Alberta Gazette, Part I — Monday, August 31, 2020

Monday, August 31, 2020

Alberta — Gazette

The Alberta Gazette

Part I

Vol. 116 Edmonton, Monday, August 31, 2020 No. 16

APPOINTMENTS

Reappointment of Ad Hoc Justice of the Peace

(Justice of the Peace Act)

August 11, 2020

Angeline Verenka

For a term to expire August 10, 2021.

Reappointment of Full-time Provincial Court Judge

(Provincial Court Act)

August 29, 2020

Honourable Judge Bruce Robert Garriock

For a term to expire August 28, 2021.

Reappointment of Supernumerary Provincial Court Judge

(Provincial Court Act)

August 25, 2020

Honourable Judge Lawrence Elias Nemirsky

For a term to expire August 24, 2022.

GOVERNMENT NOTICES

Education

School Division Authorized to Issue Debentures

(Borrowing Regulation)

Notice is hereby given that the Minister of Education has approved the borrowing by

The Sturgeon Public School Division of the Province of Alberta, by way of

debentures an amount not exceeding the sum of $3,000,000 on the security of the said

school division, the said borrowing repayable in 40 consecutive semi-annual

installments with interest at a rate determined from time to time by the Alberta

Capital Finance Authority, for the purpose detailed in the said division's Bylaw

No. 02-2020 and the Minister of Education's approval dated July 21, 2020 (Approval

No. 1/2020).

Dr. Charmaine Brooks Honourable Adriana LaGrange

Secretary Treasurer Minister of Education

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 - Leduc-Woodbend Nisku

D-2 Agreement No. 14" and that the Unit became effective on October 1, 2019.

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 General

Petroleum Agreement No. 3" and that the Unit became effective on December 1,

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 General

Petroleum Agreement No. 4" and that the Unit became effective on December 1,

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 General

Petroleum Agreement No. 5" and that the Unit became effective on December 1,

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 - Red Earth Slave Point

Agreement No. 3" and that the Unit became effective on October 1, 2019.

Infrastructure

Contract Increases Approved Pursuant to Treasury Board Directive 02/2005

Contract: St. Albert - Vincent J. Maloney Modernization

Contractor: K-Rite Construction Ltd.

Reason for Increase: Floor leveling and masonry in-fill work was required, but not

captured in the contract documents.

Contract Amount: $7,950,000.00

% Increase: 10%

Amount of Increase: $809,705.16

Contract: Taber - St. Patrick Elementary School Modernization

Contractor: Westcor Construction Ltd.

Reason for Increase: Previous contract amount was $7,430,076.89. Credit of

$2,928.60 applied for electrical labour and material cost associated with deficiencies,

reducing the contract amount to $7,427,128.29.

Contract Amount: $6,654,000.00

% Increase: 12%

Amount of Increase: $773,128.29

Alberta Securities Commission

AMENDMENTS TO NATIONAL INSTRUMENT 21-101

MARKETPLACE OPERATION

(Securities Act)

Made as a rule by the Alberta Securities Commission on April 15, 2020 pursuant to

sections 223 and 224 of the Securities Act.

Amendments to National Instrument 21-101 Marketplace Operation

1. National Instrument 21-101 Marketplace Operation is amended by this

Instrument.

Section 1.1 is amended by replacing the definition of "information processor"

with the following:

""information processor" means

(

a) in every jurisdiction except for British Columbia, means any person or

company that receives and provides information under this Instrument and

has filed Form 21-101F5 and,

(

b) in British Columbia, means a person or company that is designated as an

information processor for the purposes of this Instrument;".

3. The title to

Part 8 is replaced with "INFORMATION TRANSPARENCY

REQUIREMENTS FOR PERSONS AND COMPANIES DEALING IN

UNLISTED DEBT SECURITIES".

4 Subsection 8.1(1) is amended by replacing "marketplace as required by" with

"marketplace, as required by".

5. Subsection 8.1(3) is repealed.

6. Subsection 8.1(4) is amended by replacing "inter-dealer bond broker as

required by" with "inter-dealer bond broker, as required by".

7. Subsection 8.1(5) is replaced with the following:

(5) A person or company must provide to an information processor accurate

and timely information regarding trades in government debt securities

executed by or through the person or company, as required by the

information processor..

8. Subsection 8.2(1) is replaced with the following:

(1) A marketplace that displays orders of corporate debt securities to a person

or company must provide to an information processor accurate and timely

information regarding orders for corporate debt securities displayed by the

marketplace, as required by the information processor..

9. Subsection 8.2(3) is replaced with the following:

(3) A person or company must provide to an information processor accurate

and timely information regarding trades in corporate debt securities

executed by or through the person or company, as required by the

information processor..

10. Subsections 8.2(4) and 8.2(5) are repealed.

Section 8.3 is amended by replacing "an accurate consolidated feed in real-

time" with "accurate consolidated information on a timely basis".

Section 8.4 is amended by replacing "marketplace, inter-dealer bond broker or

dealer" with "person or company".

13. Subsection 14.4(1) is replaced with the following:

(1) An information processor for exchange-traded securities must enter into

an agreement with each marketplace that is required to provide

information to the information processor which states that the marketplace

will

(

a) provide information to the information processor in accordance with

Part 7 of this Instrument; and

(

b) comply with any other reasonable requirements set by the

information processor..

14. Subsection 14.4 (4) is amended by replacing "marketplace, inter-dealer bond

broker or dealer" with "person or company".

