Alberta Gazette, Part I — Thursday, November 30, 2017
Thursday, November 30, 2017
Alberta — Gazette
The Alberta Gazette
Part I
Vol. 113 Edmonton, Thursday, November 30, 2017 No. 22
APPOINTMENTS
Appointment of Non-Presiding Justices of the Peace
(Justice of the Peace Act)
August 23, 2017
Anderson, Patricia Alice of Drumheller
Chapman, Rebecca Anne of Edmonton
Huq, Zak of Calgary
Lisk, Jessica Lynn of Calgary
Logel, Janine Melody of Drumheller
Powers-Sanford, Crystal Margret of Red Deer
September 20, 2017
Bayat, Zahra of Calgary
Mitchell, Benjamin Thomas of Calgary
October 10, 2017
Neale, Brianna Christine of Calgary
Vandekerkhove, Angela Gabrielle Madonna of Calgary
Reappointment of Part-time Justice of the Peace
(Justice of the Peace Act)
October 13, 2017
John George Szekeres
For a term to expire on October 12, 2018.
Reappointment of Part-time Provincial Court Judge
(Provincial Court Act)
November 22, 2017
Honourable Judge Evan Darrell Riemer
For a term to expire on November 21, 2018.
ORDERS IN COUNCIL
O.C. 200/2016
(Municipal Government Act)
Approved and ordered:
Catherine A. Fraser
Administrator. July 7, 2016
The Lieutenant Governor in Council orders that
a) Order in Council numbered O.C. 817/94 is amended in
Schedule 3 by
striking out the description for Area 1 and substituting the description for
Area 1 as set out in the attached Appendix A;
b) for taxation purposes in 2016, the land described in Appendix B and shown
on the sketch in Appendix C and assessable improvements to it must be
taxed using the municipal tax rate established for the Fort McMurray Urban
Service Area for property of the same assessment class.
Rachel Notley, Chair.
______________
APPENDIX A
URBAN SERVICE AREA
AREA 1
Area 1 is made up of all lands contained within the limits of the following boundaries,
excluding lands comprising any Indian Reserve or M‚tis Settlement situated therein:
Commencing at the southeast corner of
section 1, township 88, range 9 proceeding
westerly along the southern boundary of said
section 1 and
section 2 township 88,
range 9, across the government road allowance to the intersection with the eastern
boundary of Road Plan 102 5453,
thence northerly along the eastern boundary of said Road Plan 102 5453 to its
intersection with Road Plan 627 PX,
thence northerly along the eastern boundary of said Road Plan 627 PX, across the
government road allowance to its point of intersection with the eastwardly projected
northern boundary of the south half of
section 27, township 88, range 9,
thence westerly along the northern boundary of the south half of said
section 27
across Road Plan 627 PX and projected to a point of intersection with the right bank
of the Hangingstone River,
thence following the right bank of the Hangingstone River downstream to the point of
intersection with the northern boundary of
section 4, township 89, range 9,
thence westerly along the northern boundary of said
section 4 and its projection to the
point of intersection with the right bank of the Horse River,
thence following the right bank of the Horse River downstream to its point of
intersection with the eastern boundary of
section 17, township 89, range 9,
thence northerly along the eastern boundary of said
section 17 projecting northward to
its intersection with the right bank of the Horse River,
thence downstream along the right bank of the Horse River to its point of
convergence with the right bank of the Athabasca River,
thence from said point of convergence following its projection beyond the right bank
of the Horse River to a point on the left bank of the Athabasca River,
thence upstream along the left bank of the Athabasca River to its intersection with the
southwestern boundary of River Lot 28 in the Settlement of McMurray,
thence northwesterly along the southwestern boundary of said River Lot 28 to its
intersection with the southern boundary of
section 13, township 89, range 10,
thence westerly along the southern boundary of said
section 13 and its projection
across the government road allowance to the western boundary of the southeast
quarter of
section 14, township 89, range 10,
thence northerly along the western boundary of said southeast quarter of
section 14
and its projection to a point of intersection with the southeast corner of the northwest
quarter of
section 23, township 89, range 10,
thence westerly along the southern boundary of said northwest quarter of
section 23
across the government road allowance to the point of intersection with the southeast
corner of the northeast quarter of
section 22, township 89, range 10,
thence northerly along the eastern boundary of said
section 22 and its projection
northward across the government road allowance to the point of intersection with the
northeast corner of the northeast quarter of
section 34, township 89, range 10,
thence easterly across the government road allowance along the northern boundary of
section 35, township 89, range 10 to the northeast corner of the northwest quarter of
said
section 35,
thence northerly across the government road allowance along the western boundary of
the southeast quarter of
section 2, township 90, range 10 to the northwest corner of
said southeast quarter of
section 2,
thence westerly along the southern boundary of the northwest quarter of
section 2,
township 90, range 10 across the government road allowance to the western boundary
of the northeast quarter of
section 3, township 90, range 10,
thence northerly along the west boundary of said
section 3 and its projection
northward to the intersection with the northern boundary of
section 10, township 90,
range 10,
thence easterly along the northern boundary of the northeast quarter of said
section 10
and its projection eastward across the government road allowances to a point of
intersection with the western boundary of Road Plan 012 1488,
thence southerly along the western boundary of said Road Plan 012 1488 to its
intersection with the northern boundary of the northwest quarter of
section 6,
township 90, range 9 and Road Plan 012 1487,
thence southerly along the western boundary of said Road Plan 012 1487 to its
intersection with the southern boundary of the north half of
section 6, township 90,
range 9,
thence easterly across Road Plan 012 1487 along the southern boundary of the said
north half of
section 6 and its projection eastward to the point of intersection with the
right bank of the Athabasca River,
thence upstream along the right bank of the Athabasca River to the point of its
convergence with the right bank of the Clearwater River,
thence upstream along the right bank of the Clearwater River to its intersection with
the northern boundary of the south half of
section 2, township 89, range 9,
thence westerly along the northern boundary of the south half of said
section 2 to the
intersection with a point 261 metres east of the northeast corner of the southeast
quarter of
section 3, township 89, range 9,
thence southeasterly across the government road allowance to the intersection with a
point 254 metres south of the northeast corner of the northeast quarter of
section 35,
township 88, range 9 on the eastern boundary of the said northeast quarter of
section
35,
thence south easterly across the government road allowance to the intersection with a
point 548 metres north of the northeast corner of the northeast quarter of
section 25,
township 88, range 9 on the eastern boundary of the southeast quarter of
section 36,
township 88, range 9,
thence southeasterly across the government road allowance to the intersection with a
point 351 metres north of the northwest corner of the northeast quarter of
section 30,
township 88, range 8 on the western boundary of the southeast quarter of
section 31,
township 88, range 8,
thence southerly along the western boundary of the said southeast quarter of
section
31 to the northwest corner of the northeast quarter of
section 30, township 88, range
thence easterly along the northern boundary of the said northeast quarter of
section 30
to the southwest corner of Lot 17, Block 1, Plan 062 6005,
thence south easterly across the government road allowance to the point where the
northern boundary of the southwest quarter of
section 29, township 88, range 8
intersects with the western boundary of Plan 4845 KS,
thence south easterly along the western boundary of said Plan 4845 KS to its
intersection with the northern boundary of the southwest quarter of
section 29,
township 88, range 8,
Thence easterly along the northern boundary of the southwest quarter of
section 29,
township 88, range 8 to its intersection with the northwestern corner of the
southeastern quarter of
section 29, township 88 range 8,
Thence easterly along the northern boundary of the southeastern quarter of
section 29,
township 88 range 8 to its intersection with the southern boundary of 1553 CL,
Thence easterly along the southern boundary of 1553 CL to its intersection with the
eastern boundary of the southeastern quarter of
section 29, township 88, range 8,
Thence northerly along the eastern boundary of the southeastern quarter of
section 29,
township 88, range 8 to the northeastern corner of the same quarter section,
Thence easterly across the government road allowance to the northwestern corner of
southwestern quarter of
section 28, township 88, range 8,
Thence easterly along the northern boundary of southwestern quarter of
section 28,
township 88, range 8, to its intersection with the northwestern corner of the
southeastern quarter of
section 28, township 88, range 8,
Thence easterly along the northern boundary of southeastern quarter of
section 28,
township 88, range 8, to its intersection with the northwestern corner of the
southwestern quarter of
section 28, township 88, range 8,
Thence easterly along the northern boundary of southwestern quarter of
section 27,
township 88, range 8, to its intersection with plan 852 1969,
Thence southerly along the western edge of plan 852 1969 to its southern edge,
Thence easterly along the southern edge of plan 852 1969 to its intersection with
western boundary of the southwestern quarter of
section 27, township 88, range 8,
Thence southerly along the western boundary southwestern quarter of
section 27,
township 88, range 8, crossing southerly 1553 CL and the government road
allowance, to its intersection with the northeastern corner of northwestern quarter of
section 22, township 88, range 8,
Thence southerly along the western boundary northwestern quarter of
section 22,
township 88, range 8, to its intersection with the northeastern corner of plan 152
0043,
Thence southerly along the eastern boundary of plan 152 0043 to its southeast corner,
Thence westerly along the southern boundary of plan 152 0043 its intersection with
the western edge of
section 22, township 88, range 8,
Thence southerly along the western edge of
section 22 its intersection with road plan
762 1811,
Thence southerly crossing road plan 762 1811 to the southern edge of said plan,
Thence westerly along the southern boundary of road plan 762 1811 extending across
the government road allowance to its intersection with the northeast corner of road
plan 062 6930,
Thence southerly along the eastern boundary of road plan 062 6930 to its southeast
corner,
Thence westerly along the southern boundary of road plan 062 6930 to its southwest
corner,
Thence northerly along the western boundary of road plan 062 6930 to its intersection
with the southern boundary of road plan 762 1811,
Thence westerly along the southern boundary of road plan 762 1811 extending across
the government road allowance, to its intersection with the southern boundary of
Road Plan 885 PX,
thence southwesterly along the southern boundary of said Road Plan 885 PX
extending to its intersection with the western boundary of the northwest quarter of
section 24, township 88, range 9,
thence northerly along the western boundary of the said northwest quarter of
section
24 to its northwest corner,
thence westerly across the government road allowance to its intersection with the
northeastern corner of the northeast quarter of
section 23, township 88, range 9,
thence southerly along the eastern boundary of said
section 23, and its projection to
the point of intersection with Lot 2, Block 1, Plan 102 5452,
thence southeasterly across the government road allowance along the eastern
boundary of Lot 2, Block 1, Plan 102 5452 to the intersection with the northern
boundary of the northwest quarter of
section 1, township 88, range 9,
thence easterly along the northern boundary of said northwest quarter of
section 1 to
its northeast corner,
thence southerly along the eastern boundary of said northwest quarter of
section 1 to
the point of intersection with the eastern boundary of Lot 2, Block 1, Plan 102 5452,
thence southeasterly along the eastern boundary of Lot 2, Block 1, Plan 102 5452 to
the intersection with the northern boundary of the southeast quarter of
section 1,
township 88, range 9,
thence easterly along the northern boundary of said southeast quarter of
section 1 to
its northeast corner,
thence southerly along the eastern boundary of said southeast quarter of
section 1,
township 88, range 9, to the point of commencement.
All of the above lands being located west of the Fourth Meridian in the province of
Alberta.
APPENDIX B
The following described lands, excluding lands comprising any Indian Reserve or
Metis settlement situated therein:
Township 88 In range 8,
all those portions of the northeast of
section 16 north of road plan 762 1811, including
road plan 762 1811;
all those portions of the northwest of
section 16 north of road plan 762 1811,
including road plan 762 1811;
all those portions of the northeast of
section 17 north of road plan 762 1811, including
road plan 762 1811;
all those portions of the northwest of
section 17 north of road plan 762 1811,
including road plan 762 1811 and road plan 062 6930;
all those portions of the northeast quarter of
section 19 north of road plan 762 1811,
including road plan 762 1811;
all those portions of
section 20 including north of road plan 762 1811 and road plan
062 6930, including road plan 762 1811;
all lands in
section 21;
all those portions of the northwest quarter
section 22 north of plan 152 0043,
including lands part of plan 152 0043;
all those portions of the southwest of
section 27 except those part of plan 852 1969;
all those lands in the southeast quarter of
section 28;
all those lands in the southwest quarter of
section 28;
all those portions of the southeast quarter
section 29 except lands part of plan 1553
CL and plan 3171 TR;
all those portions of the southwest quarter
section 29, east of right of way 4845 KS,
including right of way 4845 KS;
all those portions of the northeast quarter
section 29, legal subdivision 9, south of plan
1553 CL
all those portions of
section 30 south of road plan 885 PX and north of road plan 762
1811, including road plan 762 1811;
APPENDIX C
A SKETCH SHOWING THE GENERAL LOCATION OF THE LANDS
DESCRIBED IN APPENDIX B
O.C. 239/2017
(Municipal Government Act)
Approved and ordered:
Lois Mitchell
Lieutenant Governor. July 12, 2017
The Lieutenant Governor in Council, effective September 1, 2017,
(
a) dissolves the Village of Botha,
(
b) directs that the former area of the village be designated as a hamlet and
becomes part of the County of Stettler No. 6, and
(
c) makes the Order in the attached Appendix.
Rachel Notley, Chair.
______________
APPENDIX
ORDER DISSOLVING
THE VILLAGE OF BOTHA
1 In this Order,
(a) "Act" means the Municipal Government Act;
(b) "dissolution date" means September 1, 2017;
(c) "former area of the village" means the land in the Village of Botha before
the dissolution date;
(d) "receiving municipality" means The County of Stettler No. 6;
(e) "village" means the Village of Botha.
