firm
Instructions: Describe all of your roles and responsibilities with your
sponsoring firm, whether these roles and responsibilities are securities-
related or not (e.g., sale of securities, review of marketing materials, IT
help desk, negotiation of employment contracts, sales of banking and
insurance products and services). Include any other information about
your position with your sponsoring firm that is relevant for the regulator
or, in Qu‚bec, the securities regulatory authority to know (e.g., if your role
is specialized). For example, if you are applying as an advising
representative limited to client relationship management, indicate this by
including the following statement in
Schedule G: "Individual is seeking
registration as CRM AR."
Complete a
Schedule G with respect to your roles and responsibilities with
your sponsoring firm.
2. Reportable outside activities
Instructions: Consider all of the activities that you participate in outside of
your sponsoring firm, whether or not you receive compensation for such
activities and whether or not any such activity is business-related.
Activities performed for an affiliated entity are considered activities
outside of your sponsoring firm. If any of the categories below describes
one or more activities that you participate in, complete a separate
Schedule G for each activity or entity. If multiple activities are performed
for one entity, complete a single
Schedule G identifying all the activities
performed.
Uncompensated activities that do not fall within Categories 1 to 5 (i.e.,
generally activities that do not involve securities or financial services and
are not a position of influence, such as being a little league soccer coach)
are not reportable.
Category 1 - Activities with another registered firm
Instructions: Report activities with registered firms, other than your
sponsoring firm. All activities in this category are reportable, whether or
not you receive compensation for such activities. Major shareholder
means a shareholder who, in total, directly or indirectly owns voting
securities carrying 10 percent or more of the votes carried by all
outstanding voting securities.
If you are a director, officer, employee, contractor, consultant, agent, or
service provider of a registered firm other than your sponsoring firm, or
are in any other equivalent position with or for that registered firm, or are a
major shareholder or partner of that registered firm, complete a separate
Schedule G for the registered firm.
Category 2 - Activities with an entity that receives compensation from a
registered firm
If you are a director, officer, employee, contractor, consultant, or agent of
a specified entity, or are in any other equivalent position with or for a
specified entity, or are a shareholder or partner of a specified entity,
complete a separate
Schedule G for the specified entity.
For the purposes of this category, "specified entity" means an entity that
receives compensation from a registered firm for activities that you
provide for your sponsoring firm or another registered firm.
Category 3 - Other securities-related activities
Instructions: All activities in this category are reportable, whether or not
you receive compensation for such activities. Charitable or other
fundraising activities that do not involve the issuance of securities or
derivatives are not reportable.
If you have been at any time in the last 7 years directly involved in raising
money for an entity through the issuance of securities or derivatives or
promoting the sale of an entity's securities or derivatives outside of your
activities with your sponsoring firm or another registered firm, complete a
separate
Schedule G for each entity for which you performed these
activities.
Directors and officers of reporting issuers and of entities that have been at
any time in the last 7 years raising money through the issuance of
securities or derivatives are considered to be directly involved in raising
money for that entity.
Category 4 - Provision of financial or finance-related services
Instructions: All activities in this category are reportable, whether or not
you receive compensation for such activities. For example, volunteer
activities pertaining to your securities or financial services knowledge
must be reported under this category. Also report if you are the owner or
management of an entity that provides these services. Major shareholder
means a shareholder who, in total, directly or indirectly owns voting
securities carrying 10 percent or more of the votes carried by all
outstanding voting securities.
Complete a separate
Schedule G for each activity, as applicable, if you
* sell or negotiate insurance, including being an insurance broker or
agent,
* provide loan or deposit or other banking products and services,
* carry on a money service business, including exchanging one type of
currency for another, transferring money from one person to another,
or issuing or redeeming money orders, traveller's cheques or
anything similar,
* facilitate or administer mortgages, including acting as a mortgage
broker, agent or administrator,
* prepare tax returns or provide tax advice,
* help create programs for persons to meet their long-term financial
goals, including providing financial planning (including estate
planning) or financial advice,
* provide corporate finance services, including services provided in the
capacity of a comptroller, treasurer and chief financial officer,
* advise persons under financial stress on credit/debt restructuring,
* are a pension consultant,
* provide advice on mergers and acquisitions,
* provide accounting or bookkeeping services,
* provide oversight or independent review or expert opinion on the
management of an entity's financial assets,
* lend money or accept deposits of money (e.g., alternative financing,
non-bank financial institution), or
* provide other financial or finance-related services not identified
above.
Also complete a separate
Schedule G for each activity, as applicable, if
you are a director or officer, or are in any other equivalent position with or
for, or are a major shareholder or active partner of, an entity that provides
one or more of the services in the above list.
Category 5 - Positions of influence
Instructions: All positions of influence (e.g., medical doctor, leader in a
religious organization) are reportable, whether or not you receive
compensation for such activities. Guidance: see also
section 13.4.3 of
National Instrument 31-103 Registration Requirements, Exemptions and
Ongoing Registrant Obligations and the Companion Policy to National
Instrument 31-103 Registration Requirements, Exemptions and Ongoing
Registrant Obligations.
Complete a separate
Schedule G for each position of influence that you are
in.,
(
g) by replacing Item 12 with the following:
Item 12 Resignations and Terminations
Instructions: Disclose all allegations against you that existed at the time of
your resignation or termination. The allegation does not need to be the
reason for or cause of your resignation or termination. Sales targets are
not considered a standard of conduct of a sponsoring firm.
Have you ever resigned or been terminated from a position or contract
when, at the time of your resignation or termination, there existed an
allegation that you:
1. Contravened any statutes, regulations, orders of a court or regulatory
body, rules or bylaws or failed to meet any standard of conduct of a
sponsoring firm or of any professional body?
Yes 0 No 0
If "Yes", complete
Schedule I, Item 12.1.
2. Failed to appropriately supervise compliance with any statutes,
regulations, orders of a court or regulatory body, rules or bylaws or
with any standard of conduct of a sponsoring firm or of any
professional body?
Yes 0 No 0
If "Yes", complete
Schedule I, Item 12.2.