15. Subsection 14.4(8) is repealed.

16. Subsection 14.4(9) is repealed.

17. Subparagraph 14.5(d)(ii) is amended by replacing the word "calendar" with

"information processor's financial".

18. Subsection 14.7 is amended by replacing "marketplace, inter-dealer bond

broker or dealer" with "person or company".

19. Paragraph 14.8(

b) is replaced with the following:

(

b) in the case of an information processor for government debt securities or

corporate debt securities,

(

i) the marketplaces that report orders for corporate debt securities or

government debt securities to the information processor, as

applicable,

(ii) the inter-dealer bond brokers that report orders for government debt

securities to the information processor,

(iii) the persons and companies that report trades in corporate debt

securities or government debt securities to the information processor,

as applicable,

(iv) when trades in each corporate debt security or government debt

security, as applicable, must be provided to the information

processor by a person or company,

(

v) when the information provided to the information processor will be

publicly disseminated by the information processor, and

(vi) the cap on the displayed volume of trades for each corporate debt

security or government debt security, as applicable,.

20. Subsection 14.8 is amended by deleting "and" at the end of paragraph (c), by

adding "and" at the end of paragraph (

d) and by adding the following

paragraph:

(

e) a list of the types of data elements relating to the order and trade

information required to be provided under

Part 7 or

Part 8 of this

Instrument..

Coming into force

(1) This Instrument comes into force on August 31, 2020.

(2) In Saskatchewan, despite subsection (1), if this Instrument is filed with the

Registrar of Regulations after August 31, 2020, this Instrument comes into

force on the day on which it is filed with the Registrar of Regulations.

_______________

AMENDMENTS TO NATIONAL INSTRUMENT 21-101

MARKETPLACE OPERATION

(Securities Act)

Made as a rule by the Alberta Securities Commission on April 15, 2020 pursuant to

sections 223 and 224 of the Securities Act.

Amendments to National Instrument 21-101 Marketplace Operation

1. National Instrument 21-101 Marketplace Operation is amended by this

Instrument.

Section 3.2 is amended

(

a) in subsection (2) by replacing "seven" with "15",

(

b) in paragraph (3)(

a) by replacing "month" with "calendar quarter", and

(

c) by adding the following subsection:

(6) For the purposes of subsection (5), if information in a

marketplace's Form 21-101F1 or Form 21-101F2, as applicable,

has not changed since the marketplace filed its most recent Form

21-101F1 or Form 21-101F2 under subsection (5), the marketplace

may incorporate that information by reference into its updated and

consolidated Form 21-101F1 or Form 21-101F2..

3. Subsection 4.2(1) is amended by deleting "the requirements outlined in".

Part 4 is amended by adding the following section:

4.3 Filing of Interim Financial Reports

A recognized exchange and a recognized quotation and trade reporting system

must file interim financial reports for each interim period, within 60 days after

the end of the interim period, prepared in accordance with paragraphs 4.1(1)(

a) and (b)..

5. Subparagraph 12.1(a)(

i) is replaced with the following:

(

i) adequate internal controls over those systems, and.

6. Subparagraph 12.1(a)(ii) is amended by adding "cyber resilience," after

"information security,".

7. Subparagraph 12.1(b)(ii) is amended by:

(

a) adding "processing capability" after "determine the",

(

b) deleting "ability",

(

c) adding "perform" after "those systems to",

(

d) deleting "process transactions", and

(

e) deleting "and" after "efficient manner,".

8. Paragraph 12.1(

c) is amended by:

(

a) deleting "material",

(

b) replacing "breach" wherever it occurs with "incident",

(

c) adding "that is material" before "and provide timely", and

(

d) adding ", and" at the end of the paragraph.

Section 12.1 is amended by adding the following paragraph:

(

d) keep a record of any systems failure, malfunction, delay or security

incident and identify whether or not it is material..

Section 12.1.1 is replaced with the following:

12.1.1 Auxiliary Systems - For each system that shares network resources

with one or more of the systems, operated by or on behalf of the

marketplace, that supports order entry, order routing, execution, trade

reporting, trade comparison, data feeds, market surveillance and trade

clearing, that, if breached, would pose a security threat to one or more

of the previously mentioned systems, a marketplace must

(

a) develop and maintain adequate information security controls that

relate to the security threats posed to any system that supports

order entry, order routing, execution, trade reporting, trade

comparison, data feeds, market surveillance and trade clearing,

(

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

regulatory authority and, if applicable, its regulation services

provider, of any security incident that is material and provide

timely updates on the status of the incident, the resumption of

service, where applicable, and the results of the marketplace's

internal review of the security incident, and

(

c) keep a record of any security incident and identify whether or not

it is material..

Part 12 is amended by adding the following section:

12.1.2 Vulnerability Assessments - On a reasonably frequent basis and, in

any event, at least annually, a marketplace must engage one or more

qualified parties to perform appropriate assessments and testing to

identify security vulnerabilities and measure the effectiveness of

information security controls that assess the marketplace's compliance

with paragraphs 12.1(

a) and 12.1.1(a)..

12. Subsection 12.2(1) is replaced with the following:

(1) On a reasonably frequent basis and, in any event, at least annually, a

marketplace must engage one or more qualified external auditors to

conduct an independent systems review and prepare a report in accordance

with established audit standards and best industry practices that assesses

the marketplace's compliance with

(

a) paragraph 12.1(a),

(

b) section 12.1.1, and

(

c) section 12.4..

13. Paragraph 12.2(2)(

b) is replaced with the following:

(

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

earlier of

(

i) the 30th day after providing the report to its board of directors or the

audit committee, and

(ii) the 60th day after the report's completion..