2 Effective September 1, 2017,
(
a) the Village of Botha is dissolved,
(
b) the land described in the
Schedule becomes part of The County of Stettler
No. 6,
(
c) the former area of the village is part of Ward 3 (Botha Gadsby) of the
receiving municipality until the receiving municipality passes a bylaw
pursuant to
section 148 of the Act that provides otherwise,
(
d) the former area of the village is designated as a hamlet to be known as the
Hamlet of Botha until the council of the receiving municipality changes the
designation in accordance with
section 59 of the Act,
(
e) the boundaries of the Hamlet of Botha are described in the Schedule,
(
f) all liabilities of the village, whether arising under debenture or otherwise,
and all assets, rights, duties, functions and obligations of the village are
vested in the receiving municipality and may be dealt with in the name of
the receiving municipality,
(
g) bylaws and resolutions of the village continue to apply in the former area of
the village until the bylaws or resolutions are repealed, amended or replaced
by the council of the receiving municipality,
(
h) the receiving municipality may impose an additional tax under
Part 10 of the
Act on property located in the former area of the village, including linear
property as defined in
section 284(1)(
k) of the Act, to pay for any liabilities
referred to in clause (
f) that exceed the assets referred to in clause (f),
(
i) the receiving municipality may, by bylaw, impose an additional tax under
Part 10 of the Act on the former area of the village to meet obligations under
a borrowing that was made
(
i) by the village prior to its dissolution, and
(ii) in respect of the former area of the village,
(
j) a bylaw referred to in clause (
i) may be passed each year until the borrowing
is fully repaid,
(
k) a reference to the village in any order, regulation, bylaw, certificate of title,
agreement or any other instrument is deemed to be a reference to the
receiving municipality,
(
l) the employees of the village at its dissolution are deemed to be employees of
the receiving municipality,
(
m) all employment records related to past and current employees of the village
are transferred to the receiving municipality, and
(
n) all liabilities related to past and current employees of the village are
transferred to the receiving municipality.
3(1) The receiving municipality shall use
(
a) money received from the village on its dissolution, and
(
b) money received from the sale of any assets of the village vested in the
receiving municipality under
section 2(
f) and sold by the receiving
municipality before December 31, 2022,
only for the purposes of paying or reducing a liability vested in the receiving
municipality under
section 2(
f) or for purposes for which the village could have used
it.
(2) All money referred to in subsection (1) must be accounted for separately by the
receiving municipality.
4 The assessor for The County of Stettler No. 6 shall keep the assessment and tax
rolls for the land described in the
Schedule separate from the assessment and tax rolls
for other land in The County of Stettler No. 6 for the period from September 1, 2017
to December 31, 2017, inclusive.
5(1) For the period from January 1, 2017 up to and including the dissolution date,
sections 276, 277 and 278 of the Act do not apply to the village and the receiving
municipality shall appoint an auditor to complete a review engagement of all financial
transactions of the village for that period.
(2) The scope of the review engagement shall be determined in accordance with the
generally accepted auditing standards for municipal governments.
6 If a complaint is made under
section 460 of the Act in respect of property located
in the former area of the village and is properly filed in accordance with the Act and
regulations before the dissolution date, the complaint
(
a) shall be heard and decided by the assessment review board established by
the village, if that board began hearing the matter before the dissolution
date, or
(
b) shall be heard and decided by the assessment review board established by
the receiving municipality, in any other case.
7 The Minister may decide any other matter relating to the rights, obligations,
liabilities, assets or any other thing in respect of the village resulting from the
dissolution of the village.
8 Pursuant to
section 14(1)(
e) of the Foreign Ownership of Land Regulations (AR
160/79), the land within the boundaries of the Hamlet of Botha is excluded from the
operation of those Regulations.
Schedule
HAMLET OF BOTHA
ALL THAT PORTION OF THE SOUTH HALF OF
SECTION THIRTY THREE
(33), TOWNSHIP THIRTY EIGHT (38), RANGE EIGHTEEN (18), WEST OF THE
FOURTH
(4) MERIDIAN, INCLUDING THE NORTH SOUTH ROAD
ALLOWANCE ON THE WEST SIDE OF SAID HALF SECTION, EXCLUDING
THE PORTION OF SAID HALF
SECTION CONTAINED WITHIN THE AREA
DESCRIBED AS FOLLOWS:
COMMENCING AT THE SOUTHWEST CORNER OF SAID HALF
SECTION, THENCE EASTWARD ALONG THE SOUTH BOUNDARY OF
SAID HALF
SECTION TO THE FIRST POINT WHERE THE SOUTH
BOUNDARY INTERSECTS THE SOUTH EASTERLY POINT OF PLAN 892
THENCE NORTH ALONG THE EAST BOUNDARY OF SAID PLAN TO ITS
INTERSECTION WITH THE SOUTH BOUNDARY OF THE EAST WEST
ROAD ALLOWANCE OF TOWNSHIP ROAD 385A.
THENCE NORTH ACROSS THE EAST WEST ROAD ALLOWANCE TO
ITS INTERSECTION WITH THE SOUTH BOUNDARY OF PLAN 082 1589.
THENCE EAST ALONG THE SOUTHERN BOUNDARY OF SAID PLAN
TO ITS INTERSECTION WITH THE SOUTH BOUNDARY OF PLAN 3417
AB.
THENCE EAST ALONG THE SOUTHERN BOUNDARY OF SAID PLAN
TO ITS INTERSECTION WITH THE EAST BOUNDARY OF SAID HALF
SECTION.
THENCE SOUTH ALONG THE EAST BOUNDARY OF SAID HALF
SECTION TO ITS INTERSECTION WITH THE SOUTHEAST CORNER OF
SAID HALF SECTION.
THENCE WEST ALONG THE SOUTH BOUNDARY OF SAID HALF
SECTION TO THE POINT OF COMMENCEMENT.
O.C. 240/2017
(Municipal Government Act)
Approved and ordered:
Lois Mitchell
Lieutenant Governor. July 12, 2017
The Lieutenant Governor in Council, effective September 1, 2017,
a) dissolves the Village of Willingdon,
b) directs that the former area of the village be designated as a hamlet and
becomes part of the County of Two Hills No. 21, and
c) makes the Order in the attached Appendix.
Rachel Notley, Chair.
______________
APPENDIX
ORDER DISSOLVING
THE VILLAGE OF WILLINGDON
1 In this Order,
(a) "Act" means the Municipal Government Act;
(b) "dissolution date" means September 1, 2017;
(c) "former area of the village" means the land in the Village of Willingdon
before the dissolution date;
(d) "receiving municipality" means the County of Two Hills No. 21;
(e) "village" means the Village of Willingdon.
2 Effective September 1, 2017,
(
a) the Village of Willingdon is dissolved,
(
b) the land described in the
Schedule becomes part of the County of Two Hills
No. 21,
(
c) the former area of the village is part of electoral division 4 of the receiving
municipality until the receiving municipality passes a bylaw pursuant to
section 148 of the Act that provides otherwise,
(
d) the former area of the village is designated as a hamlet to be known as the
Hamlet of Willingdon until the council of the receiving municipality
changes the designation in accordance with
section 59 of the Act,
(
e) the boundaries of the Hamlet of Willingdon are described in the Schedule,
(
f) all liabilities of the village, whether arising under debenture or otherwise,
and all assets, rights, duties, functions and obligations of the village are
vested in the receiving municipality and may be dealt with in the name of
the receiving municipality,
(
g) bylaws and resolutions of the village continue to apply in the former area of
the village until the bylaws or resolutions are repealed, amended or replaced
by the council of the receiving municipality,
(
h) the receiving municipality may impose an additional tax under
Part 10 of the
Act on property located in the former area of the village, including linear
property as defined in
section 284(1)(
k) of the Act, to pay for any liabilities
referred to in clause (
f) that exceed the assets referred to in clause (f),
(
i) the receiving municipality may, by bylaw, impose an additional tax under
Part 10 of the Act on the former area of the village to meet obligations under
a borrowing that was made
(
i) by the village prior to its dissolution, and
(ii) in respect of the former area of the village,
(
j) a bylaw referred to in clause (
i) may be passed each year until the borrowing
is fully repaid,
(
k) a reference to the village in any order, regulation, bylaw, certificate of title,
agreement or any other instrument is deemed to be a reference to the
receiving municipality,
(
l) the employees of the village at its dissolution are deemed to be employees of
the receiving municipality,
(
m) all employment records related to past and current employees of the village
are transferred to the receiving municipality, and
(
n) all liabilities related to past and current employees of the village are
transferred to the receiving municipality.
3(1) The receiving municipality shall use
(
a) money received from the village on its dissolution, and
(
b) money received from the sale of any assets of the village vested in the
receiving municipality under
section 2(
f) and sold by the receiving
municipality before December 31, 2022,
only for the purposes of paying or reducing a liability vested in the receiving
municipality under
section 2(
f) or for purposes for which the village could have used
it.
(2) All money referred to in subsection (1) must be accounted for separately by the
receiving municipality.
4 The assessor for the County of Two Hills No. 21 shall keep the assessment and
tax rolls for the land described in the
Schedule separate from the assessment and tax
rolls for other land in the County of Two Hills No. 21 for the period from September
1, 2017 to December 31, 2017, inclusive.
5(1) For the period from January 1, 2017 up to and including the dissolution date,
sections 276, 277 and 278 of the Act do not apply to the village and the receiving
municipality shall appoint an auditor to complete a review engagement of all financial
transactions of the village for that period.
(2) The scope of the review engagement shall be determined in accordance with the
generally accepted auditing standards for municipal governments.
6 If a complaint is made under
section 460 of the Act in respect of property located
in the former area of the village and is properly filed in accordance with the Act and
regulations before the dissolution date, the complaint
(
a) shall be heard and decided by the assessment review board established by
the village, if that board began hearing the matter before the dissolution
date, or
(
b) shall be heard and decided by the assessment review board established by
the receiving municipality, in any other case.
7 The Minister may decide any other matter relating to the rights, obligations,
liabilities, assets or any other thing in respect of the village resulting from the
dissolution of the village.
8 Pursuant to
section 14(1)(
e) of the Foreign Ownership of Land Regulations (AR
160/79), the land within the boundaries of the Hamlet of Willingdon is excluded from
the operation of those Regulations.
Schedule
HAMLET OF WILLINGDON
ALL THAT PORTION OF THE NORTH HALF OF
SECTION ELEVEN (11),
TOWNSHIP FIFTY-SIX (56), RANGE FIFTEEN (15), WEST OF THE FOURTH
MERIDIAN, EXCLUDING LANDS SOUTH OF PLAN 1092 E.O.
O.C. 259/2017
(Municipal Government Act)
Approved and ordered:
Lois Mitchell
Lieutenant Governor. September 14, 2017
The Lieutenant Governor in Council makes the Order Changing the Status of Lac
La Biche County to a Specialized Municipality set out in the attached Appendix.
Rachel Notley, Chair.
______________
APPENDIX
ORDER CHANGING THE STATUS OF LAC LA BICHE COUNTY TO A
SPECIALIZED MUNICIPALITY
Definitions
1 In this Order,
(a) "Act" means the Municipal Government Act;
(b) "council" means the council of the specialized municipality;
(c) "effective date" means January 1, 2018;
(d) "old municipality" means the municipal district of Lac La Biche
County formed by Order in Council numbered O.C. 332/2007;
(e) "specialized municipality" means the specialized municipality referred
to in
section 2 and named "Lac La Biche County" in
section 2(3);
(f) "Rural Service Area" means the area described as Area 1 in
Schedule 1;
(g) "Urban Service Area" means the area described as Area 2 in
Schedule
Change of status to specialized municipality
2(1) On the effective date, the status of the old municipality is changed from a
municipal district to a specialized municipality.
(2) The status of the old municipality is changed to a specialized municipality to
provide for the unique needs of a municipality including an urban centre and a
large rural territory.
(3) The official name of the specialized municipality is Lac La Biche County.
(4) The provisions of the Act and other enactments are modified to the extent
necessary to accomplish the intent of this Order.
(5) Except as otherwise provided in this Order, for the purposes of the Act and
all other enactments, but not for any other purpose, enactments applicable to a
town apply in the Urban Service Area and enactments applicable to a municipal
district apply in the Rural Service Area.
Municipal council structure
3(1) The council shall consist of 8 councillors and the chief elected official.
(2) The chief elected official shall have the title "Mayor".
(3) The chief elected official shall be elected by a vote of the electors and be
elected at large.
(4) The specialized municipality shall be divided into 7 electoral wards having
the boundaries described in
Schedule 2.
(5) Wards 1 to 6 shall have one councillor to be elected in each ward.
(6) Ward 7 shall have 2 councillors elected in that ward.
(7) The election and term of office for councillors and the Mayor are to be
governed by the Local Authorities Election Act.
Rural service area
4(1) The Rural Service Area shall be recognized as equivalent to a municipal
district by the Government of Alberta for the purposes of program delivery and
grant eligibility.
(2) The specialized municipality shall provide the Government of Alberta any
and all information required to administer programs or to determine the amount
of grants that would apply to the Rural Service Area if it were a municipal
district.
Urban service area
5(1) The Urban Service area shall be recognized as equivalent to a town by the
Government of Alberta for the purposes of program delivery and grant eligibility.
(2) The specialized municipality shall provide the Government of Alberta any
and all information required to administer programs or to determine the amount
of grants that would apply to the Urban Service Area if it were a town.
Taxation matters
6 The council may, for each taxation year, pass a property tax bylaw providing
for different tax rates for property in the Rural Service Area and in the Urban
Service Area for each assessment class or sub-class referred to in
section 297 of
the Act.
Determination of population
7(1) For the purpose of the determination of population under
section 6 of the
Police Act, the area of the specialized municipality, instead of being treated as an
individual entity, shall be treated as if it were the following 3 separate areas:
(
a) the Rural Service Area;
(
b) the Hamlet of Lac La Biche;
(
c) the Hamlet of Plamondon.
(2) For the purpose of reporting population to the Minister under
section 4 of
the Determination of Population Regulation (AR 63/2001), the form set out in
Schedule 4 to that Regulation may be adapted to list separately the population of
each of the 3 areas referred to in subsection (1).
(3) This
section ceases to apply when the population attributed under subsection
(1) to any of the areas referred to in subsection (1)(a), (
b) or (
c) exceeds 5000.