3. Committed fraud or the wrongful taking of property, including theft?
Yes 0 No 0
If "Yes", complete
Schedule I, Item 12.3.,
(
h) in Item 13, by adding "Instructions: Only disclose registration or licences
to deal with the public in any capacity." after the subheading "3. Non-
securities regulation" and before question 3(a),
(
i) in question 3(
a) of Item 13, by adding ", medical doctor, mortgage broker
or agent" after "teacher" and before ")",
(
j) in question 3(
b) of Item 13, by deleting "professional",
(
k) in question 3(
c) of Item 13, by deleting "professional",
(
l) in Item 14, by replacing the text between the heading "Item 14 Criminal
Disclosure" and the sentence "You are not required to disclose:" with the
following:
You must disclose all offences, including:
* a criminal offence under the laws of Canada such as the Criminal
Code (Canada), the Income Tax Act (Canada), the Competition Act
(Canada), the Immigration and Refugee Protection Act (Canada) and
the Controlled Drugs and Substances Act (Canada), even if
o a record suspension has been ordered under the Criminal
Records Act (Canada), or
o you have been granted an absolute or conditional discharge
under the Criminal Code (Canada),
* a criminal offence under the laws of any foreign jurisdiction such as
U.S. federal and state criminal offences, and
* a criminal offence, with respect to questions 14.2 and 14.4,
o of which you or any entity when you were a partner, director,
officer or major shareholder of that entity has been found
guilty, or
o for which you or any entity when you were a partner, director,
officer or major shareholder of that entity has participated in
the Alternative Measures Program, a diversion program, or any
alternative resolution program within the previous 3 years, even
if a record suspension has been ordered under the Criminal
Records Act (Canada).,
(
m) in question 3 of Item 14, by replacing "firm" with "entity",
(
n) in question 4 of Item 14, by replacing "firm" with "entity",
(
o) in Item 15, by replacing "a firm" with "an entity" wherever it appears,
(
p) by replacing Item 16 with the following:
Item 16 Financial disclosure
1. Bankruptcies, insolvencies, consumer proposals and creditor
arrangements
Instructions: You must provide the following information no matter when
the event occurred (even if it was longer than 7 years ago).
The information is required to be reported even if you or the entity has
been discharged or released from bankruptcy.
Under the laws of any jurisdiction of Canada or any foreign jurisdiction,
have any of the following events ever occurred to you or to any entity
when you were a partner, director, officer or major shareholder of the
entity:
a) had a petition in bankruptcy issued or made a voluntary assignment
into bankruptcy or any similar proceeding (no matter when it
occurred, even if it was longer than 7 years ago, and even if you or
the entity have been discharged or released from bankruptcy)?
Yes 0 No 0
If "Yes", complete
Schedule M, Item 16.1(a).
b) a proposal, including a consumer proposal, under any legislation
relating to bankruptcy or insolvency or any similar proceeding?
Yes 0 No 0
If "Yes", complete
Schedule M, Item 16.1(b).
c) proceedings under any legislation relating to the winding up or
dissolution of the entity, or under the Companies' Creditors
Arrangement Act (Canada)?
Yes 0 No 0
If "Yes", complete
Schedule M, Item 16.1(c).
d) any proceedings, arrangement or compromise with creditors?
Yes 0 No 0
If "Yes", complete
Schedule M, Item 16.1(d).
2. Debt obligations
During the past 10 years
* have you failed to meet a financial obligation of $10,000 or more as
it came due, or
* to the best of your knowledge, has any entity, while you were a
partner, director, officer or major shareholder of that entity, failed to
meet any financial obligation of $10,000 or more as it came due?
Yes 0 No 0
If "Yes", complete
Schedule M, Item 16.2.
3. Surety bond or fidelity bond
Have you ever been refused for a surety or fidelity bond?
Yes 0 No 0
If "Yes", complete
Schedule M, Item 16.3.
4. Garnishments, seizure in the hands of third persons, unsatisfied
judgments or directions to pay
Has any governmental or regulatory authority or court, in any jurisdiction,
ever issued any of the following
* against you regarding your indebtedness, or
* to the best of your knowledge, against an entity regarding the entity's
indebtedness incurred at the time you were a partner, director, officer
or major shareholder of the entity:
Yes No
Garnishment or seizure in
the hands of third persons 0 0
Unsatisfied judgment 0 0
Direction to pay 0 0
If "Yes", complete
Schedule M, Item 16.4.,
(
q) by replacing Item 20 with the following:
Item 20 Notice and consent for collection and use of personal
information
1. Notice of collection and use of personal information
Your personal information is collected by, or on behalf of, each securities
regulatory authority and SRO set out in
Schedule O. Any of the securities
regulatory authorities or SROs set out in
Schedule O may contact
governmental or regulatory authorities, private bodies or agencies,
individuals, corporations, employers, and other organizations, in Canada
and in other countries, for information about you.
This personal information is being collected under the authority of the
applicable securities legislation, derivatives legislation (including
commodity futures legislation) or both of the securities regulatory
authorities and under the SRO rules of an SRO set out in
Schedule O. The
collection, use and disclosure are done in accordance with applicable
freedom of information and privacy legislation.
The principal purpose of this collection by the securities regulatory
authorities is to administer, enforce, carry out their duties or exercise their
powers under their respective securities legislation, derivatives legislation
(including commodity futures legislation) or both, and by the SROs to
administer and enforce the rules of the SROs.
The information submitted by you in this form with your consent, or
collected indirectly with your authorization, may be collected
* at the time of your application,
* at any time during your registration or while you are a permitted
individual, or
* at the time the regulator or, in Qu‚bec, the securities regulatory
authority, or the SRO is informed by your sponsoring firm that you
no longer have authority to act on behalf of the sponsoring firm or
are not a permitted individual of the sponsoring firm.
If you have any questions about the collection, use and disclosure of this
information, contact the securities regulatory authority or SRO in any
jurisdiction in which the required information is submitted. See
Schedule
O for details.
Certain information, such as your name(s) (including aliases, trade names
or some past names), your sponsoring firm, and other relevant registration
information, will be listed in a publicly available registry of registered
individuals and, if applicable, on the Disciplined List.
Certain securities regulatory authorities may provide to or receive from
certain entities information under separate provisions of their securities
legislation or derivatives legislation (including commodity futures
legislation) or both, and SROs may provide or receive information under
the rules of the SROs. This consent and notice does not limit the
authority, powers, obligations, or rights conferred on any of the securities
regulatory authorities by legislation or regulations in effect in their
jurisdiction.
2. Consent to collect and use personal information
By submitting this form, you consent to and authorize the collection,
directly and indirectly, of personal information by each securities
regulatory authority and SRO and to the use of your personal information
as set out above.