14. In the following provisions "and" is replaced with "or":

(

a) Paragraph 12.3(1)(a), and

(

b) Paragraph 12.3(2)(a).

15. Paragraph 12.3(3.1)(

a) is amended by replacing "(2)(a)" with "(2)(b)".

16. Subsection 12.4(3) is amended by replacing "marketplace" with "recognized

exchange or quotation and trade reporting system".

17. Paragraph 14.5(

a) is amended

(

a) in subparagraph (

i) by replacing "an adequate system of internal

controls" with "adequate internal controls", and

(

b) in subparagraph (ii) by adding "cyber resilience," after "information

security,".

18. Subparagraph 14.5(b)(ii) is amended by:

(

a) adding "processing capability" after "determine the",

(

b) deleting "ability",

(

c) adding "perform" after "those systems to", and

(

d) deleting "process information".

19. Paragraph 14.5(

c) is replaced with the following:

(

c) on a reasonably frequent basis and, in any event, at least annually, engage

one or more qualified external auditors to conduct an independent systems

review and prepare a report in accordance with established audit standards

and best industry practices that assesses the information processor's

compliance with paragraph (

a) and

section 14.6,.

20. Subparagraph 14.5(d)(ii) is replaced with the following:

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

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

the audit committee and the 60th day after the report's completion,.

21. Paragraph 14.5(

e) is replaced with the following:

(

e) promptly notify the following of any systems failure, malfunction, delay or

security incident that is material and provide timely updates on the status

of the failure, malfunction, delay or security incident, the resumption of

service, and the results of the information processor's internal review of

the failure, malfunction, delay or security incident:

(

i) the regulator or, in Qu‚bec, the securities regulatory authority;

(ii) any regulation services provider, recognized exchange or recognized

quotation and trade reporting system monitoring trading of the

securities about which information is provided to the information

processor, and.

Section 14.5 is amended by adding the following paragraph:

(

f) keep a record of any systems failure, malfunction, delay or security

incident and identify whether or not it is material..

Part 14 is amended by adding the following section:

14.5.1 Vulnerability Assessments

On a reasonably frequent basis and, in any event, at least annually, an

information processor must engage one or more qualified parties to perform

appropriate assessments and testing to identify security vulnerabilities and

measure the effectiveness of information security controls that assess the

information processor's compliance with paragraph 14.5(a)..

24. Form 21-101F1 is amended by replacing the portion of the Form after the

heading "EXHIBITS" and before the heading "Exhibit A - Corporate

Governance" with the following:

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

exchange or quotation and trade reporting system, the date of filing of the

Exhibit and the date as of which the information is accurate (if different from

the date of the filing). If any Exhibit required is inapplicable, a statement to that

effect must be included instead of the Exhibit.

Except as provided below, if the filer, recognized exchange or recognized

quotation and trade reporting system files an amendment to the information

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

Filing or a subsequent amendment, the filer, recognized exchange or recognized

quotation and trade reporting system, must, in order to comply with subsection

3.2(1), (2) or (3) of National Instrument 21-101 Marketplace Operation, provide

a description of the change and the actual or expected date of the

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

filer must provide a blacklined version showing changes from the previous

filing.

If the filer, recognized exchange or recognized quotation and trade reporting

system has otherwise filed the information required by the previous paragraph

pursuant to

section 5.5 of National Instrument 21-101 Marketplace Operation, it

is not required to file the information again as an amendment to an Exhibit.

However, if supplementary material relating to a filed rule is contained in an

Exhibit, an amendment to the Exhibit must also be filed..

25. Exhibit B of Form 21-101F1 is replaced with the following:

Exhibit B - Ownership

In the case of an exchange or quotation and trade reporting system that is a

corporation, other than an exchange or quotation and trade reporting system that

is a reporting issuer, provide a list of the beneficial holders of 10 percent or

more of any class of securities of the exchange or quotation and trade reporting

system. For each listed security holder, provide the following:

1. Name.

2. Principal business or occupation and title, if any.

3. Ownership interest, including the total number of securities held, the

percentage of the exchange or quotation and trade reporting system's

issued and outstanding securities held, and the class or type of security

held.

4. Whether the security holder has control (as interpreted in subsection

1.3(2) of National Instrument 21-101 Marketplace Operation).

In the case of an exchange or quotation and trade reporting system that is a

partnership, sole proprietorship or other type of organization, provide a list of

the registered or beneficial holders of the partnership interests or other

ownership interests in the exchange or quotation and trade reporting system.

For each person or company listed, provide the following:

1. Name.

2. Principal business or occupation and title, if any.

3. Nature of the ownership interest, including a description of the type of

partnership interest or other ownership interest.

4. Whether the person or company has control (as interpreted in

subsection 1.3(2) of National Instrument 21-101 Marketplace

Operation)..

Section 1 of Exhibit C of Form 21-101F1 is amended by

(

a) repealing Item 4, and

(

b) repealing Item 5.

27. Exhibit D of Form 21-101F1 is amended by

(

a) repealing Item 2 of

section 2,

(

b) repealing Item 5 of

section 2, and

(

c) repealing Item 6 of

section 2.

28. Exhibit E of Form 21-101F1 is amended by

(

a) deleting ", including a description of any co-location arrangements" in

Item 2 after "services",

(

b) repealing Item 7, and

(

c) repealing Item 8.

29. Exhibit G of Form 21-101F1 is amended by

(

a) replacing "high level" with "high-level" in Item 1 under "General",

(

b) replacing "the Instrument" with "National Instrument 21-101

Marketplace Operation" in Item 2 under "General" and in Item 3 under

"Systems", and

(

c) replacing "are" with "is" in Item 2 under "IT Risk Assessment".