_______________
Schedule 1
Service Area Boundaries for the Specialized
Municipality of Lac La Biche County
The service areas for the specialized municipality of Lac La Biche County are as
follows:
AREA 1 - URBAN SERVICE AREA
Area 1 is made up of all those lands contained within the limits of the following
boundaries:
COMMENCING AT THE SOUTHEAST CORNER OF
SECTION THIRTY
(30), TOWNSHIP SIXTY-SIX (66), RANGE THIRTEEN (13), WEST OF THE
FOURTH (4TH) MERIDIAN, AND THEN PROCEEDING NORTHERLY
ALONG THE EAST BOUNDARY OF SAID
SECTION TO THE
INTERSECTION WITH THE NORTHERLY BOUNDARY OF TOWNSHIP
SIXTY-SIX (66), RANGE THIRTEEN (13), WEST OF THE FOURTH (4TH)
MERIDIAN,
THENCE EASTERLY ALONG THE NORTH BOUNDARY OF SAID
TOWNSHIP TO THE INTERSECTION WITH THE SOUTHEAST CORNER
OF
SECTION TWO (2), TOWNSHIP SIXTY-SEVEN (67), RANGE
THIRTEEN (13), WEST OF THE FOURTH (4TH) MERIDIAN,
THENCE NORTHERLY ALONG THE EASTERN BOUNDARY OF SAID
SECTION TO THE INTERSECTION WITH THE RIGHT SHORE OF THE
LAC LA BICHE LAKE,
THENCE WESTERLY ALONG THE SOUTHERN SHORE OF THE LAC LA
BICHE TO THE INTERSECTION WITH THE NORTHEAST CORNER OF
RIVER LOT 58 IN THE SETTLEMENT OF LAC LA BICHE, LOCATED IN
THE SOUTHEAST QUARTER OF
SECTION FOURTEEN (14), TOWNSHIP
SIXTY-SEVEN (67), RANGE FOURTEEN
(14) WEST OF THE FOURTH
(4TH) MERIDIAN,
THENCE SOUTHWESTERLY ALONG THE NORTH BOUNDARY OF
RIVER LOT 58 IN THE SETTLEMENT OF LAC LA BICHE, AND THEN
PROCEEDING ACROSS THE POWERLINE RIGHT OF WAY AS
DESCRIBED IN PLAN 7079 MC TO THE NORTHWEST CORNER OF LOT
5 AS DESCRIBED IN PLAN 002 3713,
THENCE SOUTHERLY ALONG THE WEST BOUNDARY OF SAID LOT
TO THE INTERSECTION WITH THE SOUTHWEST CORNER OF SAID
LOT BOUNDARY,
THEN PROCEEDING SOUTHWESTERLY TO THE INTERSECTION WITH
THE SOUTH BOUNDARY OF THE EAST-WEST ROAD ALLOWANCE OF
SECTION FOURTEEN (14), TOWNSHIP SIXTY-SEVEN (67), RANGE
FOURTEEN (14), WEST OF THE FOURTH (4TH) MERIDIAN,
THENCE WESTERLY ALONG SAID EAST-WEST ROAD ALLOWANCE
TO THE INTERSECTION WITH THE NORTHWEST BOUNDARY OF
SECTION NINE (9), TOWNSHIP SIXTY-SEVEN (67), RANGE FOURTEEN
(14), WEST OF THE FOURTH (4TH) MERIDIAN,
THENCE SOUTHERLY TO THE INTERSECTION WITH THE NORTH
BOUNDARY OF ROAD PLAN 1922 PX,
THENCE SOUTHEASTERLY ALONG THE NORTH BOUNDARY OF SAID
ROAD PLAN TO THE INTERSECTION WITH ROAD PLAN 792 1356,
THEN PROCEEDING ACROSS ROAD PLAN 792 1356 TO THE
INTERSECTION WITH THE WEST BOUNDARY OF NORTHWEST
SECTION THREE (3), TOWNSHIP SIXTY (67), RANGE FOURTEEN (14),
WEST OF THE FOURTH (4TH) MERIDIAN,
THENCE IN A SOUTHERLY DIRECTION ALONG SAID BOUNDARY TO
THE INTERSECTION WITH THE SOUTHWEST CORNER OF
SECTION
THREE (3), TOWNSHIP SIXTY-SEVEN (67), RANGE FOURTEEN (14),
WEST OF THE FOURTH (4TH) MERIDIAN,
THENCE EASTERLY ALONG THE NORTHERN BOUNDARY OF THE
EAST-WEST ROAD ALLOWANCE OF
SECTION THREE (3), TOWNSHIP
SIXTY-SEVEN (67), RANGE FOURTEEN (14), WEST OF THE FOURTH
(4TH) MERIDIAN FOR THREE HUNDRED
(300) METERS,
THEN PROCEEDING SOUTH TO THE INTERSECTION WITH THE
SOUTHERN BOUNDARY OF ROAD PLAN 5891 LZ,
THENCE WESTERLY ALONG THE SOUTHERN BOUNDARY OF SAID
ROAD PLAN TO THE INTERSECTION WITH THE EAST BOUNDARY OF
ROAD PLAN 5242 LZ,
THENCE SOUTHERLY ALONG THE EAST BOUNDARY OFROAD PLAN
5242 LZ TO THE INTERSECTION WITH THE SOUTHWEST CORNER OF
THE NORTHWEST QUARTER OF
SECTION TWENTY-EIGHT (28),
TOWNSHIP SIXTY-SIX (66), RANGE FOURTEEN (14), WEST OF THE
FOURTH (4TH) MERIDIAN,
THENCE IN AN EASTERLY DIRECTION ALONG THE SOUTHERN
BOUNDARY OF SAID QUARTER
SECTION TO THE SOUTHEAST
CORNER OF THE NORTHEAST QUARTER OF
SECTION TWENTY-
EIGHT (28), TOWNSHIP SIXTY-SIX (66), RANGE FOURTEEN (14), WEST
OF THE FOURTH (4TH) MERIDIAN,
THEN PROCEEDING IN A EASTERLY DIRECTION ACROSS THE
NORTH-SOUTH ROAD ALLOWANCE TO THE INTERSECTION WITH
THE SOUTHWEST CORNER OF PLAN 052 1788,
THENCE SOUTHERLY ALONG THE EASTERN BOUNDARY OF THE
SAID NORTH-SOUTH ROAD ALLOWANCE TO THE INTERSECTION
WITH THE SOUTHWEST CORNER OF
SECTION TWENTY-SEVEN (27),
TOWNSHIP SIXTY-SIX (66), RANGE FOURTEEN (14), WEST OF THE
FOURTH (4TH) MERIDIAN,
THENCE EASTERLY ALONG THE NORTHERN BOUNDARY OF THE
EAST-WEST ROAD ALLOWANCE TO THE POINT OF
COMMENCEMENT.
AND
COMMENCING AT THE SOUTHEAST CORNER OF THE NORTHEAST
QUARTER OF
SECTION THIRTY-FIVE (35), TOWNSHIP SIXTY-SEVEN
(67), RANGE SIXTEEN (16), WEST OF THE FOURTH (4TH) MERIDIAN,
AND THEN PROCEEDING NORTHERLY ALONG THE EAST BOUNDARY
OF SAID
SECTION TO THE INTERSECTION WITH THE EASTERN
BOUNDARY OF RIVER LOT 4 IN THE SETTLEMENT OF LAC LA BICHE
IN THE SOUTHEAST QUARTER OF
SECTION ELEVEN (11), TOWNSHIP
SIXTY-EIGHT (68), RANGE SIXTEEN
(16) WEST OF THE FOURTH (4TH)
MERIDIAN,
THENCE NORTHEASTERLY ALONG THE EASTERN BOUNDARY OF
SAID RIVER LOT TO THE INTERSECTION WITH THE NORTHERN
BOUNDARY OF SAID RIVER LOT,
THENCE NORTHWESTERLY ALONG THE NORTHERN BOUNDARY OF
SAID RIVER LOT, TO THE INTERSECTION WITH THE EAST
BOUNDARY OF THE NORTHEAST QUARTER OF
SECTION ELEVEN
(11), TOWNSHIP SIXTY-EIGHT (68), RANGE SIXTEEN (16), WEST OF
THE FOURTH (4TH) MERIDIAN,
THENCE NORTHERLY ALONG THE EAST BOUNDARY OF SAID
SECTION TO THE INTERSECTION WITH THE NORTH BOUNDARY OF
SAID SECTION,
THENCE WESTERLY ALONG THE BOUNDARY OF SAID
SECTION TO
THE INTERSECTION WITH THE RIGHT SHORE OF HORSE LAKE IN
THE NORTHEAST QUARTER OF
SECTION TEN (10), TOWNSHIP SIXTY-
EIGHT (68), RANGE SIXTEEN (16), WEST OF THE FOURTH (4TH)
MERIDIAN,
THENCE SOUTHWESTERLY FOLLOWING THE RIGHT SHORE OF
HORSE LAKE TO THE INTERSECTION WITH THE WEST BOUNDARY
OF THE SOUTHEAST QUARTER OF
SECTION TEN (10), TOWNSHIP
SIXTY-EIGHT (68), RANGE SIXTEEN (16), WEST OF THE FOURTH (4TH)
MERIDIAN,
THENCE SOUTHERLY ALONG THE WEST BOUNDARY OF SAID
SECTION, TO THE INTERSECTION WITH SOUTHWEST CORNER OF
THE NORTHEAST QUARTER OF
SECTION THIRTY-FOUR (34),
TOWNSHIP SIXTY-SEVEN (67), RANGE SIXTEEN (16), WEST OF THE
FOURTH (4TH) MERIDIAN,
THENCE IN AN EASTERLY DIRECTION TO THE POINT OF
COMMENCEMENT.
AREA 2 - RURAL SERVICE AREA
Area 2 is made up of all those lands lying within the boundaries of the specialized
municipality of Lac La Biche County, excluding all lands in Area 1 and excluding
lands comprising any Indian Reserve or Metis Settlement.
_______________
Schedule 2
Electoral Wards For
The Specialized Municipality of Lac La Biche County
The electoral wards and ward boundaries for the specialized municipality are as
follows:
ALL THE LANDS HEREIN SITUATED WEST OF THE FOURTH (4TH)
MERIDIAN IN THE PROVINCE OF ALBERTA AND FURTHER
DESCRIBED AS FOLLOWS, EXCLUDING THEREOUT ALL THOSE
AREAS CONTAINED WITHIN THE BOUNDARIES OF ANY TOWN,
VILLAGE, SUMMER VILLAGE, INDIAN RESERVE OR METIS
SETTLEMENT:
Ward One
TOWNSHIP 62:
All of Range 13, and
In Range 14,
section 36;
TOWNSHIP 63:
All of Ranges 10 to 13 inclusive, and
In Range 14, sections 1, 12, 13, 24, 25 and 36;
TOWNSHIP 64:
All of Ranges 10 to 13 inclusive;
TOWNSHIP 65:
All of Ranges 9 to 14 inclusive, and
In Range 15, sections 1, 2, 11 to 14 inclusive, 23 to 26 inclusive, 35 and 36.
Ward Two
TOWNSHIP 64:
In Range 15, the northwest quarter of
section 32;
TOWNSHIP 65:
All that portion of Range 15 not included in Ward One, and
All of Range 16;
TOWNSHIP 66:
All of Ranges 15 and 16;
TOWNSHIP 67:
All of Range 15, and
In Range 16, sections 1 to 24 inclusive;
TOWNSHIP 68:
In Range 15, sections 3 to 8 inclusive.
Ward Three
TOWNSHIP 67:
In Range 16, sections 25 to 36 inclusive;
TOWNSHIP 68:
In Range 15, sections 30 and 31, and
All of Range 16;
TOWNSHIP 69:
All that portion of Range 15 excluding sections 1, 12, 13, 24, 25 and 36, and
All of Range 16;
TOWNSHIP 70:
All that portion of Range 15 excluding sections 1, 12, 13, 24, 25 and 36, and
All of Range 16.
Ward Four
TOWNSHIP 66:
In Range 14, sections 3 to 10 inclusive, 15 to 22 inclusive and 27 to 34 inclusive;
TOWNSHIP 67:
In Range 14, all that portion of fractional
section 1 lying south of the south shore
of Lac la Biche Lake, except that portion lying to the south of the north limit of
Road Plan 3065 PX and the east boundary of LOT 3 PLAN 812 1193 production
northerly until the intersection of the south shore of Lac la Biche Lake, and
In Range 14, all those portions of sections 2 to 34 inclusive lying to the south and
west of Lac la Biche Lake.
Ward Five
TOWNSHIP 66:
All that portion of Range 13 excluding those lands to the north and west of
PLAN 052 6511, and
All that portion of Range 14 not included in Ward 4 excluding those lands to the
north and east of PLAN 032 5356;
TOWNSHIP 67:
In Range 13,
section 4,
In Range 13, all those portions of
section 8 lying east of the shore of Lac la Biche
Lake and all those portions of
section 8 lying north of the southern boundary of
River Lot 68 in the Lac La Biche Settlement,
In Range 13,
section 9,
In Range 13, in
section 16 those lands to the south east of Road Plan 499 PX and
the northwesterly projection of the south boundary of PLAN 862 1141 until its
intersection with the south shore of Lac la Biche Lake including all of those
lands to the south and east of the shore of Lac la Biche Lake,
In Range 13,
section 17, all those lands lying southeast of Lac la Biche Lake, and
In Range 14, all those lands to the south of PLAN 3065 PX and to the west of
PLAN 812 1193.
Ward Six
TOWNSHIP 66:
Ranges 9 to 12 inclusive;
TOWNSHIP 67:
All that portion of Ranges 9 to 14 inclusive not included in Ward Four, Five or
Seven;
TOWNSHIP 68:
All that portion of Ranges 9 to 15 inclusive not included in Ward Two or Three;
TOWNSHIP 69:
All that portion of Ranges 9 to 15 inclusive not included in Ward Three;
TOWNSHIP 70:
All that portion of Ranges 9 to 15 inclusive not included in Ward Three;
TOWNSHIPS 71 AND 72
All of Ranges 9 to 15 inclusive;
TOWNSHIPS 73 AND 74:
All of Ranges 3 to 15 inclusive;
TOWNSHIP 75:
All of Ranges 3 to 18 inclusive;
TOWNSHIPS 76 AND 77:
All of Ranges 10 to 18 inclusive;
TOWNSHIPS 78, 79 AND 80:
All of Ranges 10 to 17 inclusive.