The personal information that each securities regulatory authority or SRO
collects includes the following:
* the personal information provided in this form;
* the personal information provided by your sponsoring firm;
* registration or financial services licensing information;
* law enforcement records, including police records;
* credit records;
* bankruptcy or other insolvency records;
* employment records and information received from an employer;
* records and information received from entities you had or have an
independent contractor or agency relationship with;
* personal information available online;
* records from governmental or regulatory authorities, SROs or
professional bodies;
* records of, and used in, court proceedings, including probation
records.,
(
r) by repealing Item 21,
(
s) by repealing Item 22,
(
t) in
Schedule C, by replacing the text between the subheading "Approval
categories" and "Additional approval categories" with the following:
[ ] Executive
[ ] Director (Industry)
[ ] Director (Non-Industry)
[ ] Supervisor
[ ] Investor
[ ] Registered Representative
[ ] Investment Representative
[ ] Portfolio Manager
[ ] Associate Portfolio Manager
[ ] Trader,
(
u) in
Schedule E, by adding the following text between the heading "Item
8.1 Course, examination or designation information and other
education" and the table:
Instructions: Please see Division 2 [Education and experience
requirements] in
Part 3 [Registration requirements - individuals] of
National Instrument 31-103 Registration Requirements, Exemptions and
Ongoing Registrant Obligations for the education and experience
requirements for the categories that you are seeking to be registered in or
the relevant SRO rules for the SRO approval categories.
Below, state each course, examination and designation that:
* is required for the registration categories or SRO approval categories
you are applying for, and
* you have successfully completed.
*For IIROC applicants only - If applicable, please indicate the date of
any exemption granted for any course, examination, designation or other
education required for approval.,
(
v) in the table to
Schedule E, by adding "*" at the end of "Date exempted"
and by adding "*" at the end of "Regulator / securities regulatory
authority granting the exemption",
(
w) by replacing Item 8.4 in
Schedule F with the following:
Item 8.4 Relevant securities experience
Instructions:
* Some registration categories require a specified amount of
experience to have been obtained within specified timeframes. Please
see National Instrument 31-103 Registration Requirements,
Exemptions and Ongoing Registrant Obligations or the relevant SRO
rules for more information.
* If you are applying to be an advising representative or an associate
advising representative, or with IIROC as a portfolio manager,
associate portfolio manager, or supervisor designated to be
responsible for the supervision of managed accounts, provide details
of the activities you performed for each position in which you gained
relevant investment management experience. Such details may
include the level of responsibility; value of accounts under direct
supervision; number of years of experience in performing securities
research and analysis for the purpose of portfolio securities
selection, portfolio construction and analysis; type of experience in
performing client relationship management; number of years of
experience collecting know-your-client information; or number of
years of experience conducting suitability assessments.
* If you are applying as an advising representative limited to client
relationship management, indicate this by including the following
statement: "Individual seeking registration as CRM AR".
* For all other categories, provide details of activities that you
performed for each position in which you gained relevant securities
industry experience.
1. If you are applying
* to be an advising representative or an associate advising
representative of a portfolio manager, describe the relevant
investment management experience that you have gained, or
* for any other category, describe the relevant securities industry
experience that you have gained.
For each position in which you gained relevant experience, provide
the following information:
(
a) the name of the firm or entity with which you gained this
experience;
(
b) your title;
(
c) the start and end dates of this position;
(
d) the details of the activities you performed that are relevant for
the category of registration that you are applying for;
(
e) the percentage of your time in this position that was spent on
activities relating to the experience.
2. Indicate the continuing education activities in which you have
participated during the last 36 months and that are relevant to the
category of registration you are applying for:
(
x) by replacing
Schedule G with the following:
Schedule G
Reportable activities (Item 10)
1. Start date
(YYYY/MM/DD)
2. Sponsoring firm or other entity information
0 Check here if the reportable activity is with your sponsoring firm.
If the reportable activity is with your sponsoring firm, you are not required
to indicate the firm's name and address but are required to provide the
name and title of your immediate supervisor. For all other types of
reportable activity, enter all of the information below:
Name of business or employer:
Address of business or employer:
(number, street, city, province, territory or state, country)
Name and title of your immediate supervisor:
3. Description of the reportable activity and your roles and
responsibilities
Instructions: If you are completing this
schedule in relation to your
activities with your sponsoring firm, for (
e) below, provide the title(
s) you
will use once registered, and if you are already registered, provide the
title(
s) you use as of the date of this filing.
(
a) Describe the entity that you carry on the activity with or for, including
the nature of the entity's business.
(
b) Is the entity listed on an exchange?
(
c) Describe your relationship with the entity.
(
d) Describe all of your roles and responsibilities relating to the activity.
(
e) Provide all business title(
s) and professional designation(
s) you use for
the activity.
4. Number of work hours per week
How many hours per week do you spend on this activity?
5. Conflicts of interest
Instructions: Complete this
section if you have a reportable activity
outside your sponsoring firm. Do not complete this
section if your
reportable activity is solely with your sponsoring firm.
Take into consideration existing and reasonably foreseeable material
conflicts of interest and existing and potential client confusion.
(
a) Does the activity give rise to any material conflicts of interest between
the client and the sponsoring firm or you? Does the activity give rise to
client confusion? If no material conflicts of interest or client confusion are
expected, explain why.
(
b) Describe (
i) the material conflicts of interest, and (ii) how these
conflicts will be addressed in the best interest of the client.
(
c) Describe (
i) the client confusion, and (ii) how the client confusion will
be addressed.
(
d) Does your sponsoring firm and the entity have procedures for
identifying and addressing material conflicts of interest? If so, confirm you
are complying with both sets of procedures.
(
e) State the name and title of the individual at your sponsoring firm who
has reviewed and approved the activity.
(
y) in
Schedule H, by deleting "If you are seeking registration in a category
of registration that requires specific experience, include details of that
experience. Examples include level of responsibility, value of accounts
under direct supervision, number of years of that experience and research
experience, and percentage of time spent on each activity.",
(
z) by replacing
Schedule I with the following:
Schedule I
Resignations and terminations (Item 12)
Item 12.1
For each allegation of contravention of any statute, regulation, order
of a court or regulatory body, rule or bylaw or failure to meet any
standard of conduct of a sponsoring firm or of any professional body,
state below (1) the name of the firm from which you resigned or
were terminated, (2) whether you resigned or were terminated,
(3) the date you ceased to carry on duties, (4) the circumstances relating
to your resignation or termination, (5) details of the allegation
(regardless of whether the allegation caused or contributed to your
resignation or termination), including the statutes, regulations,
orders, rules or bylaws allegedly contravened or standards of conduct
allegedly not met, (6) details of how the allegation was addressed,
and (7) any details of the resignation, termination, or allegation
relevant to the determination of your suitability for registration or
whether your registration is otherwise objectionable.