30. Form 21-101F2 is amended by replacing the portion of the Form after the

heading "EXHIBITS" and before the heading "Exhibit A - Corporate

Governance" with the following:

File all Exhibits with the Initial Operation Report. For each Exhibit, include the

name of the ATS, the date of filing of the Exhibit and the date as of which the

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

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

the Exhibit.

If the ATS files an amendment to the information provided in its Initial

Operation Report and the information relates to an Exhibit filed with the Initial

Operation Report or a subsequent amendment, the ATS must, in order to

comply with subsection 3.2(1), (2) or (3) of National Instrument 21-101

Marketplace Operation, provide a description of the change and the actual or

expected date of the implementation of the change, and file a complete and

updated Exhibit. The ATS must provide a blacklined version showing changes

from the previous filing..

31. Exhibit B of Form 21-101F2 is replaced with the following:

Exhibit B - Ownership

In the case of an ATS that is a corporation, other than an ATS that is a reporting

issuer, provide a list of the beneficial holders of 10 percent or more of any class

of securities of the ATS. For each listed security holder, provide the following:

1. Name.

2. Principal business or occupation and title, if any.

3. Ownership interest, including the total number of securities held, the

percentage of the ATS's issued and outstanding securities held, and the

class or type of security held.

4. Whether the security holder has control (as interpreted in subsection

1.3(2) of National Instrument 21-101 Marketplace Operation).

In the case of an ATS that is a partnership, sole proprietorship or other type of

organization, provide a list of the registered or beneficial holders of the

partnership interests or other ownership interests in the ATS. For each person

or company listed, provide the following:

1. Name.

2. Principal business or occupation and title, if any.

3. Nature of the ownership interest, including a description of the type of

partnership interest or other ownership interest.

4. Whether the person or company has control (as interpreted in

subsection 1.3(2) of National Instrument 21-101 Marketplace

Operation)..

Section 1 of Exhibit C of Form 21-101F2 is amended by

(

a) repealing Item 4, and

(

b) repealing Item 5.

33. Exhibit D of Form 21-101F2 is amended by

(

a) repealing Item 2 of

section 2, and

(

b) repealing Item 5 of

section 2.

34. Exhibit E of Form 21-101F2 is amended by

(

a) deleting ", including a description of any co-location arrangements" in

Item 2,

(

b) repealing Item 7, and

(

c) repealing Item 8.

35. Exhibit G of Form 21-101F2 is amended by

(

a) replacing "high level" with "high-level" in Item 1 under "General",

(

b) replacing "the Instrument" with "National Instrument 21-101

Marketplace Operation" in Item 2 under "General" and in Item 3 under

"Systems", and

(

c) replacing "are" with "is" in Item 2 under "IT Risk Assessment".

36. Part A of Form 21-101F3 is amended by

(

a) repealing Item B in

section 3,

(

b) repealing Item C in

section 3,

(

c) repealing

section 4,

(

d) repealing

section 5,

(

e) repealing

section 6, and

(

f) repealing

section 7. Section 1 of Part B of Form 21-101F3 is amended by

(

a) repealing Item 1 and Chart 1,

(

b) repealing Item 2 and Chart 2,

(

c) repealing Item 3 and Chart 3,

(

d) repealing Item 4 and Chart 4,

(

e) repealing Item 5 and Chart 5, and

(

f) repealing Item 6 and Chart 6.

Section 2 of Part B of Form 21-101F3 is amended by

(

a) repealing Item 3, and

(

b) repealing Chart 9.

39. Form 21-101F5 is amended by replacing the portion of the Form after the

heading "Exhibits" and before the heading "Exhibit A - Corporate

Governance" with the following:

File all Exhibits with the Initial Form. For each Exhibit, include the name of the

information processor, the date of filing of the Exhibit and the date as of which

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

Exhibit required is inapplicable, a statement to that effect must be included

instead of the Exhibit.

If the information processor files an amendment to the information provided in

its Initial Form, and the information relates to an Exhibit filed with the Initial

Form or a subsequent amendment, the information processor must, in order to

comply with sections 14.1 and 14.2 of National Instrument 21-101 Marketplace

Operation, provide a description of the change and the actual or expected date

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

The information processor must provide a blacklined version showing changes

from the previous filing..

Section 1 of Exhibit C of Form 21-101F5 is amended by

(

a) replacing "directors," with "officers," after "list of the partners,",

(

b) repealing Item 4, and

(

c) repealing Item 5.

Section 1 of Exhibit G of Form 21-101F5 is amended by replacing "National

Instruments 21-101 and 23-101" with "National Instrument 21-101 Marketplace

Operation and National Instrument 23-101 Trading Rules".

42. In the following provisions of Form 21-101F5, "National Instrument 21-101"

is replaced with "National Instrument 21-101 Marketplace Operation":

(

a) Section 2 of Exhibit J,

(

b) Section 1 of Exhibit K, and

(

c) Exhibit M wherever the expression occurs.

(1) The Instrument comes into force on September 14, 2020.

(2) In Saskatchewan, despite subsection (1), if this Instrument is filed with the

Registrar of Regulations after September 14, 2020, this Instrument comes

into force on the day on which it is filed with the Registrar of Regulations.

AMENDMENTS TO NATIONAL INSTRUMENT 44-102

SHELF DISTRIBUTIONS

(Securities Act)

Made as a rule by the Alberta Securities Commission on April 15, 2020 pursuant to

sections 223 and 224 of the Securities Act.