Ward Seven
TOWNSHIP 66:
In Range 13, all those lands lying north and west of PLAN 052 6511, and
In Range 14, all those lands lying north and west of PLAN 052 6511;
TOWNSHIP 67:
In Range 13, all those lands in
section 5 not included in Ward Five,
In Range 13, all those portions of
section 6 lying south of the south shore of Lac
La Biche, and
In Range 14, all those portions of the southeast quarter of
section 1 not included
in Ward Four or Five.
GOVERNMENT NOTICES
Culture and Tourism
Order Designating Provincial Historic Resource
(Historical Resources Act)
File: Des. 1103
MO 07/17
I, Ricardo Miranda, Minister of Culture and Tourism, pursuant to
section 20(1) of the
Historical Resources Act, RSA 2000 cH-9, HEREBY AMEND the original
Ministerial Order signed by the Honourable Mary J. LeMessurier on November 1,
1983 that designated as a Provincial Historic Resource the Edmonton
(1881) School,
legally described as: Lots 34, 35, 36, Block 4, Plan B, which are registered in Alberta
Land Titles as instrument 832 265 137, as follows:
1. by rescinding that portion of the Edmonton
(1881) School Provincial Historic
Resource designation dated November 1, 1983, registered in Alberta Land Titles
as instrument 832 265 137, with respect to the lands legally described as:
Plan B
Block 4
Lot 34
Excepting Thereout:
A) The Most Southerly 2 Feet Throughout Said Lot 34.
2. by striking
section 2 of the original Ministerial Order and replacing it with, give
notice that pursuant to
Section 20(9) of that Act, notwithstanding any Other Act,
no person shall
a) destroy, disturb, alter, restore, or repair any historic resource or land that has
been designated under this section, or
b) remove an historic object from an historic resource that has been designated
under this
section
without the written approval of the Minister.
3. by striking
section 3 of the original Ministerial Order and replacing it with,
further give notice that the following provisions under
Section 20 of that Act
apply in cases of sale or inheritance of the above mentioned resource:
(11) The owner of an historic resource that is subject to an order under
subsection (1) shall, at least 30 days before any sale or other disposition of
the historic resource, serve notice of the proposed sale or other disposition
on the Minister.
(12) When a person inherits an historic resource that is subject to an order under
subsection (1), that person shall notify the Minister of the inheritance within
15 days after the historic resource is transferred to the person.
Further, I HERBY CONFIRM that the remaining lands designated under the
Ministerial Order signed by the Honourable Mary J. LeMessurier on November 1,
1983, and legally described as
Lots 35 and 36
Block 4
Plan B
Continue to be designated as a Provincial Historic Resource.
Dated at Edmonton, Alberta, this 26th day of June, 2017.
Ricardo Miranda, Minister.
Energy
Declaration of Withdrawal from Unit Agreement
(Petroleum and Natural Gas Tenure Regulations)
The Minister of Energy on behalf of the Crown in Right of Alberta hereby declares
and states that the Crown in right of Alberta has withdrawn as a party to the
agreement entitled "Bonnie Glen Cardium Unit No. 1" effective October 31, 2017.
Sarah Gartner, 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 - Joffre Duvernay
Agreement No. 12" and that the Unit became effective on October 1, 2018.
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. 2" and that the Unit became effective on June 1, 2017.
Justice and Solicitor General
Designation of Qualified Technician Appointment
(Intox EC/IR II)
Canada Border Services Agency
Clamp, Paul Alexander
(Date of Designation October 30, 2017)
Royal Canadian Mounted Police "K" Division, Traffic Services
Burton, Breana Tomina
Charlery, Melvin Lyndon
Croteau, Kareen Marie Diane
Dingle, Rebecca Jean
Dunn, Jason Daniel Russell
Felker, Sean Michael
Fyfe, Darcy James
Grant, Keeton Albert
Greene, Casondra Lynn
Harrington, Ryan John
Hastie, Brandon Spencer
Jensen, Russell William
King, Travis Jonathon
Knowles, Tony James
Lafrance, Frederic
Leclerc, Michael Joel
MacDonald, William Brent
Mestre, Keiner Augusto
Pearce, Mark James
Plamondon, Brendon Kelly
Quilty, Jeremy Derrick
Scott, Joshua Allan
Sexsmith, Sean Michael
Wood, Jeffrey Paul
(Date of Designation October 30, 2017)
Frechette, Lilliane Marie Jeannette
(Date of Designation November 1, 2017)
Office of the Public Trustee
Property being held by the Public Trustee for a period of Ten
(10) Years
(Public Trustee Act)
Section 11 (2)(
b) Name of Person Entitled
to Property
Description
of Property
held and its
value or
estimated value
Property part of
deceased person's
Estate or held under
Court Order:
Deceased's Name
Judicial District Court
File Number
Public Trustee
Office
Additional
Information
ROBERT W JOHNSTON
Cash on Hand
as of
Nov.03/2017
$6,917.83
Judicial District of
Calgary Court File #
111 815
C-021497
Legislative Assembly
Office of the Chief Electoral Officer
Notice: Appointment of Returning Officer
Edmonton, November 10, 2017
Notice is hereby given that pursuant to
section 9(1.1) of the Election Act, the
following person has been appointed as Returning Officer for the purpose of
conducting a by-election in the electoral division of Calgary-Lougheed.
Electoral Division
Returning Officer
Residence
18 Calgary-Lougheed
Huntley F. O'Neill
Calgary
Municipal Affairs
Hosting Expenses Exceeding $600.00
For the period July 1, 2017 to September 30, 2017
Function: 2017 Regional Training Initiative
Purpose: Partnership with Alberta Rural Municipal Administrators' Association and
Local Government Administration Association to host a series of one day training
sessions for municipal administration.
Amount: $26,208.39
Date of Function: May 30 - September 13, 2017
Location: Grand Prairie, Drumheller, Olds, St. Paul, Peace River and Camrose
Function: Municipal internship Program - Intern Session
Purpose: Workshop for new interns in the 2017 Municipal Internship Program.
Amount: $1,966.11
Date of Function: June 12 - June 14, 2017
Location: Edmonton
Safety Codes Council
Corporate Accreditation
(Safety Codes Act)
Pursuant to
Section 28 of the Safety Codes Act it is hereby ordered that
Cenovus Energy Deep Basin, Accreditation No. C000916, Order No. 3054
administer the Safety Codes Act including applicable Alberta amendments and
regulations within the Corporation's industrial facilities for the discipline of
Electrical
Consisting of all parts of the Canadian Electrical Code
Part 1 and Code for Electrical
Installations at Oil & Gas Facilities and Alberta Electrical Utility Code.
Accredited Date: November 8, 2017 Issued Date: November 8, 2017.
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 July 12, 2017 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 1.1 is amended by adding the following
definitions:
"Canadian custodian" means any of the following:
(
a) a bank listed in
Schedule I, II or III of the Bank Act (Canada);
(
b) a trust company that is incorporated under the laws of Canada or a
jurisdiction of Canada and licensed or registered under the laws of
Canada or a jurisdiction of Canada, and that has equity, as
reported in its most recent audited financial statements, of not less
than $10,000,000;
(
c) a company that is incorporated under the laws of Canada or a
jurisdiction of Canada, and that is an affiliate of a bank or trust
company referred to in paragraph (
a) or (b), if either of the
following applies:
(
i) the company has equity, as reported in its most recent
audited financial statements, of not less than $10,000,000;
(ii) the bank or trust company has assumed responsibility for
all of the custodial obligations of the company for the cash
and securities the company holds for a client or investment
fund;
(
d) an investment dealer that is a member of IIROC and that is
permitted under the rules of IIROC, as amended from time to
time, to hold the cash and securities of a client or investment
fund;
"foreign custodian" means any of the following:
(
a) an entity that
(
i) is incorporated or organized under the laws of a country, or
a political subdivision of a country, other than Canada,
(ii) is regulated as a banking institution or trust company by the
government, or an agency of the government, of the
country under the laws of which it is incorporated or
organized, or a political subdivision of that country, and
(iii) has equity, as reported in its most recent audited financial
statements, of not less than the equivalent of $100,000,000;
(
b) an affiliate of an entity referred to in paragraph (a), (
b) or (
c) of
the definition of "Canadian custodian" or paragraph (
a) of this
definition if either of the following applies:
(
i) the affiliate has equity, as reported in its most recent
audited financial statements, of not less than the equivalent
of $100,000,000;
(ii) the entity referred to in paragraph (a), (
b) or (
c) of the
definition of "Canadian custodian" or paragraph (
a) of this
definition has assumed responsibility for all of the custodial
obligations of the affiliate for the cash and securities the
affiliate holds for a client or investment fund;
"qualified custodian" means a Canadian custodian or a foreign custodian;.
Section 1.2 is replaced with the following:
1.2
Interpretation of "securities" in Alberta, British Columbia, New
Brunswick, Nova Scotia and Saskatchewan
(1) Subject to sections 8.2 and 8.26, in British Columbia, a reference to
"securities" in this Instrument includes "exchange contracts", unless the
context otherwise requires.
(2) Subject to sections 8.2 and 8.26, in Alberta, New Brunswick, Nova
Scotia and Saskatchewan, a reference to "securities" in this Instrument
includes "derivatives", unless the context otherwise requires..
4. Subsections 1.2(1) and (2), as amended by
section 3 of this Instrument, are
amended by replacing "8.2 and 8.26" with "8.2, 8.26 and 14.5.1".
Section 3.16 is amended
(
a) in subsections (1) and (1.1) by adding "an investment dealer that is"
after "a dealing representative of", and
(
b) in subsections (2) and (2.1) by adding "a mutual fund dealer that is"
after "a dealing representative of".
Section 7.1 is amended
(
a) in subparagraph (2)(d)(
i) by deleting "whether or not a prospectus was
filed in respect of the distribution,",
(
b) by replacing subparagraph (2)(d)(ii) with the following:
(ii) act as a dealer by trading a security, if all of the following
apply:
(
A) the trade is not a distribution;
(
B) an exemption from the prospectus requirement
would be available to the seller if the trade were a
distribution;
(
C) the class of security is not listed, quoted or traded on
a marketplace, or , and
(
c) by repealing subsection (5).
Section 8.2 is replaced with the following:
8.2 Definition of "securities" in Alberta, British Columbia, New Brunswick,
Nova Scotia and Saskatchewan
Despite
section 1.2, in Alberta, British Columbia, New Brunswick, Nova
Scotia and Saskatchewan, a reference to "securities" in this Division excludes
"exchange contracts"..
8. Subsection 8.6(1) is amended
(
a) by replacing "both of the following apply" with "all of the following
apply",
(
b) by replacing paragraph (
a) with the following:
(
a) the adviser or an affiliate of the adviser acts as the fund's adviser;,
and
(
c) by adding the following paragraph:
(a.1) the adviser or an affiliate of the adviser acts as the fund's
investment fund manager;.
9. Subsection 8.12(3) is amended by adding "New Brunswick," after
"Manitoba,".
10. Paragraph 8.18(2)(
b) is replaced with the following:
(
b) a trade in a debt security with a permitted client if the debt
security
(
i) is denominated in a currency other than the Canadian
dollar, or
(ii) is or was originally offered primarily in a foreign
jurisdiction and a prospectus has not been filed with a
Canadian securities regulatory authority for the
distribution;.
Section 8.20.1 is replaced with the following:
8.20.1 Exchange contract trades through or to a registered dealer - Alberta,
British Columbia, New Brunswick, Nova Scotia and Saskatchewan
In Alberta, British Columbia, New Brunswick, Nova Scotia and
Saskatchewan, the dealer registration requirement does not apply to a
registered adviser, or an advising representative or associate advising
representative acting on behalf of the registered adviser, in respect of trading
activities related to exchange contracts that are incidental to its providing
advice to a client, if the trade is made through a dealer registered in a
category that permits the trade or a dealer operating under an exemption
from the dealer registration requirement..
Section 8.24 is amended by adding "is an investment dealer that" after
"account if the registered dealer".
Section 8.26 is amended by replacing subsection (3) with the following:
(3) The adviser registration requirement does not apply to a person or
company if either of the following applies:
(
a) the person or company provides advice on a foreign
security to a permitted client that is not registered under
the securities legislation of a jurisdiction of Canada as an
adviser or dealer;
(
b) the person or company provides advice on a security that
is not a foreign security and the advice is incidental to the
advice referred to in paragraph (a)..
14. Subsection 9.3(1) is amended
(
a) by replacing "a registered firm" with "an investment dealer",
(
b) by replacing paragraph (
m) with the following:
(
m) subsections 14.2(2) to (6) [relationship disclosure information];,
(
c) by adding the following paragraph:
(m.1)
section 14.2.1 [pre-trade disclosure of charges];,
(
d) by adding the following paragraphs:
(m.2)
section 14.5.2 [restriction on self-custody and qualified custodian
requirement];
(m.3)
section 14.5.3 [cash and securities held by a qualified custodian];,
(
e) by replacing paragraph (
n) with the following:
(
n) section 14.6 [client and investment fund assets held by a
registered firm in trust];,
(
f) by adding the following paragraphs:
(n.1)
section 14.6.1 [custodial provisions relating to certain margin or
security interests];
(n.2)
section 14.6.2 [custodial provisions relating to short sales];,
(
g) by repealing paragraphs (
o) and (p),
(
h) by adding the following paragraph:
(p.1)
section 14.11.1 [determining market value];,
(
i) in paragraph (
q) by replacing "[content and delivery of trade
confirmation]." with "[content and delivery of trade confirmation];"
,and
(
j) by adding the following paragraphs:
(
r) section 14.14 [account statements];
(
s) section 14.14.1 [additional statements];
(
t) section 14.14.2 [security position cost information];
(
u) section 14.17 [report on charges and other compensation];
(
v) section 14.18 [investment performance report];
(
w) section 14.19 [content of investment performance report];
(
x) section 14.20 [delivery of report on charges and other
compensation and investment performance report]..