Item 12.2
For each allegation of failure to supervise compliance with any
statute, regulation, order of a court or regulatory body, rule or bylaw
or with any standard of conduct of a sponsoring firm or of any
professional body, state below, (1) the name of the firm from which
you resigned or were terminated, (2) whether you resigned or were
terminated, (3) the date you ceased to carry on duties, (4) the
circumstances relating to your resignation or termination, (5) details
of the allegation of failure to supervise (regardless of whether the
allegation caused or contributed to your resignation or termination),
(6) details of how the allegation was addressed, and (7) any details of
the resignation, termination, or allegation relevant to the
determination of your suitability for registration or whether your
registration is otherwise objectionable.
Item 12.3
For each allegation that you committed fraud or the wrongful taking
of property, including theft, state below (1) the name of the firm
from which you resigned or were terminated, (2) whether you
resigned or were terminated, (3) the date you ceased to carry on
duties, (4) the circumstances relating to your resignation or
termination, (5) details of the allegation (regardless of whether the
allegation caused or contributed to your resignation or termination),
(6) details of how the allegation was addressed, and (7) any details of
the resignation, termination, or allegation relevant to the
determination of your suitability for registration or whether your
registration is otherwise objectionable.
(aa) in
Schedule J by replacing part (
c) after the heading "Item 13.2 SRO
Regulation" with the following:
c) For each order or disciplinary proceeding, state below (1) the name
of the firm, (2) the SRO that issued the order or that is, or was,
conducting the proceeding, (3) the date any notice of proceeding was
issued, (4) the date any order or settlement was made, (5) a
summary
of any notice, order or settlement, including any sanctions imposed,
(6) whether you are or were a partner, director, officer or major
shareholder of the firm and named individually in the order or
disciplinary proceeding, and (7) any details of the order or
disciplinary proceeding relevant to the determination of your
suitability for registration or whether your registration is otherwise
objectionable.
(bb) in
Schedule J by replacing the portion of the form after the heading
"Item 13.3 Non-securities regulation" with the following:
a) For each registration or licence, state below (1) the party who is, or
was, registered or licensed, (2) if applicable, the employer or entity
for whom you performed the registerable or licensable activity,
(3) the period that the party held the registration or licence, (4) the type
or category of registration or licence, (5) with which regulatory
authority, or under what legislation, the party is, or was, registered or
licensed, and (6) the licence number.
b) For each registration or licence refused, state below (1) the party that
was refused registration or licensing, (2) if applicable, the employer
or entity for whom you performed the registerable or licensable
activity, (3) with which regulatory authority, or under what
legislation, the registration or licence was refused, (4) the type or
category of registration or licence refused, (5) the date of the refusal,
and (6) the reasons for the refusal.
c) For each order or disciplinary proceeding, indicate below (1) the
party against whom the order was made or the proceeding taken,
(2) the regulatory authority that made the order or that is, or was,
conducting the proceeding, or under what legislation the order was
made or the proceeding is being, or was conducted, (3) the date any
notice of proceeding was issued, (4) the date any order or settlement
was made, (5) a
summary of any notice, order or settlement,
including any sanctions imposed, (6) whether you are or were a
partner, director, officer or major shareholder of the entity and
named individually in the order or disciplinary proceeding, and
(7) any details of the order or disciplinary proceeding relevant to the
determination of your suitability for registration or whether your
registration is otherwise objectionable.
(cc) in
Schedule K, by replacing "firm" with "entity" wherever it occurs,
(dd) in item 15.1 of
Schedule L, by replacing
(i) "the name of the plaintiff(
s) in the proceeding" with "the name of
each plaintiff in the proceeding", and
(ii) "a firm" with "an entity" wherever it occurs,
(ee) in item 15.2 of
Schedule L,
(
i) by replacing "each plaintiff in the proceeding" with "the name of
each plaintiff in the proceeding"
(ii) by replacing "a firm" with "an entity" wherever it occurs, and
(iii) by inserting a "," after "the allegations" and before "and (5)",
(ff) by replacing
Schedule M with the following:
Schedule M
Financial disclosure (Item 16)
Item 16.1 Bankruptcies, insolvencies, consumer proposals and
creditor arrangements
Instructions: Proposals includes consumer proposals.
(
a) For each event, state below (1) the date of the petition or voluntary
assignment into bankruptcy or similar proceeding, (2) the person or
entity about whom this disclosure is being made, (3) any amounts
currently owing, (4) the creditors, (5) the status of the matter, (6) a
summary of any disposition or settlement, (7) the date of discharge
or release, if applicable, and (8) any details of the petition or
voluntary assignment into bankruptcy or similar proceeding relevant
to the determination of your suitability for registration or whether
your registration is otherwise objectionable.
(
b) For each event, state below (1) the date of the proposal, (2) the
person or firm about whom this disclosure is being made, (3) any
amounts currently owing, (4) the creditors, (5) the status of the
matter, (6) a
summary of any disposition or settlement, and (7) any
details of the proposal relevant to the determination of your
suitability for registration or whether your registration is otherwise
objectionable.
(
c) For each event, state below (1) the date of the proceeding, (2) the
person or entity about whom this disclosure is being made, (3) any
amounts currently owing, (4) the creditors, (5) the status of the
matter, (6) a
summary of any disposition or settlement, and (7) any
details of the proceeding relevant to the determination of your
suitability for registration or whether your registration is otherwise
objectionable.
(
d) For each proceeding, arrangement or compromise with creditors,
state below (1) the date of the proceeding, arrangement or
compromise, (2) the person or entity about whom this disclosure is
being made, (3) any amounts currently owing, (4) the creditors,
(5) the status of the matter, (6) a
summary of any disposition or
settlement, and (7) any details of the proceeding, arrangement or
compromise relevant to the determination of your suitability for
registration or whether your registration is otherwise objectionable.
Item 16.2 Debt obligation
For each event, state below (1) the person or entity that failed to meet
its financial obligation, (2) the amount that was owing at the time the
person or entity failed to meet its financial obligation, (3) the person
or entity to whom the amount is, or was, owing, (4) any relevant
dates (for example, when payments are due or when final payment
was made), (5) any amounts currently owing, and (6) any details of
the debt obligation relevant to the determination of your suitability
for registration or whether your registration is otherwise
objectionable, including why the obligation has not been met or
satisfied.
Item 16.3 Surety bond or fidelity bond
For each bond refused, state below (1) the name of the bonding
company, (2) the address of the bonding company, (3) the date of the
refusal, and (4) the reasons for the refusal.