Amendments to National Instrument 44-102 Shelf Distributions

1. National Instrument 44-102 Shelf Distributions is amended by this

Instrument.

Part 9 is replaced with the following:

PART 9 - AT-THE-MARKET DISTRIBUTIONS OF EQUITY

SECURITIES UNDER SHELF

9.1

Definitions - In this Part,

"ATM prospectus" means

(

a) a base shelf prospectus for an at-the-market distribution,

(

b) a shelf prospectus supplement to a base shelf prospectus referred to

in paragraph (a), or

(

c) a shelf prospectus supplement establishing an at-the-market

distribution;

"investment dealer" has the meaning ascribed to it in National Instrument 31-

103 Registration Requirements, Exemptions and Ongoing Registrant

Obligations;

"marketplace" has the meaning ascribed to it in National Instrument 21-101

Marketplace Operation.

9.2 Provisions Not Applicable to an At-the-Market Distribution

(1) The following provisions do not apply to an issuer distributing a security

under an ATM prospectus:

(

a) section 7.2 of NI 41-101;

(

b) Item 20 of Form 44-101F1;

(

c) item 8 of

section 5.5 of this Instrument.

(2) Item 8 of

section 5.5 of this Instrument does not apply to an investment

dealer acting as an underwriter in connection with a distribution of a

security under an ATM prospectus.

(3) The requirement to send or deliver a prospectus under securities

legislation does not apply in connection with a distribution of a security

under an ATM prospectus.

9.3 Requirements for Issuers and Underwriters Conducting an At-the-

Market Distribution

(1) An issuer must not distribute a security under an ATM prospectus as part

of an at-the-market distribution unless the following apply:

(

a) a security of the same class being distributed is listed and trading on

a short form eligible exchange;

(

b) the security being distributed is an equity security;

(

c) the security being distributed is distributed through an investment

dealer acting as an underwriter in connection with the distribution;

(

d) with respect to any agreement with an investment dealer referred to

in paragraph (

c) to distribute the security, the issuer

(

i) has issued and filed a news release

(

A) announcing that the issuer has entered into the agreement,

(

B) indicating that an ATM prospectus has been or will be

filed, and

(

C) specifying where and how a purchaser of a security under

the at-the-market distribution may obtain a copy of the

agreement and the ATM prospectus, and

(ii) has filed a copy of the agreement;

(

e) the issuer distributes the security through a marketplace;

(

f) if applicable, the issuer has disclosed that the completion of the

distribution would constitute a material fact or material change;

(

g) the cover page of the base shelf prospectus states that it may qualify

an at-the-market distribution;

(

h) the ATM prospectus states in substantially the following words:

"Securities legislation in some provinces and territories of

Canada provides purchasers of securities with the right to

withdraw from an agreement to purchase securities and with

remedies for rescission or, in some jurisdictions, revisions of

the price, or damages if the prospectus, prospectus supplement,

and any amendment relating to securities purchased by a

purchaser are not sent or delivered to the purchaser. However,

purchasers of [describe securities] distributed under an at-the-

market distribution by [name of issuer] do not have the right to

withdraw from an agreement to purchase the [describe

securities] and do not have remedies of rescission or, in some

jurisdictions, revisions of the price, or damages for non-

delivery of the prospectus, prospectus supplement, and any

amendment relating to [describe securities] purchased by such

purchaser because the prospectus, prospectus supplement, and

any amendment relating to the [describe securities] purchased

by such purchaser will not be sent or delivered, as permitted

under

Part 9 of National Instrument 44-102 Shelf Distributions.

Securities legislation in some provinces and territories of

Canada further provides purchasers with remedies for

rescission or, in some jurisdictions, revisions of the price or

damages if the prospectus, prospectus supplement, and any

amendment relating to securities purchased by a purchaser

contains a misrepresentation. Those remedies must be exercised

by the purchaser within the time limit prescribed by securities

legislation. Any remedies under securities legislation that a

purchaser of [describe securities] distributed under an at-the-

market distribution by [name of issuer] may have against [name

of issuer] or its agents for rescission or, in some jurisdictions,

revisions of the price, or damages if the prospectus, prospectus

supplement, and any amendment relating to securities

purchased by a purchaser contain a misrepresentation will

remain unaffected by the non-delivery of the prospectus

referred to above.

A purchaser should refer to applicable securities legislation for

the particulars of these rights and should consult a legal

adviser.";

(

i) if there has been a statement of a purchaser's rights contained in a

previous version of the ATM prospectus, the issuer discloses in the

current ATM prospectus a statement to the effect that, solely with

regard to the at-the-market distribution, the statement of rights

required to be included in the ATM prospectus, under paragraph (h),

supersedes the previous statement;

(

j) the ATM prospectus states:

"No underwriter of the at-the-market distribution, and no

person or company acting jointly or in concert with an

underwriter, may, in connection with the distribution, enter into

any transaction that is intended to stabilize or maintain the

market price of the securities or securities of the same class as

the securities distributed under the ATM prospectus, including

selling an aggregate number or principal amount of securities

that would result in the underwriter creating an over-allocation

position in the securities.";

(

k) the ATM prospectus includes the certificates required under

Part 5 of

NI 41-101, or other securities legislation in the form required under

section 9.5 or 9.6 of this Instrument, as applicable;

(

l) if the issuer is an investment fund, the ATM prospectus includes a

statement that the at-the-market distribution will be conducted in

accordance with paragraph 9.3(2)(

a) of National Instrument 81-102

Investment Funds.