15. Subsection 9.3(1.1) is amended by replacing "(q)" with "(x)".
16. Subsection 9.3(2) is amended
(
a) by replacing "a registered firm" with "an investment dealer",
(
b) by replacing paragraph (
i) with the following:
(
i) subsections 14.2(2) to (6) [relationship disclosure information];,
(
c) by adding the following paragraph:
(i.1)
section 14.2.1 [pre-trade disclosure of charges];,
(
d) by adding the following paragraphs:
(i.2)
section 14.5.2 [restriction on self-custody and qualified custodian
requirement];
(i.3)
section 14.5.3 [cash and securities held by a qualified custodian];,
(
e) by replacing paragraph (
j) with the following:
(
j) section 14.6 [client and investment fund assets held by a
registered firm in trust];,
(
f) by adding the following paragraphs:
(j.1)
section 14.6.1 [custodial provisions relating to certain margin or
security interests];
(j.2)
section 14.6.2 [custodial provisions relating to short sales];,
(
g) by repealing paragraphs (
k) and (l),
(
h) by adding the following paragraph:
(l.1)
section 14.11.1 [determining market value];,
(
i) in paragraph (
m) by replacing "[content and delivery of trade
confirmation]." with "[content and delivery of trade confirmation];",
and
(
j) by adding the following paragraphs:
(
n) section 14.17 [report on charges and other compensation];
(
o) section 14.18 [investment performance report];
(
p) section 14.19 [content of investment performance report];
(
q) section 14.20 [delivery of report on charges and other
compensation and investment performance report]..
17. Subsection 9.3(2.1) is amended by replacing "(m)" with "(q)".
Section 9.4(1) is amended
(
a) by replacing "a registered firm" with "a mutual fund dealer",
(
b) by replacing paragraph (
m) with the following:
(
m) subsections 14.2(2), (3) and (5.1) [relationship disclosure
information];,
(
c) by adding the following paragraph:
(m.1)
section 14.2.1 [pre-trade disclosure of charges];,
(
d) by adding the following paragraphs:
(m.2)
section 14.5.2 [restriction on self-custody and qualified custodian
requirement];
(m.3)
section 14.5.3 [cash and securities held by a qualified custodian];,
(
e) by replacing paragraph (
n) with the following:
(
n) section 14.6 [client and investment fund assets held by a
registered firm in trust];,
(
f) by adding the following paragraphs:
(n.1)
section 14.6.1 [custodial provisions relating to certain
margin or security interests];
(n.2)
section 14.6.2 [custodial provisions relating to short
sales];,
(
g) by repealing paragraphs (
o) and (p),
(
h) by adding the following paragraph:
(p.1)
section 14.11.1 [determining market value];,
(
i) in paragraph (
q) by replacing "[content and delivery of trade
confirmation]." with "[content and delivery of trade confirmation];",
and
(
j) by adding the following paragraphs:
(
r) section 14.14 [account statements];
(
s) section 14.14.1 [additional statements];
(
t) section 14.14.2 [security position cost information];
(
u) section 14.17 [report on charges and other
compensation];
(
v) section 14.18 [investment performance report];
(
w) section 14.19 [content of investment performance report];
(
x) section 14.20 [delivery of report on charges and other
compensation and investment performance report]..
19. Subsection 9.4(1.1) is amended by replacing "(q)" with "(x)".
20. Subsection 9.4(2) is amended
(
a) by adding "is a mutual fund dealer that" after "If a registered firm",
(
b) by replacing paragraph (
g) with the following:
(
g) subsections 14.2(2), (3) and (5.1) [relationship disclosure
information];,
(
c) by adding the following paragraph:
(g.1)
section 14.2.1 [pre-trade disclosure of charges];,
(
d) by adding the following paragraphs:
(g.2)
section 14.5.2 [restriction on self-custody and qualified custodian
requirement];
(g.3)
section 14.5.3 [cash and securities held by a qualified custodian];,
(
e) by replacing paragraph (
h) with the following:
(
h) section 14.6 [client and investment fund assets held by a
registered firm in trust];,
(
f) by adding the following paragraphs:
(h.1)
section 14.6.1 [custodial provisions relating to certain margin or
security interests];
(h.2)
section 14.6.2 [custodial provisions relating to short sales];,
(
g) by repealing paragraphs (
i) and (j),
(
h) by adding the following paragraph:
(j.1)
section 14.11.1 [determining market value];,
(
i) in paragraph (
k) by replacing "[content and delivery of trade
confirmation]." with "[content and delivery of trade confirmation];",
and
(
j) by adding the following paragraphs:
(
l) section 14.17 [report on charges and other compensation];
(
m) section 14.18 [investment performance report];
(
n) section 14.19 [content of investment performance report];
(
o) section 14.20 [delivery of report on charges and other
compensation and investment performance report]..
Section 9.4 is amended
(
a) in subsection (2.1) by replacing "(k)" with "(o)", and
(
b) in subsection (4) by replacing "subsection (1)" with "subsection (1),
other than paragraph (1)(h),".
22. Subsection 12.1 (5) is amended by replacing "a registered firm" with "an
investment dealer".
Section 12.12 is amended
(
a) in subsection (2.1) by adding "is a mutual fund dealer that" after "If a
registered firm", and
(
b) by adding the following subsections:
(4) Despite paragraph (1)(b), in Qu‚bec, a firm registered only in that
jurisdiction and only in the category of mutual fund dealer may
deliver to the securities regulatory authority, no later than the 90th
day after the end of its financial year, the Monthly Report on Net
Free Capital provided in Appendix I of the Regulation respecting
the trust accounts and financial resources of securities firms, as
that Appendix read on September 27, 2009, that shows the
calculation of the firm's net free capital as at the end of its
financial year and as at the end of the immediately preceding
financial year, if any.
(5) Despite paragraph (2)(b), in Qu‚bec, a firm registered only in that
jurisdiction and only in the category of mutual fund dealer may
deliver to the securities regulatory authority, no later than the 30th
day after the end of the first, second and third interim period of its
financial year, the Monthly Report on Net Free Capital provided
in Appendix I of the Regulation respecting the trust accounts and
financial resources of securities firms, as that Appendix read on
September 27, 2009, that shows the calculation of the firm's net
free capital as at the end of the interim period and as at the end of
the immediately preceding interim period, if any..
Section 12.14 is amended
(
a) in subsection (4) by adding "is an investment dealer that" after "If a
registered firm", and
(
b) in subsection (5) by adding "is a mutual fund dealer that" after "If a
registered firm".
25. Subsection 13.17 (1) is amended
(
a) in paragraph (
f) by replacing "[account statements]." with "[account
statements];", and
(
b) by adding the following paragraphs:
(
g) section 14.14.1 [additional statements];
(
h) section 14.14.2 [security position cost information];
(
i) section 14.17 [report on charges and other compensation];
(
j) section 14.18 [investment performance report]..
Section 14.1 is amended by replacing "section 14.1.1,
section 14.6," with
"sections 14.1.1, 14.5.1, 14.5.2, 14.5.3, 14.6, 14.6.1, 14.6.2,".
Section 14.1.1 is replaced with the following:
14.1.1 Duty to provide information
A registered investment fund manager of an investment fund must, within a
reasonable period of time, provide a registered dealer, or a registered adviser,
that has a client that owns securities of the investment fund, with the
information that is required by the dealer or adviser in order for the dealer or
adviser to comply with paragraph 14.12(1)(c), subsections 14.14(4) and (5),
14.14.1(2) and 14.14.2(1) and paragraph 14.17(1)(h)..
28. Subsection 14.2 (2) is amended
(
a) by adding "to a client" after "the information delivered", and
(
b) by adding the following paragraphs:
(a.1) in the case of a registered firm that holds the client's assets, or
directs or arranges which custodian will hold the client's assets,
disclosure of the location where, and a general description of the
manner in which, the client's assets are held, and a description of
the risks and benefits to the client arising from the assets being
held at that location and in that manner;
(a.2) in the case of a registered firm that has access to the client's assets
(
i) disclosure of the location where, and a general description
of the manner in which, the client's assets are held, and a
description of the risks and benefits to the client arising
from the assets being held in that location and in that
manner, and
(ii) a description of the manner in which the client's assets are
accessible by the registered firm, and a description of the
risks and benefits to the client arising from having access to
the assets in that manner;.
29. The title of Division 3 of
Part 14 is amended by adding "and investment fund
assets" after "Client assets".
30. Division 3 of
Part 14 is amended by adding the following sections:
14.5.1 Definition of "securities" in Alberta, British Columbia, New Brunswick,
Nova Scotia and Saskatchewan
Despite
section 1.2, in Alberta, British Columbia, New Brunswick, Nova
Scotia and Saskatchewan, a reference to "securities" in this Division excludes
"exchange contracts"..
14.5.2 Restriction on self-custody and qualified custodian requirement
(1) A registered firm must not be a custodian or sub-custodian for a client of
the firm or for an investment fund in respect of the client's or investment
fund's cash or securities unless the registered firm
(
a) is a "Canadian custodian" under paragraph (a), (
b) or (
d) of the
definition of "Canadian custodian", and
(
b) has established and maintains a system of controls and
supervision that a reasonable person would conclude is sufficient
to manage the risks to the client or investment fund associated
with the custody of the client's or investment fund's cash or
securities.
(2) A registered firm must ensure that any custodian for a client of the firm
or for an investment fund managed by the firm in respect of the client's
or investment fund's cash or securities is a Canadian custodian if the
firm
(
a) directs or arranges which custodian will hold the cash or
securities of the client or investment fund, or
(
b) holds or has access to the cash or securities of the client or
investment fund.
(3) Despite the requirement to use a Canadian custodian in subsection (2), a
foreign custodian may be a custodian of the cash or securities of the
client or investment fund if a reasonable person would conclude,
considering all of the relevant circumstances, including, for greater
certainty, the nature of the regulation and the sufficiency of the equity of
the foreign custodian, that using the foreign custodian is more beneficial
to the client or investment fund than using a Canadian custodian.
(4) Despite the requirement to use a Canadian custodian in subsection (2), a
Canadian financial institution may be a custodian of the cash of the
client or investment fund.
(5) For the purposes of subsections (2) and (3), the registered firm must
ensure that the qualified custodian is functionally independent of the
registered firm unless
(
a) the qualified custodian is a "Canadian custodian" under paragraph
(a), (
b) or (
d) of the definition of "Canadian custodian", and
(
b) the registered firm ensures that the qualified custodian has
established and maintains a system of controls and supervision
that a reasonable person would conclude is sufficient to manage
the risks to the client or investment fund associated with the
custody of the client's or investment fund's cash or securities.
(6) For the purpose of subsection (4), the registered firm must ensure that
the Canadian financial institution is functionally independent of the
registered firm.
(7) This
section does not apply to a registered firm in respect of any of the
following:
(
a) an investment fund that is subject to National Instrument 81-102
Investment Funds;
(
b) an investment fund that is subject to National Instrument 41-101
General Prospectus Requirements;
(
c) a security that is recorded on the books of the security's issuer, or
the transfer agent of the security's issuer, only in the name of the
client or investment fund;
(
d) cash or securities of a permitted client, if the permitted client
(
i) is not an individual or an investment fund, and
(ii) has acknowledged in writing that the permitted client is
aware that the requirements in this
section that would
otherwise apply to the registered firm do not apply;
(
e) customer collateral subject to custodial requirements under
National Instrument 94-102 Derivatives: Customer Clearing and
Protection of Customer Collateral and Positions;
(
f) a security that evidences a debt obligation secured by a mortgage
registered or published against the title of real estate if
(
i) the mortgage is registered or published in the name of the
client or investment fund as mortgagee, or
(ii) in the case of a syndicated mortgage, the mortgage is
registered or published in the name of either of the
following as mortgagee:
(
A) a person or company that is registered or licensed
under mortgage brokerage, mortgage administrators,
or mortgage dealer legislation of a jurisdiction of
Canada if that mortgage is held in trust for the client
or investment fund, as applicable;
(
B) each investor that is a mortgagee in respect of that
mortgage.
14.5.3 Cash and securities held by a qualified custodian
A registered firm that is subject to subsection 14.5.2(2), (3) or (4) must take
reasonable steps to ensure that cash and securities of a client or an investment
fund,
(
a) except as provided in paragraphs (
b) and (c), are held by the
qualified custodian or, in respect of cash, the Canadian financial
institution using an account number or other designation in the
records of the qualified custodian or the Canadian financial
institution, as applicable, sufficient to show that the beneficial
ownership of the cash or securities of the client or investment
fund is vested in that client or investment fund,
(
b) in the case of cash held in an account in the name of the registered
firm, is held separate and apart from the registered firm's own
property and held by the qualified custodian, or the Canadian
financial institution, in a designated trust account in trust for
clients or investment funds, or
(
c) in the case of cash or securities held for the purpose of bulk
trading, are held in the name of the registered firm in trust for its
clients or investment funds if the cash or securities are transferred
to the client's or investment fund's account held by that client's or
investment fund's qualified custodian or, in respect of cash,
Canadian financial institution as soon as possible following a
trade..
Section 14.6 is replaced with the following:
14.6 Client and investment fund assets held by a registered firm in trust
(1) If a registered firm holds client assets or investment fund assets other
than cash or securities, or if a registered firm holds cash or securities of a
client or an investment fund as permitted by
section 14.5.2, the
registered firm must hold the assets
(
a) separate and apart from its own property,
(
b) in trust for the client or investment fund, and
(
c) in the case of cash, in a designated trust account with a Canadian
custodian or Canadian financial institution.
(2) Despite paragraph (1)(c), a foreign custodian may be a custodian for the
cash of the client or investment fund if a reasonable person would
conclude, considering all of the relevant circumstances, including, for
greater certainty, the nature of the regulation and the sufficiency of the
equity of the foreign custodian, that using the foreign custodian is more
beneficial to the client or investment fund than using a Canadian
custodian or a Canadian financial institution..