Item 16.4 Garnishments, seizure in the hands of third persons,
unsatisfied judgments or directions to pay
For each garnishment, seizure in the hands of third persons,
unsatisfied judgment or direction to pay regarding your indebtedness
or the indebtedness of an entity incurred at the time you were a
partner, director, officer or major shareholder, indicate below (1) the
amount that was owing at the time the garnishment, seizure in the
hands of third persons, judgment or direction to pay was rendered,
(2) the person or entity to whom the amount is, or was, owing,
(3) any relevant dates (for example, when payments are due or when
final payment was made), (4) why the indebtedness has not been met
or satisfied, (5) the percentage of earnings to be garnished or seized
in the hands of third persons or the amount to be paid, (6) any
amounts currently owing, and (7) any details of the garnishment,
seizure in the hands of third persons, unsatisfied judgment or
direction to pay relevant to the determination of your suitability for
registration or whether your registration is otherwise objectionable.
(gg) in
Schedule N, by replacing the text between the sentence "
b) State the
market value (approximate, if necessary) of any subordinated debentures
or bonds of the firm to be held by you or any other subordinated loan to be
made by you to the firm:" and the sentence "
f) Is a person other than you
the beneficial owner of the shares, bonds, debentures, partnership units or
notes held by you?" with the following:
c) If another person or entity has provided you with funds to invest in
the firm, provide the name of the person or entity and state the
relationship between you and that person or entity:
d) Is the payment of the funds to be invested (or proposed to be
invested) guaranteed directly or indirectly by any person or entity?
Yes 0 No 0
If "Yes", provide the name of the person or entity and state the
relationship between you and that person or entity:
e) Have you directly or indirectly given up any rights relating to these
securities or this partnership interest, or do you, when you are
registered or approved as a result of the review of this form, intend to
give up any of these rights (including by hypothecation, pledging or
depositing as collateral the securities or partnership interest with any
entity or person)?
Yes 0 No 0
If "Yes", provide the name of the person or entity, state the
relationship between you and that person or entity and describe the
rights that have been or will be given up:
(hh) in
Schedule O, by replacing "Notice of" in the title with "Notice and
consent for",
(ii) in
Schedule O in the portion of the form under the contact information
for British Columbia, by replacing "Freedom of Information Officer"
with "Registration staff" and adding "E-mail: Registration@bcsc.bc.ca"
at the end,
(jj) in
Schedule O in the portion of the form under the contact information
for Saskatchewan, by deleting "Deputy" after "Attention:" and adding at
the end "E-mail: registrationfcaa@gov.sk.ca",
(kk) in
Schedule O in the portion of the form under the contact information
for Nova Scotia, by replacing "Deputy Director, Capital Markets" with
"Registration",
(ll) in
Schedule O in the portion of the form under the contact information
for Yukon, by adding "Office of the Yukon" before "Superintendent of
Securities" and replacing "(867) 667-5314" with "(867) 667-5466", and
(mm) in
Schedule O in the portion of the form under the contact information
for Northwest Territories, by deleting "Deputy" after "Attention:".
14. Form 33-109F5 Change of Registration Information (sections 3.1 and 4.1) is
amended
(
a) by adding the following text between the title "Form 33-109F5 Change
of Registration Information (sections 3.1 and 4.1)" and "GENERAL
INSTRUCTIONS":
WARNING - It is an offence to knowingly give false or misleading
information to the regulator or the securities regulatory authority.
CERTIFICATION
1. Form 33-109F4: Use the following certification when making
changes to Form 33-109F4
Individual
I, the individual, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where I am submitting this form
and to any applicable self-regulatory organization (SRO) that
* I have read this form,
* I have read Form 33-109F4 and understand all matters within this
form, including its questions and, for greater certainty, if the business
location is a residence, the notice in Item 9,
* I have discussed Form 33-109F4 with a branch manager, supervisor,
officer or partner of my sponsoring firm and that to the best of my
knowledge, the branch manager, supervisor, officer or partner is
satisfied that I understand all matters within Form 33-109F4,
including the questions,
* to the best of my knowledge and after reasonable inquiry, all of the
information provided on this form is true and complete, including
information required to be disclosed by Form 33-109F4 that I am not
changing with this form, and
* if applicable, I will limit my activities to those allowed by my
category of registration and any SRO approval.
I consent to and authorize the collection, directly and indirectly, of
personal information by each regulator, securities regulatory authority and
SRO and to the use of my personal information as set out in Item 3.
Firm
I, on behalf of the firm, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where the firm is submitting this
form and to any applicable SRO that
* the individual identified in this form will be engaged by the
sponsoring firm as a registered individual or a permitted individual,
and
* I have, or a branch manager, supervisor, officer or partner has,
discussed Form 33-109F4 with the individual. To the best of my
knowledge, the individual understands all matters within Form 33-
109F4, including the questions.
NRD format:
0 I, the authorized firm representative, am making this submission
under authority delegated by the firm and the individual identified in
this form. By checking this box, I certify that
(
a) the firm provided me with all of the information on this form
and makes the firm certification above,
(
b) the individual provided the firm with all of the information on
this form and makes the individual certification above, and
(
c) the individual provided the above consent and authorization for
the collection and use of the individual's personal information.
Non-NRD format:
Individual
By signing below, I, the individual, make the above individual certification
and provide my consent and authorization for the collection, directly and
indirectly, and use of my personal information.
Signature of individual
Date signed
(YYYY/MM/DD)
Firm
By signing below, I, on behalf of the firm, make the firm certification
above.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed
(YYYY/MM/DD)
2. Form 33-109F6: Use the following certification when making
changes to Form 33-109F6
By signing below, I, on behalf of the firm, certify to the regulator or, in
Qu‚bec, the securities regulatory authority in each jurisdiction where the
firm is submitting this form and to any applicable SRO that
* I have read this form and understand all matters within this form,
including the questions, and to the best of my knowledge and after
reasonable inquiry, all of the information provided on this form is
true and complete.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed
(YYYY/MM/DD)
(
b) by replacing Item 3 with the following:
Item 3 Notice and consent for collection and use of personal
information
1. Notice of collection and use of personal information
Your personal information is collected by, or on behalf of, each securities
regulatory authority and SRO set out in
Schedule A. Any of the securities
regulatory authorities or SROs set out in
Schedule A may contact
governmental or regulatory authorities, private bodies or agencies,
individuals, corporations, employers, and other organizations, in Canada
and in other countries, for information about you.