(2) An underwriter of an at-the-market distribution, or a person or company

acting jointly or in concert with the underwriter, must not, in connection

with the distribution, enter into any transaction that is intended to stabilize

or maintain the market price of the same class of securities distributed

under the at-the-market distribution, including for greater certainty,

trading a security that would result in the underwriter creating an over-

allocation position in that class of securities.

9.4 Reporting

(1) Subject to subsection (2), for each annual and interim period of the issuer

during which the issuer distributes securities under an ATM prospectus,

the issuer must, within 60 days after the end of the interim period or 120

days after the end of the annual period, as applicable, file a report,

disclosing

(

a) the number and average price of the securities distributed under the

ATM prospectus, and

(

b) the aggregate gross and aggregate net proceeds raised, and the

aggregate commissions paid or payable, under the ATM prospectus

during the annual or interim period, as applicable.

(2) Subsection (1) does not apply if, in each of its filed interim financial

reports, annual financial statements, and management discussion and

analysis, for the interim period or year, as applicable, following the

distribution, the issuer discloses

(

a) the number and average price of the securities distributed under the

ATM prospectus, and

(

b) the aggregate gross and aggregate net proceeds raised, and the

aggregate commissions paid or payable, under the ATM prospectus

during the annual or interim period, as applicable.

9.5 Form of Certificates - Base Shelf Prospectus Establishing an At-the-

Market Distribution

(1) If a base shelf prospectus establishes an at-the-market distribution, an

issuer certificate form required under paragraph 9.3(1)(

k) must state the

following:

"This short form prospectus, together with the documents

incorporated in this prospectus by reference, will, as of the date of a

particular distribution of securities under the prospectus, constitute

full, true and plain disclosure of all material facts relating to the

securities offered by this prospectus and the supplement as required

by the securities legislation of [insert name of each jurisdiction in

which qualified]."

(2) If a base shelf prospectus establishes an at-the-market distribution, an

underwriter certificate form required under paragraph 9.3 (1)(

k) must state

the following:

"To the best of our knowledge, information and belief, this short

form prospectus, together with the documents incorporated in this

prospectus by reference, will, as of the date of a particular

distribution of securities under the prospectus, constitute full, true

and plain disclosure of all material facts relating to the securities

offered by this prospectus and the supplement as required by the

securities legislation of [insert name of each jurisdiction in which

qualified]."

(3) For an amendment to a base shelf prospectus that includes the form of

certificates required under subsections (1) and (2), if the amendment does

not restate the base shelf prospectus,

(

a) the issuer certificate form must state the following:

"The short form prospectus dated [insert date] as amended by

this amendment, together with the documents incorporated in

this prospectus by reference, will, as of the date of a particular

distribution of securities under the prospectus, constitute full,

true and plain disclosure of all material facts relating to the

securities offered by this prospectus and the supplement as

required by the securities legislation of [insert name of each

jurisdiction in which qualified].", and

(

b) the underwriter certificate form must state the following:

"To the best of our knowledge, information and belief, the short

form prospectus dated [insert date] as amended by this

amendment, together with the documents incorporated in this

prospectus by reference, will, as of the date of a particular

distribution of securities under the prospectus, constitute full,

true and plain disclosure of all material facts relating to the

securities offered by this prospectus and the supplement as

required by the securities legislation of [insert name of each

jurisdiction in which qualified]."

(4) For an amended and restated base shelf prospectus, in respect of a base

shelf prospectus that includes the certificates required under subsections

(1) and (2),

(

a) the issuer certificate form must state the following:

"This amended and restated short form prospectus, together with

the documents incorporated in this prospectus by reference, will,

as of the date of a particular distribution of securities under the

prospectus, constitute full, true and plain disclosure of all

material facts relating to the securities offered by this prospectus

and the supplement as required by the securities legislation of

[insert name of each jurisdiction in which qualified].", and

(

b) the underwriter certificate form must state the following:

"To the best of our knowledge, information and belief, this

amended and restated short form prospectus, together with the

documents incorporated in this prospectus by reference, will, as

of the date of a particular distribution of securities under the

prospectus, constitute full, true and plain disclosure of all

material facts relating to the securities offered by this prospectus

and the supplement as required by the securities legislation of

[insert name of each jurisdiction in which qualified]."

9.6 Form of Certificates - Shelf Prospectus Supplement Establishing an

At-the Market Distribution

(1) If the form of certificate required under subsection 9.5(1) was not

included in the corresponding base shelf prospectus, the issuer certificate

form required under paragraph 9.3(1)(

k) must, in a shelf prospectus

supplement that establishes an at-the-market distribution, state the

following:

"The short form prospectus, together with the documents

incorporated in the prospectus by reference, as supplemented by the

foregoing, will, as of the date of a particular distribution of securities

under the prospectus, constitute full, true and plain disclosure of all

material facts relating to the securities offered by the prospectus and

the supplement as required by the securities legislation of [insert

name of jurisdiction in which qualified]."

(2) If the form of certificate required under subsection 9.5(2) was not

included in the corresponding base shelf prospectus, the underwriter

certificate form required under paragraph 9.3(1)(

k) must, in a shelf

prospectus supplement that establishes an at-the-market distribution, state

the following:

"To the best of our knowledge, information and belief, the short form

prospectus, together with the documents incorporated in the

prospectus by reference, as supplemented by the foregoing, will, as

of the date of a particular distribution of securities under the

prospectus, constitute full, true and plain disclosure of all material

facts relating to the securities offered by the prospectus and the

supplement as required by the securities legislation of [insert name of

jurisdiction in which qualified]."