14.6.1 Custodial provisions relating to certain margin or security interests
(1) In this section, "clearing corporation option", "futures exchange",
"option on futures", "specified derivative" and "standardized future"
have the same meaning as in
section 1.1 of National Instrument 81-102
Investment Funds.
(2) Subsection 14.5.2(2) does not apply to a registered firm in respect of
cash or securities of a client or investment fund deposited with a dealer
as margin for transactions outside of Canada involving clearing
corporation options, options on futures or standardized futures if
(
a) in the case of standardized futures and options on futures, the
dealer is a member of a futures exchange or, in the case of
clearing corporation options, is a member of a stock exchange,
and, as a result in either case, is subject to a regulatory audit,
(
b) the dealer has a net worth, determined from its most recent
audited financial statements, in excess of $50 million, and
(
c) a reasonable person would conclude that using the dealer is more
beneficial to the client or investment fund than using a Canadian
custodian.
(3) Subsection 14.5.2(2) does not apply to a registered firm in respect of
cash or securities of a client or investment fund deposited with the
client's or investment fund's counterparty over which the client or
investment fund has granted a security interest in connection with a
particular specified derivatives transaction.
(4) The registered firm must take reasonable steps to ensure that any
agreement by which cash or securities of a client or investment fund are
deposited in accordance with subsection (2) or (3) requires the person or
company holding the cash or securities to ensure that its records show
that the client or investment fund is the beneficial owner of the cash or
securities.
14.6.2 Custodial provisions relating to short sales
Subsection 14.5.2(2) does not apply to a registered firm in respect of cash or
securities of a client or investment fund deposited as security in connection
with a short sale of securities with a dealer outside of Canada if
(
a) the dealer is a member of a stock exchange and is subject to a
regulatory audit,
(
b) the dealer has a net worth, determined from its most recent
audited financial statements, in excess of $50 million, and
(
c) a reasonable person would conclude that using the dealer is more
beneficial to the client or investment fund than using a Canadian
custodian..
Section 14.7 is repealed.
Section 14.8 is repealed.
Section 14.9 is repealed.
35. Subsection 14.11.1(2) is amended by replacing "14.14.2 [position cost
information]" with "14.14.2 [security position cost information]".
36. Subsection 14.11.1(3) is replaced with the following:
(3) If a registered firm reasonably believes that it cannot determine the
market value of a security in accordance with subsection (1), the market
value of the security must be reported in a statement delivered under
section 14.14 [account statements], 14.14.1 [additional statements],
14.14.2 [security position cost information], 14.15 [security holder
statements] or 14.16 [scholarship plan dealer statements] as not
determinable, and the market value of the security must be excluded
from the total market value referred to in paragraphs 14.14(5)(e),
14.14.1(2)(
e) and 14.14.2(5)(c)..
Section 14.12 is amended by adding the following subsection:
(7) In Newfoundland and Labrador, Ontario and Saskatchewan, a registered
dealer that complies with the requirements of this
section in respect of a
purchase or sale of a security is not subject to any of subsections 37(1),
(2) or (3) of the Securities Act (Newfoundland and Labrador), subsection
36(1) of the Securities Act (Ontario) and subsection 42(1) of The
Securities Act, 1988 (Saskatchewan)..
Section 14.14 is amended
(
a) in paragraph (4)(
d) by adding "purchased, sold or transferred" after
"the number of securities", and
(
b) in paragraph (5)(
f) by replacing "covered" with "eligible for
coverage".
Section 14.14.1 is amended
(
a) in paragraph (2)(
f) by replacing "the name" with "disclosure in
respect",
(
b) in paragraph (2)(
g) by replacing "securities are covered" with
"securities are, or the account is, eligible for coverage", and by deleting
"and, if they are, the name of the fund", and
(
c) by adding the following subsection:
(2.1) Paragraph (2)(
g) does not apply if the party referred to in paragraph
(2)(
f) is required under
section 14.14, or under an IIROC provision or
MFDA provision, to deliver a statement to the client in respect of the
securities or the account referred to in subsection (1) of this section..
40. The heading to
section 14.14.2 is amended by replacing "Position cost
information" with "Security position cost information".
Section 14.14.2 is amended
(
a) by replacing paragraphs (2)(
a) and (
b) with the following:
(
a) for each security position, in the statement, opened on or after
July 15, 2015, presented on an average cost per unit or share basis
or an aggregate basis,
(
i) the cost of the security position, determined as at the end of
the period for which the information referred to in
subsection 14.14(5) or 14.14.1(2) is provided, or
(ii) if the security position was transferred from another
registered firm, the information referred to in subparagraph
(
i) or the market value of the security position as at the date
of the transfer of the security position;
(
b) for each security position, in the statement, opened before July 15,
2015, presented on an average cost per unit or share basis or an
aggregate basis,
(
i) the cost of the security position, determined as at the end of
the period for which the information referred to in
subsection 14.14(5) or 14.14.1(2) is provided, or
(ii) the market value of the security position on
(
A) December 31, 2015, or
(
B) a date that is earlier than December 31, 2015 if the
registered firm reasonably believes accurate,
recorded historical position cost information is
available for the client's account, and it would not be
misleading to the client to provide that information
as at the earlier date;, and
(
b) by adding the following subsection:
(2.1) If a registered firm reports one or more security positions of a
client using the market value determined as at the date referred to
in subparagraph (2)(a)(ii) or (2)(b)(ii), the firm must disclose in
the statement that it is providing the market value of the security
position as at the relevant date, instead of the cost of the security
position..
42. Paragraph 14.15(
c) and
section 14.16 are amended by replacing
"14.14.2[position cost information]" with "14.14.2 [security position cost
information]".
43. Subsection 14.18(6) is replaced with the following:
(6) Despite subsection (1), a registered firm is not required to deliver a
report to a client for a 12-month period referred to in that subsection if
the firm reasonably believes
(
a) there are no securities of the client with respect to which
information is required to be reported under subsection 14.14(5)
[account statements] or subsection 14.14.1(1) [additional
statements], or
(
b) no market value can be determined for any securities of the client
in respect to which information is required to be reported under
subsection 14.14(5) or 14.14.1(1)..
Section 14.19 is amended:
(
a) by replacing paragraph (1)(
d) with the following:
(
d) the market values determined under subsection (1.1);,
(
b) by repealing paragraph (1)(e),
(
c) in paragraph (1)(
g) by replacing "paragraph (h)" with "subsection
(1.2)",
(
d) by repealing paragraph (1)(h),
(
e) by adding the following subsections:
(1.1) For the purposes of paragraph (1)(d), the investment performance
report must include the following, as applicable:
(
a) if the client's account was opened on or after July 15, 2015,
the market value of all deposits and transfers of cash and
securities into the client's account, and the market value of
all withdrawals and transfers of cash and securities out of
the account, since opening the account;
(
b) if the client's account was opened before July 15, 2015,
and the firm has not delivered an investment performance
report for the 12-month period ending December 31, 2016,
(
i) the market value of all cash and securities in the
client's account as at
(
A) July 15, 2015, or
(
B) a date that is earlier than July 15, 2015 if the
registered firm reasonably believes accurate,
recorded historical market value information
is available for the client's account, and it
would not be misleading to the client to
provide that information as at the earlier date,
and
(ii) the market value of all deposits and transfers of cash
and securities into the account, and the market value
of all withdrawals and transfers of cash and
securities out of the account, since the date referred
to in clause (i)(
A) or (B), as applicable;
(
c) if the client's account was opened before July 15, 2015,
and the firm delivered an investment performance report
for the 12-month period ending December 31, 2016,
(
i) the market value of all cash and securities in the
client's account as at
(
A) January 1, 2016, or
(
B) a date that is earlier than January 1, 2016 if
the registered firm reasonably believes
accurate, recorded historical market value
information is available for the client's
account, and it would not be misleading to the
client to provide that information as at the
earlier date, and
(ii) the market value of all deposits and transfers of cash
and securities into the account, and the market value
of all withdrawals and transfers of cash and
securities out of the account, since the date referred
to in clause (i)(
A) or (B), as applicable.
(1.2) Paragraph (1)(
g) does not apply if the client's account was opened
before July 15, 2015 and the registered firm includes in the
investment performance report the cumulative change in the
market value of the account determined using the following
formula, instead of the formula in paragraph (g):
A - G - H + I
where
A = the market value of all cash and securities in the
account as at the end of the 12-month period covered
by the investment performance report;
G = the market value of all cash and securities in the
account determined as follows:
(
a) if the firm has not delivered an investment
performance report for the 12-month period
ending December 31, 2016, the market value
of all cash and securities in the client's
account as at
(
i) July 15, 2015, or
(ii) a date that is earlier than July 15, 2015
if the registered firm reasonably
believes accurate, recorded historical
market value information is available
for the client's account, and it would
not be misleading to the client to
provide that information as at the
earlier date,
(
b) if the firm has delivered an investment
performance report for the 12-month period
ending December 31, 2016, the market value
of all cash and securities in the client's
account as at
(
i) January 1, 2016, or
(ii) a date that is earlier than January 1,
2016 if the registered firm reasonably
believes accurate, recorded historical
market value information is available
for the client's account, and it would
not be misleading to the client to
provide that information as at the
earlier date;
H = the market value of all deposits and transfers of cash
and securities into the account since the date used
for the purposes of the definition of "G"; and
I = the market value of all withdrawals and transfers of
cash and securities out of the account since the date
used for the purposes of the definition of "G".,
(
f) by replacing paragraph (2)(
e) with the following:
(
e) subject to subsection (3.1), the period since the client's account
was opened if the account has been open for more than one year
before the date of the report or, if the account was opened before
July 15, 2015, the period since
(
i) July 15, 2015, or
(ii) a date that is earlier than July 15, 2015 if the
registered firm reasonably believes accurate
recorded annualized total percentage return
information is available for the client's account,
and it would not be misleading to the client to
provide that information as at the earlier date.,
and
(
g) by adding the following subsection:
(3.1) Paragraph (2)(
e) does not apply to a registered firm that delivered
an investment performance report for the 12-month period ending
December 31, 2016 if the firm provides, in the report, the
annualized total percentage return information referred to in that
paragraph for the period since
(
a) January 1, 2016, or
(
b) a date that is earlier than January 1, 2016 if the registered
firm reasonably believes accurate, recorded annualized
total percentage return information is available for the
client's account, and it would not be misleading to the
client to provide that information as at the earlier date..
45. Subsection 15.1(3) is amended by adding "Alberta and" after "Except in".
46. Form 31-103F1 Calculation of Excess Working Capital is amended
(
a) in the column entitled "Component" in Line 10 of the table by adding
"or, in Qu‚bec, for a firm registered only in that jurisdiction and solely
in the category of mutual fund dealer, less the deductible under the
liability insurance required under
section 193 of the Qu‚bec Securities
Regulation" after "National Instrument 31-103 Registration
Requirements, Exemptions and Ongoing Registrant Obligations",
(
b) in subparagraph (a)(
i) of
Schedule 1 by replacing "Aaa or AAA by
Moody's Canada Inc. or its DRO affiliate or Standard & Poor's Rating
Services (Canada) or its DRO affiliate, respectively" with "Aaa or
AAA, or the short-term ratings equivalent of either of those ratings, by a
designated rating organization or its DRO affiliate", and
(
c) in paragraph (
d) of
Schedule 1 by replacing "Investment Companies
Act of 1940" with "Investment Company Act of 1940".