This personal information is being collected under the authority of the
applicable securities legislation, derivatives legislation (including
commodity futures legislation) or both of the securities regulatory
authorities and under the SRO rules of an SRO set out in
Schedule A. The
collection, use and disclosure are done in accordance with applicable
freedom of information and privacy legislation.
The principal purpose of this collection by the securities regulatory
authorities is to administer, enforce, carry out their duties or exercise their
powers under their respective securities legislation, derivatives legislation
(including commodity futures legislation) or both, and by the SROs to
administer and enforce the rules of the SROs.
The information submitted by you in this form with your consent, or
collected indirectly with your authorization, may be collected
* at any time during your registration or while you are a permitted
individual, or
* at the time the regulator or, in Qu‚bec, the securities regulatory
authority, or the SRO is informed by your sponsoring firm that you
no longer have authority to act on behalf of the sponsoring firm or
are not a permitted individual of the sponsoring firm.
If you have any questions about the collection, use and disclosure of this
information, contact the securities regulatory authority or SRO in any
jurisdiction in which the required information is submitted. See
Schedule
A for details.
Certain information, such as your name(s) (including aliases, trade names
or some past names), your sponsoring firm, and other relevant registration
information, will be listed in a publicly available registry of registered
individuals and, if applicable, on the Disciplined List.
Certain securities regulatory authorities may provide to or receive from
certain entities information under separate provisions of their securities
legislation or derivatives legislation (including commodity futures
legislation) or both, and SROs may provide or receive information under
the rules of the SROs. This consent and notice does not limit the
authority, powers, obligations or rights conferred on any of the securities
regulatory authorities by legislation or regulations in effect in their
jurisdiction.
2. Consent to collect and use personal information
By submitting this form, you consent to and authorize the collection,
directly and indirectly, of personal information by each securities
regulatory authority and SRO and to the use of your personal information
as set out above.
The personal information that each securities regulatory authority or SRO
collects includes the following:
* the personal information provided in this form;
* the personal information provided by your sponsoring firm;
* registration or financial services licensing information;
* law enforcement records, including police records;
* credit records;
* bankruptcy or other insolvency records;
* employment records and information received from an employer;
* records and information received from entities you had or have an
independent contractor or agency relationship with;
* personal information available online;
* records from governmental or regulatory authorities, SROs or
professional bodies;
* records of, and used in, court proceedings, including probation
records.,
(
c) by repealing Item 4,
(
d) by repealing Item 5,
(
e) in
Schedule A, by replacing "Notice of" in the title with "Notice and
Consent for",
(
f) in
Schedule A in the portion of the form under the contact information
for British Columbia, by replacing "Freedom of Information Officer"
with "Registration staff" and adding "E-mail: Registration@bcsc.bc.ca"
at the end,
(
g) in
Schedule A in the portion of the form under the contact information
for Saskatchewan, by deleting "Deputy" after "Attention:" and adding at
the end "E-mail: registrationfcaa@gov.sk.ca",
(
h) in
Schedule A in the portion of the form under the contact information
for Nova Scotia, by replacing "Deputy Director, Capital Markets" with
"Registration",
(
i) in
Schedule A in the portion of the form under the contact information
for Yukon, by adding "Office of the Yukon" before "Superintendent of
Securities" and replacing "(867) 667-5314" with "(867) 667-5466", and
(
j) in
Schedule A in the portion of the form under the contact information
for Northwest Territories, by deleting "Deputy" after "Attention:".
15. Form 33-109F6 Firm Registration is amended
(
a) by replacing the text between the heading "Contents of the form" and
the sentence "You are also required to submit the following supporting
documents with your completed form:" with the following:
This form consists of the following:
Collection and use of personal information
Certification
Part 1 - Registration details
Part 2 - Contact information
Part 3 - Business history and structure
Part 4 - Registration history
Part 5 - Financial condition
Part 6 - Client relationships
Part 7 - Regulatory action
Part 8 - Legal action
Part 9 - [repealed]
Schedule A - Contact information for consent and notice of collection and
use of personal information
Schedule B - Submission to jurisdiction and appointment of agent for
service
Schedule C - Form 31-103F1 Calculation of excess working capital;
(
b) by replacing the text between the sentence "However, the questions in
Part 4 - Registration History and
Part 7 - Regulatory Action are to be
answered in respect of any jurisdiction in the world." and the heading
"Updating the information on the form" with the following:
It is an offence to knowingly give false or misleading information to
the regulator or securities regulatory authority.
(
c) by replacing the text between the heading "Collection and use of
personal information" and the heading "Part 1 - Registration details"
with the following:
In obtaining information about the firm, each securities regulatory
authority and SRO set out in Appendix A may receive and collect personal
information about individuals, if any, associated with the firm and its
directors, officers, partners, employees, contractors and agents.
This may include the collection of
* the personal information provided in this form,
* registration or financial services licensing information,
* personal information available online,
* records from governmental or regulatory authorities, SROs or
professional bodies, or
* records of, and used in, court proceedings, including probation
records.
Any of the securities regulatory authorities or SROs set out in
Schedule A
may contact governmental or regulatory authorities, private bodies or
agencies, individuals, corporations, employers, and other organizations, in
Canada and in other countries, for information about the individual.
This personal information is being collected under the authority of the
applicable securities legislation, derivatives legislation (including
commodity futures legislation), or both of the securities regulatory
authorities and under the SRO rules of an SRO set out in
Schedule A. The
collection, use and disclosure are done in accordance with applicable
freedom of information and privacy legislation.
The principal purpose of this collection by the securities regulatory
authorities is to administer, enforce, carry out their duties or exercise their
powers under their respective securities legislation, derivatives legislation
(including commodity futures legislation) or both, and for the SROs to
administer and enforce the rules of the SROs.
The information may be collected
* at the time of the firm's application,
* at any time during the firm's registration, or
* at the time the regulator or, in Qu‚bec, the securities regulatory
authority, or the SRO is informed by the firm that it is surrendering
its registration.
If you or anyone referred to in this form has any questions about the
collection, use, and disclosure of this information, you or they can contact
the regulator or, in Qu‚bec, the securities regulatory authority, or SRO in
any jurisdiction in which the required information is submitted. See
Schedule A for details.
Certain registration information about the firm and its registered
individuals will be listed in a publicly available registry, including names
used by the firm, the address of the firm's head office, whether the firm is
on the Disciplined List, the jurisdictions and categories in which the firm
the firm's registration, and the firm's registered individuals.