(3) For an amendment to a shelf prospectus supplement that includes the

certificates required under subsections (1) and (2), if the amendment does

not restate the shelf prospectus supplement,

(

a) the issuer certificate form must state the following:

"The short form prospectus, together with the documents

incorporated in the prospectus by reference, as supplemented by

the foregoing as it amends the shelf prospectus supplement dated

[insert date], will, as of the date of a particular distribution of

securities under the prospectus, constitute full, true and plain

disclosure of all material facts relating to the securities offered

by the prospectus and the supplement as required by the

securities legislation of [insert name of jurisdiction in which

qualified].", and

(

b) the underwriter certificate form must state the following:

"To the best of our knowledge, information and belief, the short

form prospectus, together with the documents incorporated in

the prospectus by reference, as supplemented by the foregoing

as it amends the shelf prospectus supplement dated [insert date],

will, as of the date of a particular distribution of securities under

the prospectus, constitute full, true and plain disclosure of all

material facts relating to the securities offered by the prospectus

and the supplement as required by the securities legislation of

[insert name of jurisdiction in which qualified]."

(4) For an amended and restated shelf prospectus supplement in respect of a

shelf prospectus supplement that includes the certificates required under

subsections (1) and (2),

(

a) the issuer certificate form must state the following:

"The short form prospectus, together with the documents

incorporated in the prospectus by reference, as supplemented by

the foregoing, will, as of the date of a particular distribution of

securities under the prospectus, constitute full, true and plain

disclosure of all material facts relating to the securities offered

by the prospectus and the supplement as required by the

securities legislation of [insert name of jurisdiction in which

qualified].", and

(

b) the underwriter certificate form must state the following:

"To the best of our knowledge, information and belief, the short

form prospectus, together with the documents incorporated in

the prospectus by reference, as supplemented by the foregoing,

will, as of the date of a particular distribution of securities under

the prospectus, constitute full, true and plain disclosure of all

material facts relating to the securities offered by the prospectus

and the supplement as required by the securities legislation of

[insert name of jurisdiction in which qualified].".

3. Paragraph 9.3(1)(

g) of National Instrument 44-102 Shelf Distributions, as

enacted by

section 2 of this Instrument, does not apply in respect of a base shelf

prospectus if the prospectus was filed

(

a) before August 31, 2020, and

(

b) for an at-the-market distribution in respect of which the issuer

applied for and obtained an exemption from the requirement to send

or deliver a prospectus.

(1) This Instrument comes into force on August 31, 2020.

(2) In

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

of Regulations after August 31, 2020, these regulations come into force on the day on

which they are filed with the Registrar of Regulations.

Public Sale of Land

(Municipal Government Act)

Cardston County

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

Cardston County will offer for sale, by public auction, in the County Administration

Building, 1050 Main Street, Cardston, Alberta, on Wednesday, October 21, 2020, at

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

Lot

Block

Plan

Land Description

Acres

C. of T.

5652BD

S 23-2-25-W4

37.00

1251FQ

NE 10-3-24-W4

0.90

NW 32-4-27-W4

9.23

370BD

18-4-27-W4

1.95

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

conditions contained in the existing certificate of title.

Cardston County may, after the public auction, become the owner of any parcel of

land not sold at the public auction.

Terms: Cash/certified cheque.

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

prior to the sale.

Dated at Cardston, Alberta, August 12, 2020.

Murray L Millward B.Mgt. CLGM, Chief Administrative Officer.

_______________

Flagstaff County

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

Flagstaff County will offer for sale, by public auction, in the Flagstaff County Office,

12435 Township Road 442, Sedgewick, Alberta, on Wednesday, October 28, 2020, at

11:00 a.m., the following lands:

Lot

Block

Plan

C. of T.

6044AJ

052010446+1

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

conditions contained in the existing certificate of title.

Flagstaff County may, after the public auction, become the owner of any parcel of

land not sold at the public auction.

Terms: Cash, certified cheque, or bank draft.

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

prior to the sale.

Dated at Sedgewick, Alberta, August 13, 2020.

Shelly Armstrong, Chief Administrative Officer.

_______________

Kneehill County

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

Kneehill County will offer for sale, by public auction, in the Kneehill County Office,

1600 2 Street NE, Three Hills, Alberta, on Thursday, October 15, 2020, at 2:00 p.m.,

the following lands:

Lot

Block

Plan

Pt. of Sec.

Sec.

Twp.

Rge.

C. of T.

31-34

5050AK

35-36

5050AK

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

and conditions contained in the existing certificate of title.

The land is being offered for sale on an "as is, where is" basis, and Kneehill County

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

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

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

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

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

announced at the sale, or may be obtained from the undersigned.

Kneehill County may, after the public auction, become the owner of any parcel of

land not sold at the public auction.

Terms: Cash or certified cheque. GST will apply on land sold at the public auction.

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

prior to the sale.

Dated at Three Hills, Alberta, July 27, 2020.

Bill McKennan, Director of Corporate Services.

_______________

Wheatland County

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

Wheatland County will offer for sale, by public auction, at the Wheatland County

Council Chambers on Thursday, October 22, 2020, at 9:00 a.m., the following lands:

Lot

Block

Plan

Legal Description

C. of T.

10, 11

632AF

14, 15

632AF

6197AW

23-25

249B

4-24-023-19-NW

8-10

4610AV

4-26-022-21-SE

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

and conditions contained in the existing certificate of title.