47. Appendix G is replaced with the following:
APPENDIX G
EXEMPTIONS FROM CERTAIN REQUIREMENTS
FOR IIROC MEMBERS
(Section 9.3 [exemptions from certain requirements for IIROC members])
NI 31-103 Provision
IIROC Provision
section 12.1 [capital
requirements]
1. Dealer Member Rule 17.1; and
2. Form 1
section 12.2 [subordination
agreement]
1. Dealer Member Rule 5.2; and
2. Dealer Member Rule 5.2A
section 12.3 [insurance -
dealer]
1. Dealer Member Rule 17.5
2. Dealer Member Rule 400.2 [Financial Institution
Bond];
3. Dealer Member Rule 400.4 [Amounts Required];
and
4. Dealer Member Rule 400.5 [Provisos with respect
to Dealer Member Rules 400.2, 400.3 and 400.4]
section 12.6 [global
bonding or insurance]
1. Dealer Member Rule 400.7 [Global Financial
Institution Bonds]
section 12.7 [notifying the
regulator of a change,
claim or cancellation]
1. Dealer Member Rule 17.6;
2. Dealer Member Rule 400.3 [Notice of
Termination]; and
3. Dealer Member Rule 400.3B [Termination or
Cancellation]
section 12.10 [annual
financial statements]
1. Dealer Member Rule 16.2 [Dealer Member Filing
Requirements]; and
2. Form 1
section 12.11 [interim
financial information]
1. Dealer Member Rule 16.2 [Dealer Member Filing
Requirements]; and
2. Form 1
section 12.12 [delivering
financial information -
dealer]
1. Dealer Member Rule 16.2 [Dealer Member Filing
Requirements]
subsection 13.2(3) [know
your client]
1. Dealer Member Rule 1300.1(a)-(n) [Identity and
Creditworthiness];
2. Dealer Member Rule 1300.2;
3. Dealer Member Rule 2500,
Part II [Opening New
Accounts];
4. Dealer Member Rule 2700,
Part II [New Account
Documentation and Approval]; and
5. Form 2 New Client Application Form
section 13.3 [suitability]
1. Dealer Member Rule 1300.1(o) [Business
Conduct];
2. Dealer Member Rule 1300.1(p) [Suitability
determination required when accepting order];
3. Dealer Member Rule 1300.1(q) [Suitability
determination required when recommendation
provided];
4. Dealer Member Rule 1300.1(r) [Suitability
determination required for account positions held
when certain events occur];
5. Dealer Member Rule 1300.1(s) [Suitability of
investments in client accounts];
6. Dealer Member Rule 1300.1(t) - (v) [Exemptions
from the suitability assessment requirements]
7. Dealer Member Rule 1300.1(w) [Corporation
approval]
8. Dealer Member Rule 2700,
Part I [Customer
Suitability]; and
9. Dealer Member Rule 3200 [Minimum
requirements for Dealer Members seeking
approval under Rule 1300.1(
t) to offer an order-
execution only service]
section 13.12 [restriction
on lending to clients]
1. Dealer Member Rule 17.11; and
2. Dealer Member Rule 100 [Margin Requirements]
section 13.13 [disclosure
when recommending the
use of borrowed money]
1. Dealer Member Rule 29.26
section 13.15 [handling
complaints]
1. Dealer Member Rule 2500,
Part VIII [Client
Complaints]; and
2. Dealer Member Rule 2500B [Client Complaint
Handling]
subsection 14.2(2)
[relationship disclosure
information]
1. Dealer Member Rule 3500.5 [Content of
relationship disclosure]
subsection 14.2(3)
[relationship disclosure
information]
1. Dealer Member Rule 3500.4 [Format of
relationship disclosure]
subsection 14.2(4)
[relationship disclosure
information]
1. Dealer Member Rule 3500.1 [Objective of
relationship disclosure requirements]
subsection 14.2(5.1)
[relationship disclosure
information]
1. Dealer Member Rule 29.8
subsection 14.2(6)
[relationship disclosure
information]
1. Dealer Member Rule 3500.1 [Objective of
relationship disclosure requirements]
section 14.2.1 [pre-trade
disclosure of charges]
1. Dealer Member Rule 29.9
section 14.6 [holding client
assets in trust]
1. Dealer Member Rule 17.3
section 14.8 [securities
subject to a safekeeping
agreement]
1. Dealer Member Rule 17.2A
2. Dealer Member Rule 2600 - Internal Control
Policy Statement 5 [Safekeeping of Clients'
Securities]
section 14.9 [securities not
subject to a safekeeping
agreement]
1. Dealer Member Rule 17.3;
2. Dealer Member Rule 17.3A; and
3. Dealer Member Rule 200.1(
c) section 14.11.1
[determining market value]
1. Dealer Member Rule 200.1(c); and
2. Definition (
g) of the General Notes and
Definitions to Form 1
section 14.12 [content and
delivery of trade
confirmation]
1. Dealer Member Rule 200.2(l) [Trade
confirmations]
section 14.14 [account
statements]
1. Dealer Member Rule 200.2(d) [Client account
statements]; and
2. "Guide to
Interpretation of Rule 200.2", Item (
d) section 14.14.1 [additional
statements]
1. Dealer Member Rule 200.2(e) [Report on client
positions held outside of the Dealer Member];
2. Dealer Member Rule 200.4 [Timing of sending
documents to clients]; and
3. "Guide to
Interpretation of Rule 200.2", Item (
e) section 14.14.2 [security
position cost information]
1. Dealer Member Rule 200.1(a);
2. Dealer Member Rule 200.1(b);
3. Dealer Member Rule 200.1(e);
4. Dealer Member Rule 200.2(d)(ii)(
F) and (H); and
5. Dealer Member Rule 200.2(e)(ii)(
C) and (
E) section 14.17 [report on
charges and other
compensation]
1. Dealer Member Rule 200.2(g) [Fee/ charge
report]; and
2. "Guide to
Interpretation of Rule 200.2", Item (
g) section 14.18 [investment
performance report]
1. Dealer Member Rule 200.2(f) [Performance
report]; and
2. "Guide to
Interpretation of Rule 200.2", Item (
f) section 14.19 [content of
investment performance
report]
1. Dealer Member Rule 200.2(f) [Performance
report]; and
2. "Guide to
Interpretation of Rule 200.2", Item (
f) section 14.20 [delivery of
report on charges and
other compensation and
investment performance
report]
1. Dealer Member Rule 200.4 [Timing of the
sending of documents to clients]
48. Appendix G, as amended by
section 47 of this Instrument, is amended by
adding the following rows in the format indicated by the shaded area before
the row commencing with "section 14.6 [holding client assets in trust]":
NI 31-103 Provision
IIROC Provision
section 14.5.2 [restriction
on self-custody and
qualified custodian
requirement]
1. Dealer Member Rule 17.2A;
2. Dealer Member Rules 17.3, 17.3A, 17.3B and
2000 [Segregation Requirements];
3. Dealer Member Rule 2600 - Internal Control
Policy Statement 4 [Segregation of Clients'
Securities];
4. Dealer Member Rule 2600 - Internal Control
Policy Statement 5 [Safekeeping of Clients'
Securities];
5. Dealer Member Rule 2600 - Internal Control
Policy Statement 6 [Safeguarding of Securities
and Cash]; and
6. Definition of "acceptable securities locations",
General Notes and
Definitions to Form 1
section 14.5.3 [cash and
securities held by a
qualified custodian]
1. Dealer Member Rule 200 [Minimum Records]
49. Appendix G, as amended by
section 47 of this Instrument, is amended by
replacing "section 14.6 [holding client assets in trust]" with "section 14.6
[client and investment fund assets held by a registered firm in trust]".
50. Appendix G, as amended by
section 47 of this Instrument, is amended by
adding the following rows in the format indicated by the shaded area after
the row commencing with "section 14.6 [holding client assets in trust]":
NI 31-103 Provision
IIROC Provision
section 14.6.1 [custodial
provisions relating to
certain margin or security
interests]
1. Dealer Member Rules 17.2, 17.2A, 17.3, 17.3A,
17.3B, 17.11 and 2000 [Segregation
Requirements];
2. Dealer Member Rule 100 [Margin
Requirements];
3. Dealer Member Rule 2200 [Cash and Securities
Loan Transactions];
4. Dealer Member Rule 2600 - Internal Control
Policy Statement 4 [Segregation of Clients'
Securities];
5. Dealer Member Rule 2600 - Internal Control
Policy Statement 5 [Safekeeping of Clients'
Securities];
6. Dealer Member Rule 2600 - Internal Control
Policy Statement 6 [Safeguarding of Securities
and Cash]; and
7. Definition of "acceptable securities locations",
"acceptable institutions", "acceptable
counterparties", "regulated entities", General
Notes and
Definitions to Form 1
section 14.6.2 [custodial
provisions relating to short
sales]
1. Dealer Member Rule 100 [Margin
Requirements];
2. Dealer Member Rule 2200 [Cash and Securities
Loan Transactions];
3. Dealer Member Rule 2600 - Internal Control
Policy Statement 6 [Safeguarding of Securities
and Cash]; and
4. Definition of "acceptable securities locations",
"acceptable institutions", "acceptable
counterparties", "regulated entities", General
Notes and
Definitions to Form 1
51. Appendix G, as amended by
section 47 of this Instrument, is amended by
repealing the rows commencing with "section 14.8 [securities subject to a
safekeeping agreement]" and "section 14.9 [securities not subject to a
safekeeping agreement]".
52. Appendix H is replaced with the following:
APPENDIX H
EXEMPTIONS FROM CERTAIN REQUIREMENTS
FOR MFDA MEMBERS
(Section 9.4 [exemptions from certain requirements for MFDA members])
NI 31-103 Provision
MFDA Provision
section 12.1 [capital
requirements]
1. Rule 3.1.1 [Minimum Levels];
2. Rule 3.1.2 [Notice];
3. Rule 3.2.2 [Member Capital];
4. Form 1; and
5. Policy No. 4 [Internal Control Policy Statements
- Policy Statement 2: Capital Adequacy]
section 12.2 [subordination
agreement]
1. Form 1, Statement F [Statement of Changes in
Subordinated Loans]; and
2. Membership Application Package -
Schedule I
(Subordinated Loan Agreement)
section 12.3 [insurance -
dealer]
1. Rule 4.1 [Financial Institution Bond];
2. Rule 4.4 [Amounts Required];
3. Rule 4.5 [Provisos];
4. Rule 4.6 [Qualified Carriers]; and
5. Policy No. 4 [Internal Control Policy Statements
- Policy Statement 3: Insurance]
section 12.6 [global bonding
or insurance]
1. Rule 4.7 [Global Financial Institution Bonds]
section 12.7 [notifying the
regulator of a change, claim
or cancellation]
1. Rule 4.2 [Notice of Termination]; and
2. Rule 4.3 [Termination or Cancellation]
section 12.10 [annual
financial statements]
1. Rule 3.5.1 [Monthly and Annual];
2. Rule 3.5.2 [Combined Financial Statements];
and
3. Form 1
section 12.11 [interim
financial information]
1. Rule 3.5.1 [Monthly and Annual];
2. Rule 3.5.2 [Combined Financial Statements];
and
3. Form 1
section 12.12 [delivering
financial information -
dealer]
1. Rule 3.5.1 [Monthly and Annual]
section 13.3 [suitability]
1. Rule 2.2.1 ["Know-Your-Client"]; and
2. Policy No. 2 [Minimum Standards for Account
Supervision]
section 13.12 [restriction on
lending to clients]
1. Rule 3.2.1 [Client Lending and Margin]; and
2. Rule 3.2.3 [Advancing Mutual Fund Redemption
Proceeds]
section 13.13 [disclosure
when recommending the use
of borrowed money]
1. Rule 2.6 [Borrowing for Securities Purchases]
section 13.15 [handling
complaints]
1. Rule 2.11 [Complaints]
2. Policy No. 3 [Complaint Handling, Supervisory
Investigations and Internal Discipline]; and
3. Policy No. 6 [Information Reporting
Requirements]
subsections 14.2(2), (3) and
(5.1) [relationship disclosure
information]
1. Rule 2.2.5 [Relationship Disclosure]; and
2. Rule 2.4.3 [Operating Charges]
section 14.2.1 [pre-trade
disclosure of charges]
1. Rule 2.4.4 [Transaction Fees or Charges]
section 14.6 [holding client
assets in trust]
1. Rule 3.3.1 [General];
2. Rule 3.3.2 [Cash]; and
3. Policy No. 4 [Internal Control Policy Statements
- Policy Statement 4: Cash and Securities, and
Policy Statement 5: Segregation of Clients'
Securities]
section 14.8 [securities
subject to a safekeeping
agreement]
1. Rule 3.3.3 [Securities]; and
2. Policy No. 4 [Internal Control Policy Statements
- Policy Statement 4: Cash and Securities,
and Policy Statement 5: Segregation of Clients'
Securities]
section 14.9 [securities not
subject to a safekeeping
agreement]
1. Rule 3.3.3 [Securities]
section 14.11.1 [determining
market value]
1. Rule 5.3(1)(f) [definition of "market value"]; and
Definitions to Form 1 [definition of "market
value" of a security]
section 14.12 [content and
delivery of trade
confirmation]
1. Rule 5.4.1 [Delivery of Confirmations];
2. Rule 5.4.2 [Automatic Plans]; and
3. Rule 5.4.3 [Content]
section 14.14 [account
statements]
1. Rule 5.3.1 [Delivery of Account Statement]; and
2. Rule 5.3.2 [Content of Account Statement]
section 14.14.1 [additional
statements]
1. Rule 5.3.1 [Delivery of Account Statement]; and
2. Rule 5.3.2 [Content of Account Statement]
section 14.14.2 [security
position cost information]
1. Rule 5.3(1)(a) [definition of "book cost"];
2. Rule 5.3(1)(c) [definition of "cost"]; and
3. Rule 5.3.2(c) [Content of Account Statement -
Market Value and Cost Reporting]
section 14.17 [report on
charges and other
compensation]
1. Rule 5.3.3 [Report on Charges and Other
Compensation]
section 14.18 [investment
performance report]
1. Rule 5.3.4 [Performance Report]; and
2. Policy No. 7 Performance Reporting
section 14.19 [content of
investment performance
report]
1. Rule 5.3.4 [Performance Report]; and
2. Policy No. 7 Performance Reporting
section 14.20 [delivery of
report on charges and other
compensation and
investment performance
report]
1. Rule 5.3.5 [Delivery of Report on Charges and
Other Compensation and Performance Report]
53. Appendix H, as amended by
section 52 of this Instrument, is amended by
adding the following rows in the format indicated by the shaded area before
the row commencing with "section 14.6 [holding client assets in trust]":
NI 31-103 Provision
MFDA Provision
section 14.5.2 [restriction on
self-custody and qualified
custodian requirement]
1. Rule 3.3.1 [General];
2. Rule 3.3.2 [Cash];
3. Rule 3.3.3 [Securities]; and
4. Policy No. 4 [Internal Control Policy Statements
- Policy Statement 4: Cash and Securities, and
Policy Statement 5: Segregation of Clients'
Securities]
section 14.5.3 [cash and
securities held by a qualified
custodian]
1. Policy No. 4 [Internal Control Policy Statements
- Policy Statement 4: Cash and Securities, and
Policy Statement 5: Segregation of Clients'
Securities]
54. Appendix H, as amended by
section 52 of this Instrument, is amended by
replacing the row commencing with "section 14.6 [holding client assets in
trust]" with the following row in the format indicated by the shaded area:
NI 31-103 Provision
MFDA Provision
section 14.6 [client and
investment fund assets held
by a registered firm in trust]
1. Rule 3.3.1 [General];
2. Rule 3.3.2 [Cash];
3. Rule 3.3.3 [Securities]; and
4. Policy No. 4 [Internal Control Policy
Statements - Policy Statement 4: Cash and
Securities, and Policy Statement 5: Segregation
of Clients' Securities]
55. Appendix H, as amended by
section 52 of this Instrument, is amended by
adding the following rows in the format indicated by the shaded area after
the row commencing with "section 14.6 [holding client assets in trust]":
NI 31-103 Provision
MFDA Provision
section 14.6.1 [custodial
provisions relating to certain
margin or security interests]
1. Rule 3.2.1 [Client Lending and Margin]
section 14.6.2 [custodial
provisions relating to short
sales]
1. Rule 3.2.1 [Client Lending and Margin]
56. Appendix H, as amended by
section 52 of this Instrument, is amended by
repealing the rows commencing with "section 14.8 [securities subject to a
safekeeping agreement]" and "section 14.9 [securities not subject to a
safekeeping agreement]".