Certain securities regulatory authorities may provide to or receive from
certain entities information under separate provisions of their securities
legislation or derivatives legislation (including commodity futures
legislation) or both, and SROs may provide or receive information under
the rules of the SROs. This consent and notice does not limit the
authority, powers, obligations, or rights conferred on any of the securities
regulatory authorities by legislation or regulations in effect in their
jurisdiction.
WARNING: It is an offence to knowingly give false or misleading
information to the regulator or the securities regulatory authority.
CERTIFICATION
By signing this form, I, on behalf of the firm,
1. certify to the regulator or, in Qu‚bec, the securities regulatory
authority in each jurisdiction where the firm is submitting this form
and to any applicable self-regulatory organization (SRO) that
* I have read this form,
* the firm has submitted and filed all information required to be
submitted and filed under securities legislation and/or
derivatives legislation in the principal jurisdiction of Canada
where the firm is seeking registration, and
* to the best of my knowledge and after reasonable inquiry, all of
the information provided on this form is true and complete,
2. authorize the principal regulator to give each non-principal regulator
and, where applicable, SRO access to any information the firm has
submitted or filed with the principal regulator under securities
legislation or derivatives legislation or both in relation to the firm's
registration in that jurisdiction,
3. acknowledge that the regulator or, in Qu‚bec, the securities
regulatory authority, and SRO may collect and provide personal
information about the individuals referred to in this form under the
heading Collection and Use of Personal Information, and
4. confirm that the individuals referred to in this form have been
notified that the individuals' personal information is disclosed on this
form, the legal reason for doing so, how it will be used and who to
contact for more information.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed ,
(YYYY/MM/DD)
(
d) in item 2.4, by replacing "a completed
Schedule B" with "an executed
Schedule B",
(
e) by replacing item "3.10 Permitted individuals" with the following:
3.10 Permitted individuals
List all permitted individuals of the firm.
State why the individual is considered a permitted individual (e.g.,
director, partner, officer, shareholder, or a permitted individual as
described in paragraph (
c) of the definition of "permitted individual" in
section 1.1 of National Instrument 33-109 Registration Information).
Name
Type of Permitted
Individual
NRD number, if
applicable
(
f) by replacing item 3.12 with the following:
3.12 Ownership chart
Attach a chart showing the firm's structure and ownership. Include all
parents, specified affiliates and specified subsidiaries. Indicate which of
the parents, specified affiliates and specified subsidiaries are registered
under securities legislation in any jurisdiction of Canada and provide their
NRD number.
Include the name of the person or company, and class, type, amount and
percentage ownership of the firm's voting securities.,
(
g) in item 4.6 by replacing the table after the sentence "If yes, provide the
following information for each registration or licence:" with the
following:
Name of entity
Type of licence or registration
Licence number
Regulator/organization
Date of registration (yyyy/mm/dd)
Expiry date, if applicable (yyyy/mm/dd)
Jurisdiction
(
h) in item 5.13(b), by replacing "an interim financial report" with "interim
financial information (as set out in
section 12.11 of NI 31-103)",
(
i) by repealing
Part 9,
(
j) in
Schedule A in the portion of the form under the contact information
for British Columbia, by replacing "Freedom of Information Officer"
with "Registration staff" and adding "E-mail: Registration@bcsc.bc.ca"
at the end,
(
k) in
Schedule A in the portion of the form under the contact information
for Saskatchewan, by deleting "Deputy" after "Attention:" and adding at
the end "E-mail: registrationfcaa@gov.sk.ca",
(
l) in
Schedule A in the portion of the form under the contact information
for Nova Scotia, by replacing "Deputy Director, Capital Markets" with
"Registration",
(
m) in
Schedule A in the portion of the form under the contact information
for Yukon, by adding "Office of the Yukon" before "Superintendent of
Securities" and replacing "(867) 667-5314" with "(867) 667-5466",
(
n) in
Schedule A in the portion of the form under the contact information
for Northwest Territories, by deleting "Deputy" after "Attention:",
(
o) in
Schedule B, by replacing the portion of the form in point 7 with the
following:
7. Until six years after the Firm ceases to be registered, the Firm must
file a new executed Submission to jurisdiction and appointment of
agent for service in this form
a. no later than the 15th day after the date this Submission to
jurisdiction and appointment of agent for service is terminated,
and
b. no later than the 15th day after any change in the name or
address of the Agent for Service., and
(
p) in
Schedule C, by replacing "CICA Handbook" with "CPA Canada
Handbook".
16. Form 33-109F7 Reinstatement of Registered Individuals and Permitted
Individuals (sections 2.3 and 2.5(2)) is amended
(
a) by adding the following text between the title "Form 33-109F7
Reinstatement of Registered Individuals and Permitted Individuals
(sections 2.3 and 2.5(2))" and "GENERAL INSTRUCTIONS":
WARNING - It is an offence to knowingly give false or misleading
information to the regulator or the securities regulatory authority.
CERTIFICATION
Individual
I, the individual, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where I am submitting this form
and to any applicable self-regulatory organization (SRO) that
* I have read this form and understand all matters within this form,
including the questions and, for greater certainty, if the business
location is a residence, the notice in Item 5,
* I have discussed this form with a branch manager, supervisor, officer
or partner of my sponsoring firm and that to the best of my
knowledge, the branch manager, supervisor, officer or partner is
satisfied that I understand all matters within this form, including the
questions,
* to the best of my knowledge and after reasonable inquiry, all of the
information provided on this form is true and complete,
* if applicable, I will limit my activities to those allowed by my
category of registration and any SRO approval, and
* the new sponsoring firm understands that if my registration was
effect and the new sponsoring firm agrees to assume any ongoing
obligations that applied to the former sponsoring firm in respect of
I consent to and authorize the collection, directly and indirectly, of
personal information by each regulator, securities regulatory authority and
SRO and to the use of my personal information as set out in Item 10.
Firm
I, on behalf of the firm, certify to the regulator or, in Qu‚bec, the securities
regulatory authority in each jurisdiction where the firm is submitting this
form and to any applicable SRO that
* the individual identified in this form will be engaged by the new
sponsoring firm as a registered individual or a permitted individual,
* I have, or a branch manager, supervisor, officer or partner has,
discussed this form with the individual. To the best of my
knowledge, the individual understands all matters within this form,
including the questions, and
* the new sponsoring firm understands that if the individual's
when the individual left the individual's former sponsoring firm,
ongoing obligations that apply to the former sponsoring firm in
NRD format:
0 I, the authorized firm representative, am making this submission
under authority delegated by the firm and the individual identified in
this form. By checking this box, I certify that
(
a) the firm provided me with all of the information on this form
and makes the firm certification above,
(
b) the individual provided the firm with all of the information on
this form and makes the individual certification above, and
(
c) the individual provided the above consent and authorization for
the collection and use of the individual's personal information.