The land is being offered for sale on an "as is, where is" basis, and Wheatland County

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

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

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

subject land for any intended use by the Purchaser.

Wheatland County may, after the public auction, become the owner of any parcel of

land not sold at the public auction.

Terms: Cash, money order, or certified cheque.

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

prior to the sale.

Dated at Strathmore, Alberta, August 17, 2020.

Brian Henderson, CAO

_______________

Municipal District of Acadia No. 34

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

the Municipal District of Acadia No. 34 will offer for sale, by public auction, in the

Acadia Valley Community Hall, #8 1 Avenue NE, Acadia Valley, Alberta, on

Monday, October 19, 2020, at 11:00 a.m., the following lands:

Lot

Block

Plan

C. of T.

LINC

6194GQ

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

conditions contained in the existing certificate of title.

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

District of Acadia No. 34 makes no representation and gives no warranty whatsoever

as to the adequacy of services, soil conditions, land use districting, building and

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

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

The Municipal District of Acadia No. 34 may, after the public auction, become the

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

Terms: Cash, money order or certified cheque (payable immediately).

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

prior to the sale.

Dated at Acadia Valley, Alberta, August 12, 2020.

Jason Wallsmith, Chief Administrative Officer.

_______________

Town of Calmar

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

the Town of Calmar will offer for sale, by public auction, at the Calmar Town

Council Chambers, 4901 50 Avenue, Calmar, Alberta, on Thursday, October 29,

2020, at 9:30 a.m., the following lands:

Lot

Block

Plan

C. of T.

S50'-7

4063ET

7, 8

4656EO

25N221

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

and conditions contained in the existing certificate of title.

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

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

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

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

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

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

those specified by the Town of Calmar.

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

land not sold at the public auction.

Terms: Cash, money order, or certified cheque.

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

prior to the sale.

Dated at Calmar, Alberta, August 31, 2020.

Kathy Krawchuk, Chief Administrative Officer.

_______________

Town of Ponoka

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

the Town of Ponoka will offer for sale, by public auction, in the Town of Ponoka

Council Chambers, 200-5604 50 Street, Ponoka, Alberta, on Wednesday, October 14,

2020, at 1:00 p.m., the following parcels:

Roll

Lot

Block

Plan

C. of T.

RN7C

4460TR

1. A parcel of land offered for sale may be redeemed by payment of all arrears,

penalties and costs by guaranteed funds at any time until the property is declared

sold.

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

reservations and conditions contained in the existing certificate of title.

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

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

state of the parcel nor its suitability for any intended use by the successful bidder.

4. The auctioneer, councillors, the chief administrative officer and the designated

officers and employees of the municipality must not bid or buy any parcel of land

offered for sale, unless directed by the municipality to do so on behalf of the

municipality.

5. The purchaser of the property will be responsible for property taxes for the

current year.

6. The purchaser will be required to execute a sale agreement in form and substance

provided by the municipality.

7. The successful purchaser must, at the time of sale, make payment in cash,

certified cheque or bank draft payable to the municipality as follows:

a. The full purchase price if it is $10,000 or less; OR

b. If the purchase price is greater than $10,000, the purchaser must provide a

non-refundable deposit in the amount of $10,000 and the balance of the

purchase price must be paid within 20 days of the sale.

8. GST will be collected on all properties subject to GST.

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

auction.

10. The purchaser is responsible for obtaining vacant possession.

11. The purchaser will be responsible for registration of the transfer including

registration fees.

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

cannot be sold at the public auction.

13. The municipality may, after the public auction, become the owner of any parcel

of land that is not sold at the public auction.

14. Once the property is declared sold at public auction, the previous owner has no

further right to pay the tax arrears.

Dated at Ponoka, Alberta, August 13, 2020.

Albert Flootman, Chief Administrative Officer.

_______________

Town of Redwater

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

the Town of Redwater will offer for sale, by public auction, in the office of the Town

of Redwater, 4924 47 Street, Redwater, Alberta, on Tuesday, November 17, 2020, at

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

Pt. of Sec.

Sec.

Twp.

Rge.

C. of T.

Lot

Block

Plan

C. of T.

6229NY

206E242A

1473HW

162 238 329

6799ET

062 488 645

162 034 734

14A

192 177 323+2

192 177 323+1

192 177 323

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

and conditions contained in the existing certificate of title.

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

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

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

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

of the subject land for any intended use by the purchaser.

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

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

auction regarding the lands to be sold.

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

of land not sold at the public auction.

Terms: Cash or certified cheque, payable immediately following the public auction.

GST will apply to all properties subject to GST sold at the auction.

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

prior to the sale.

Dated at Redwater, Alberta, July 13, 2020.

Larry Davidson, Town Manager.

_______________

Town of Sexsmith

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

the Town of Sexsmith will offer for sale, by public auction, in the Town Office,

Sexsmith, Alberta, on Tuesday, October 13, 2020, at 1:30 p.m., the following lands:

Lot

Block

Plan

C. of T.

1, PT2

2818 EO

102 372 719

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

conditions contained in the existing certificate of title.

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

of land not sold at the public auction.

Terms: Cheque for 10% of bid price to accompany bid. Balance to be paid within 14

days of sale.

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

prior to the sale.

Dated at Sexsmith, Alberta, August 12, 2020.

Rachel Wueschner, CAO.

_______________

Village of Alix

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

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

4849 50 Street, Alix, Alberta, on Tuesday, November 10, 2020, at 9:00 a.m., the

following parcels:

Roll

Lot

Block

Plan

C. of T.

7.100

18, 19

RN30

3.000