(1) Subject to subsection (2), this Instrument comes into force on
December 4, 2017.
(2) The following provisions of this Instrument come into force on June 4,
2018:
(
a) section 2;
(
b) section 4;
(
c) paragraphs 14(d), (e), (
f) and (g);
(
d) paragraphs 16(d), (e), (
f) and (g);
(
e) paragraphs 18(d), (e), (
f) and (g);
(
f) paragraphs 20(d), (e), (
f) and (g);
(
g) section 26;
(
h) paragraph 28(b);
(
i) sections 29 to 34, 48 to 51 and 53 to 56.
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 July 12, 2017 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. Subsection 2.2(1)(
e) is amended by replacing "Dealing with clients -
individuals and firms" with "[Dealing with clients - individuals and firms]".
Section 3.1 is amended by replacing " Chief Compliance Officers Qualifying
Exam" " with " "Chief Compliance Officers Qualifying Exam" ".
4. Subsection 3.14(b)(iii) is amended by replacing "." with ";".
5. Subsection 8.30(
d) is amended by replacing "Dealing with clients -
individuals and firms" with "[Dealing with clients - individuals and firms]"
and by replacing "Handling client accounts - firms" with "[Handling client
accounts - firms]".
6. Subsection 11.3(2) is amended by replacing "Registration requirements -
individuals" with "[Registration requirements - individuals]".
Section 13.8 is amended by replacing paragraph (
a) with the following:
(
a) before a client is referred by or to the registrant, the terms of the referral
arrangement are set out in the written agreement between the registered
firm and the person or company, .
8. Subsection 13.13(2)(
a) is amended by replacing "," with ";".
9. Subsection 14.12(6) is amended by replacing "on" after "made" with "in".
10. Paragraph (e)(
i) of
Schedule 1 of Form 31-103F1 Calculation of Excess
Working Capital is amended by replacing "per shares" with "per share".
11. This Instrument comes into force on December 4, 2017.
Alberta Securities Commission
AMENDMENTS TO NATIONAL INSTRUMENT 33-109
REGISTRATION INFORMATION
(Securities Act)
Made as a rule by the Alberta Securities Commission on July 12, 2017 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.
2. Subparagraph 2.3(2)(c)(
i) is amended by replacing "Item 13.3(c)" with
"Item 13.3(a)".
3. Subsection 7.1 (3) is amended by adding "Alberta and" before "Ontario".
Schedule B to Form 33-109F2 is amended
(
a) under the heading "New Brunswick" by replacing "Director of
Securities" with "Registration",
(
b) under the heading "Nunavut" by replacing "Deputy Registrar of
Securities" with "Superintendent of Securities", and
(
c) under the heading "Prince Edward Island" by replacing "Deputy
Registrar of Securities" with "Superintendent of Securities".
Schedule A to Form 33-109F3 is amended
(
a) under the heading "New Brunswick" by replacing "Director of
Securities" with "Registration",
(
b) under the heading "Nunavut" by replacing "Deputy Registrar of
Securities" with "Superintendent of Securities", and
(
c) under the heading "Prince Edward Island" by replacing "Deputy
Registrar of Securities" with "Superintendent of Securities".
6. Form 33-109F4 is amended
(
a) in the "General Instructions" by replacing "regulator(
s) or in Qu‚bec,"
with "regulator(
s) or, in Qu‚bec,", and
(
b) in Item 22, under the heading "Individual" and under the heading
"Authorized partner or officer of the firm", by replacing "regulator, or
in Qu‚bec" with "regulator or, in Qu‚bec,".
Schedule C to Form 33-109F4 is amended under the first instance of the
heading "Individual categories and permitted activities" by replacing
"permitted individual" with "Permitted Individual as described in paragraph
(
c) of the definition of "permitted individual" in
section 1.1 of National
Instrument 33-109 Registration Information".
Schedule O to Form 33-109F4 is amended
(
a) under the heading "New Brunswick" by replacing "Director of
Securities" with "Registration",
(
b) under the heading "Nunavut" by replacing "Deputy Registrar of
Securities" with "Superintendent of Securities", and
(
c) under the heading "Prince Edward Island" by replacing "Deputy
Registrar of Securities" with "Superintendent of Securities".
Schedule A to Form 33-109F5 is amended
(
a) under the heading "New Brunswick" by replacing "Director of
Securities" with "Registration",
(
b) under the heading "Nunavut" by replacing "Deputy Registrar of
Securities" with "Superintendent of Securities", and
(
c) under the heading "Prince Edward Island" by replacing "Deputy
Registrar of Securities" with "Superintendent of Securities".
Section 4.2 of Form 33-109F6 is amended by adding "(other than those
exemptions with respect to which the firm has already notified the securities
regulator or, in Qu‚bec, the securities regulatory authority in accordance with
the applicable exemption)" after "trade or advise in securities or derivatives".
Schedule A to Form 33-109F6 is amended
(
a) under the heading "New Brunswick" by replacing "Director of
Securities" with "Registration",
(
b) under the heading "Nunavut" by replacing "Deputy Registrar of
Securities" with "Superintendent of Securities", and
(
c) under the heading "Prince Edward Island" by replacing "Deputy
Registrar of Securities" with "Superintendent of Securities".
Schedule C to Form 33-109F6 is amended
(
a) in the column entitled "Component" in Line 10 of the table by adding
"or, in Qu‚bec, for a firm registered only in that jurisdiction and solely
in the category of mutual fund dealer, less the deductible under the
liability insurance required under
section 193 of the Qu‚bec Securities
Regulation" after "National Instrument 31-103 Registration
Requirements, Exemptions and Ongoing Registrant Obligations",
(
b) in subparagraph (a)(
i) of
Schedule 1 by replacing "Aaa or AAA by
Moody's Canada Inc. or its DRO affiliate, or Standard & Poor's Rating
Services (Canada) or its DRO affiliate, respectively" with "Aaa or
AAA, or the short-term ratings equivalent of either of those ratings, by a
designated rating organization or its DRO affiliate", and
(
c) in paragraph (
d) of
Schedule 1 by replacing "Investment Companies
Act of 1940" with "Investment Company Act of 1940".
13. Form 33-109F7 is amended
(
a) in the "General Instructions" by replacing "regulator(
s) or in Qu‚bec,"
with "regulator(
s) or, in Qu‚bec,",
(
b) in
section 2 of the "General Instructions" and in
section 1 of Item 9 by
replacing "Item 13.3(c)" with "Item 13.3(a)", and
(
c) in Item 12 under the heading "Individual" and under the heading
"Authorized partner or officer of the new sponsoring firm", by
replacing "regulator, or in Qu‚bec" with "regulator or, in Qu‚bec,".
Schedule B to Form 33-109F7 is amended under the heading "Individual
categories and permitted activities" by adding "as described in paragraph (
c) of the definition of "permitted individual" in
section 1.1 of National
Instrument 33-109 Registration Information" after "Permitted Individual".
Schedule F to Form 33-109F7 is amended
(
a) under the heading "New Brunswick" by replacing "Director of
Securities" with "Registration",
(
b) under the heading "Nunavut" by replacing "Deputy Registrar of
Securities" with "Superintendent of Securities", and
(
c) under the heading "Prince Edward Island" by replacing "Deputy
Registrar of Securities" with "Superintendent of Securities".
Coming into force
16. This Instrument comes into force on December 4, 2017.
Alberta Securities Commission
MULTILATERAL INSTRUMENT 91-102
PROHIBITION OF BINARY OPTIONS
(Securities Act)
Made as a rule by the Alberta Securities Commission on September 13, 2017 pursuant
to sections 223 and 224 of the Securities Act.
MULTILATERAL INSTRUMENT 91-102
PROHIBITION OF BINARY OPTIONS
Definition
1. In this Instrument, "binary option" means a contract or instrument that
provides for only
(
a) a predetermined fixed amount if the underlying interest referenced in the
contract or instrument meets one or more predetermined conditions, and
(
b) zero or another predetermined fixed amount if the underlying interest
referenced in the contract or instrument does not meet one or more
predetermined conditions.
Trading binary options with an individual prohibited
2. No person or company may advertise, offer, sell or otherwise trade a binary
option with or to an individual.
Trading binary options with a person or company other than an individual
prohibited
3. No person or company may advertise, offer, sell or otherwise trade a binary
option with or to a person or company that was created, or is used, solely to
trade a binary option.
Binary options having a term to maturity of 30 days or longer
4. Sections 2 and 3 do not apply in respect of a binary option having a term to
maturity of 30 days or longer.
Exemption - general
(1) Except in Qu‚bec, the regulator or the securities regulatory authority may
grant an exemption from this Instrument, in whole or in part, subject to such
conditions or restrictions as may be imposed in the exemption.
(2) Despite subsection (1), in Ontario, only the regulator may grant an exemption.
(3) Except in Alberta, Ontario and Saskatchewan, an exemption referred to in
subsection (1) is granted under the statute referred to in Appendix B of
National Instrument 14-101
Definitions opposite the name of the local
jurisdiction.
Effective date
(1) This Instrument comes into force on December 12, 2017.
(2) In Saskatchewan, despite subsection (1), if these regulations are filed with the
Registrar of Regulations after December 12, 2017, these regulations come
into force on the day on which they are filed with the Registrar of
Regulations.
ADVERTISEMENTS
Notice of Certificate of Intent to Dissolve
(Business Corporations Act)
Notice is hereby given that a Certificate of Intent to Dissolve was issued to
WILLISTON MINI STORAGE CDN GP LTD. on November 13, 2017.
Dated at Calgary, Alberta on November 13, 2017.
Stephanie P. Autio, Solicitor.
Law Society of Alberta
Election of Benchers - November 15, 2017
(Legal Profession Act)
Ryan Anderson
Jim Lutz
Rob Armstrong
Bud Melnyk
Arman Chak
Walter Pavlic
Sandra Corbett
Stacy Petriuk
Donald Cranston
Robert Philp
Nancy Dilts
Kathleen Ryan
Corie Flett
Darlene Scott
Karen Hewitt
Kent Teskey
Cal Johnson
Margaret Unsworth
Linda Long
Nate Whitling
Public Sale of Land
(Municipal Government Act)
Westlock County
Notice is hereby given that under the provisions of the Municipal Government Act,
Westlock County will offer for sale, by public auction, at the Westlock County Office
in Westlock, Alberta, on Thurday, January 18, 2018, at 2:00 p.m., the following
lands:
FAWCETT
Legal Description
C of T
NW 16-64-1-5
JARVIE
Legal Description
C of T
Lot 1, Block 6, Plan 1308CL
VIMY
Legal Description
C of T
Lot 9-10, Block 3, Plan 2431CL
RURAL
Legal Description
C of T
Lot 10, Block 3, Plan 7923236
Lot 1, Block 1, Plan 1125793
SW 30-64-1-5
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.
Westlock County may, after the public auction, become the owner of any parcel of
land not sold at the public auction.
Terms: Cash
Redemption may be effected by payment of all arrears of taxes and costs at any time
prior to the sale.
Dated at Westlock, Alberta, November 14, 2017.
Leo Ludwig, County Administrator.
______________
Town of Sylvan Lake
Notice is hereby given that, under the provisions of the Municipal Government Act,
The Town of Sylvan Lake will offer for sale, by public auction, at Municipal
Government Building, 5012 48 Avenue in the Council Chambers, Sylvan Lake,
Alberta, on Friday, February 9, 2018, at 10:00 a.m., the following lands:
Lot
Block
Plan
C of T
Address
072-8934
51 REGATTA WAY
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
Sylvan Lake 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 Town of Sylvan Lake may, after the public auction, become the owner of any
parcel of land not sold at the public auction.
Terms: Payment in Cash, Bank Draft or Certified Cheque. 10% deposit and balance
within 30 days of date of Public Auction. GST may apply
Redemption may be effected by payment of all arrears of taxes and costs at any time
prior to the sale.
Dated at Sylvan Lake, Alberta, November 15, 2017.
Betty Osmond, Chief Administrative Officer.
Village of Cereal
Notice is hereby given that, under the provisions of the Municipal Government Act,
the Village of Cereal will offer for sale, by public auction, at the Cereal Municipal
Office, 415 Main Street, Cereal, Alberta, on Wednesday, January 10, 2018, at 10:00
a.m., the following lands:
Lot
Block
Plan
Title Number
2686BC
2686BC
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 Village of Cereal may, after the public auction, become the owner of any parcel
of land not sold at the public auction.
The lands with or without improvements are being offered for sale on an "as is, where
is" basis, and the Village of Cereal makes no representation and gives no warranty as
to the adequacy of services, soil conditions, building and development conditions,
absence or presence of environmental contamination, or the ability to develop the
subject land for any intended use by the Purchaser. No bid will be accepted where the
bidder attempts to attach conditions precedent to the sale of any parcel.
Terms: Cash or Certified Cheque
Redemption may be effected by payment of all arrears of taxes and costs at any time
prior to the sale.
Dated at Cereal, Alberta, November 15, 2017.
MaryAnn Salik, Municipal Administrator.
NOTICE TO ADVERTISERS
The Alberta Gazette is issued twice monthly, on the 15th and last day.
Notices and advertisements must be received ten full working days before the
date of the issue in which the notices are to appear. Submissions received after
that date will appear in the next regular issue.
Notices and advertisements should be typed or written legibly and on a sheet separate
from the covering letter. An electronic submission by email or disk is preferred.
Email submissions may be sent to the Editor of The Alberta Gazette at
albertagazette@gov.ab.ca. The number of insertions required should be specified and
the names of all signing officers typed or printed. Please include name and complete
contact information of the individual submitting the notice or advertisement.
Proof of Publication: Statutory Declaration is available upon request.
A copy of the page containing the notice or advertisement will be emailed to each
advertiser without charge.
The dates for publication of Tax Sale Notices in The Alberta Gazette are as follows:
Issue of
Earliest date on which
sale may be held
December 15
January 25
December 30
February 9
January 15
February 25
January 31
March 13
February