Non-NRD format:
Individual
By signing below, I, the individual, make the above individual certification
and provide my consent and authorization for the collection, directly and
indirectly, and use of my personal information.
Signature of individual
Date signed
(YYYY/MM/DD)
Firm
By signing below, I, on behalf of the firm, make the firm certification
above.
Name of firm
Name of authorized signing officer or partner
Title of authorized signing officer or partner
Signature of authorized signing officer or partner
Date signed ,
(YYYY/MM/DD)
(
b) by replacing the text between the heading "GENERAL
INSTRUCTIONS" and "Terms" with the following:
GENERAL INSTRUCTIONS
Complete and submit this form to the relevant regulator(
s) or, in Qu‚bec,
the securities regulatory authority, or self-regulatory organization (SRO) if
* an individual has left a sponsoring firm and is seeking to reinstate the
individual's registration in one or more of the same categories or
reinstate the same status of permitted individual as before with a new
sponsoring firm, and
* the new sponsoring firm is registered in the same category of
registration in which the individual's former sponsoring firm was
registered.
You only need to complete and submit one form regardless of the number
of registration categories or permitted individual statuses you are seeking
to be reinstated in.
An individual may reinstate the individual's registration or permitted
individual status by submitting this form. This form must not be used
unless all of the following apply:
1. this form is submitted on or before the 90th day after the cessation
date of the individual's employment, partnership or agency
relationship with the individual's former sponsoring firm;
2. the information in the individual's Form 33-109F4 was up-to-date as
of the cessation date of the individual's employment, partnership or
agency relationship with the individual's former sponsoring firm;
3. if this form is submitted on or after June 6, 2023, on the date this
form is submitted, the individual's information in the National
Registration Database does not state "there is no response to this
question" for any item of the individual's Form 33-109F4;
4. there have been no changes to the information previously submitted
in respect of the following items of the individual's Form 33-109F4
since the individual left the individual's former sponsoring firm:
* Item 13 (Regulatory disclosure), other than changes to Item
13.3(a);
* Item 14 (Criminal disclosure);
* Item 15 (Civil disclosure);
* Item 16 (Financial disclosure);
5. at the time of cessation with the individual's former sponsoring firm,
there were no allegations against the individual, in Canada or in any
foreign jurisdiction, relevant to an assessment of whether the
individual is not suitable for registration or the registration is
objectionable, including, for greater certainty, an allegation against
the individual of any of the following:
* a crime;
* a contravention of any statute, regulation, or order of a court or
regulatory body;
* a contravention of any rule or bylaw of an SRO, of a
professional body, or of a similar organization;
* a failure to meet any standard of conduct of the sponsoring firm
or of any professional body.
If you do not meet all of the above conditions, then you must apply for
reinstatement by completing on NRD a Form 33-109F4 by making the
NRD submission entitled "Reactivation of Registration".,
(
c) in Item 2, by replacing the portion of the Form in
section 2 with the
following:
2. Check each province or territory in which you are seeking
reinstatement of registration or, if you are seeking reinstatement as a
permitted individual, check each province or territory where your
sponsoring firm is registered:
0 All jurisdictions
0 Alberta
0 British Columbia
0 Manitoba
0 New Brunswick
0 Newfoundland and Labrador
0 Northwest Territories
0 Nova Scotia
0 Nunavut
0 Ontario
0 Prince Edward Island
0 Qu‚bec
0 Saskatchewan
0 Yukon
(
d) by adding at the end of Item 5 the following:
6. Notice regarding a business location that is a residence
For the administration of securities legislation or derivatives legislation,
including commodity futures legislation, or both, the regulator or, in
Qu‚bec, the securities regulatory authority may require access to the
business location to review the books, records and documents of the
registered firm. If applicable, the SRO may also require access to the
business location for the administration of the rules of the SRO.
If the business location specified in this form is a residence, the regulator,
securities regulatory authority or SRO may request consent to enter the
residence.
If consent is not provided, it may affect the ability of the regulator,
securities regulatory authority or SRO to access the books, records or
documents of a registered firm and to determine whether securities
legislation, derivatives legislation (including commodity futures
legislation) or the rules of the SRO are being complied with. As a result,
the regulator, securities regulatory authority or SRO may take action if it is
unable to access and review the books, records or documents of a
registered firm held at the business location..
(
e) by replacing Item 7 with the following:
Item 7 Reportable activities
Name of your new sponsoring firm:
1. Activities with your sponsoring firm
Instructions: Describe all of your roles and responsibilities with your
sponsoring firm, whether these roles and responsibilities are securities-
related or not (e.g., sale of securities, review of marketing materials, IT
help desk, negotiation of employment contracts, sales of banking and
insurance products and services). Include any other information about
your position with your sponsoring firm that is relevant for the regulator
or, in Qu‚bec, the securities regulatory authority to know (e.g., if your role
is specialized). For example, if you are applying as an advising
representative limited to client relationship management, indicate this by
including the following statement in
Schedule D: "Individual is seeking
registration as CRM AR."
Complete a
Schedule D with respect to your roles and responsibilities with
your sponsoring firm.
2. Reportable outside activities
Instructions: Consider all of the activities that you participate in outside of
your sponsoring firm, whether or not you receive compensation for such
activities and whether or not any such activity is business-related.
Activities performed for an affiliated entity are considered activities
outside of your sponsoring firm. If any of the categories below describes
one or more activities that you participate in, complete a separate
Schedule D for each activity or entity. If multiple activities are performed
for one entity, complete a single
Schedule D identifying all the activities
performed.
Uncompensated activities that do not fall within Categories 1 to 5 (i.e.,
generally activities that do not involve securities or financial services and
are not a position of influence, such as being a little league soccer coach)
are not reportable.
Category 1 - Activities with another registered firm
Instructions: Report activities with registered firms, other than your
sponsoring firm. All activities in this category are reportable, whether or
not you receive compensation for such activities. Major shareholder
means a shareholder who, in total, directly or indirectly owns voting
securities carrying 10 percent or more of the votes carried by all
outstanding voting securities.
If you are a director, officer, employee, contractor, consultant, agent, or
service provider of a registered firm other than your sponsoring firm, or
are in any other equivalent position with or for that registered firm, or are a
major shareholder or partner of that registered firm, complete a separate
Schedule D for the registered firm.
Category 2 - Activities with an entity that receives compensation from a
registered firm
If you are a director, officer, employee, contractor, consultant, or agent