Alberta Gazette, Part I — Tuesday, November 15, 2016

Tuesday, November 15, 2016

Alberta — Gazette

The Alberta Gazette

Part I

Vol. 112 Edmonton, Tuesday, November 15, 2016 No. 21

PROCLAMATION

[GREAT SEAL]

CANADA

PROVINCE OF ALBERTA Lois Mitchell, Lieutenant Governor.

ELIZABETH THE SECOND, by the Grace of God, of the United Kingdom,

Canada, and Her Other Realms and Territories, QUEEN, Head of the

Commonwealth, Defender of the Faith

P R O C L A M A T I O N

To all to Whom these Presents shall come

G R E E T I N G

Philip Bryden Deputy Attorney General

WHEREAS

section 11 of the Alberta Research and Innovation Amendment Act,

2016 provides that that Act comes into force on Proclamation; and

WHEREAS it is expedient to proclaim the Alberta Research and Innovation

Amendment Act, 2016 in force:

NOW KNOW YE THAT by and with the advice and consent of Our Executive

Council of Our Province of Alberta, by virtue of the provisions of the said Act

hereinbefore referred to and of all other power and authority whatsoever in Us vested

in that behalf, We have ordered and declared and do hereby proclaim the Alberta

Research and Innovation Amendment Act, 2016 in force on November 1, 2016.

IN TESTIMONY WHEREOF We have caused these Our Letters to be made Patent

and the Great Seal of Our Province of Alberta to be hereunto affixed.

WITNESS: THE HONOURABLE LOIS MITCHELL, Lieutenant Governor of

Our Province of Alberta, this 26 day of October in the Year of Our Lord Two

Thousand Sixteen and in the Sixty-fifth Year of Our Reign.

BY COMMAND Kathleen Ganley, Provincial Secretary.

PROCLAMATION

[GREAT SEAL]

CANADA

PROVINCE OF ALBERTA Lois Mitchell, Lieutenant Governor.

ELIZABETH THE SECOND, by the Grace of God, of the United Kingdom,

Canada, and Her Other Realms and Territories, QUEEN, Head of the

Commonwealth, Defender of the Faith

P R O C L A M A T I O N

To all to Whom these Presents shall come

G R E E T I N G

Frank Bosscha Acting Deputy Attorney General

WHEREAS

section 15 of the Energy Efficiency Alberta Act provides that that Act

comes into force on Proclamation; and

WHEREAS it is expedient to proclaim the Energy Efficiency Alberta Act in force:

NOW KNOW YE THAT by and with the advice and consent of Our Executive

Council of Our Province of Alberta, by virtue of the provisions of the said Act

hereinbefore referred to and of all other power and authority whatsoever in Us vested

in that behalf, We have ordered and declared and do hereby proclaim the Energy

Efficiency Alberta Act in force on October 27, 2016.

IN TESTIMONY WHEREOF We have caused these Our Letters to be made Patent

and the Great Seal of Our Province of Alberta to be hereunto affixed.

WITNESS: THE HONOURABLE LOIS MITCHELL, Lieutenant Governor of

Our Province of Alberta, this 26 day of October in the Year of Our Lord Two

Thousand Sixteen and in the Sixty-fifth Year of Our Reign.

BY COMMAND Kathleen Ganley, Provincial Secretary.

GOVERNMENT NOTICES

Agriculture and Forestry

Form 15

(Irrigation Districts Act)

(Section 88)

Notice to Irrigation Secretariat:

Change of Area of an Irrigation District

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

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

the purposes of registration under

section 22 of the Land Titles Act and arrange for

notice to be published in the Alberta Gazette.

The following parcels of land should be added to the irrigation district and the

appropriate notation added to the certificate of title:

LINC Number

Short Legal Description as shown on title

Title Number

SW 35-10-16-4

I certify the procedures required under

part 4 of the Irrigation Districts Act have been

completed and the area of the Taber Irrigation District should be changed according

to the above list.

Rebecca Fast, Office Administrator,

Irrigation Secretariat.

______________

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

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

the purposes of registration under

section 22 of the Land Titles Act and arrange for

notice to be published in the Alberta Gazette.

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

notation removed from the certificate of title:

LINC Number

Short Legal Description as shown on title

Title Number

0022 018 519

4; 23; 23; 2; NW

871 095 469

0022 014 294

4; 23; 23; 10; NE

891 019 421

0022 018 527

4; 23; 23; 2; NE

871 095 469 B

0022 014 302

4; 23; 23; 11; SW

871 095 469 A

I certify the procedures required under

part 4 of the Irrigation Districts Act have been

completed and the area of the Western Irrigation District should be changed

according to the above list.

Rebecca Fast, Office Administrator,

Irrigation Secretariat.

Energy

Declaration of Withdrawal from Unit Agreement

(Petroleum and Natural Gas Tenure Regulations)

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

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

agreement entitled "Leduc-Woodbend Blairmore "U3U Unit No. 1" effective October

31, 2016.

Gwenn Thiele, 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 - Fox Creek Duvernay

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

Infrastructure

Sale or Disposition of Land

(Government Organization Act)

Name of Purchaser: Merak Chan

Consideration: $25,000.00

Land Description: Plan 1175EZ gravel pit. Containing 1.01 Hectares (2.5 Acres)

more or less. Excepting thereout all mines and minerals and the right to work the

same.

Name of Purchaser: County of Northern Lights

Consideration: $1.00

Land Description:

Plan 2879ET Block 2 Lot 3. Excepting thereout all mines and minerals.

AND

All that portion of the North West Quarter of

Section Thirty Three

(33) Township

Ninety

(90) Range Twenty Three (23) west of the Fifth Meridian described as

follows: commencing at the north west corner of the said quarter section, thence

easterly along the north boundary thereof, one hundred and forty eight

(148) Feet to a

point, thence southerly and parallel to the west boundary of the said quarter

section

one hundred and fourty eight

(148) Feet, thence westerly and parallel to the said north

boundary to a point on the said west boundary, thence northerly along said west

boundary to the point of commencement. Excepting thereout all mines and minerals.

Justice and Solicitor General

Cancellation of Qualified Technician Appointment

(Intox EC/IR II)

Lacombe Police Service

Murray, Thomas Steven

(Date of Designation October 27, 2016)

Safety Codes Council

Agency Accreditation

(Safety Codes Act)

Pursuant to

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

Alberta Elevating Devices and Amusement Rides Safety Association,

Accreditation No. A000248, Order No. 0781

provide services under the Safety Codes Act for Amusement Rides.

Consisting of all parts of the Safety Codes for Amusement Rides and Devices

Standard Practice for Design, Manufacture, Operation, Maintenance and Inspection of

Amusement Rides and Devices in Canada

Accredited Date: March 29, 1996 Issued Date: October 27, 2016.

_______________

Pursuant to

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

Elspect Electrical Ltd., Accreditation No. A000132, Order No. 0135

provide services under the Safety Codes Act including applicable Alberta

amendments and regulations for Electrical.

Consisting of all parts of the Canadian Electrical Code

Part 1, Code for Electrical

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

Accredited Date: April 19, 1995 Issued Date: October 28, 2016.

_______________

Pursuant to

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

Alberta Elevating Devices and Amusement Rides Safety Association,

Accreditation No. A000248, Order No. 0780

provide services under the Safety Codes Act for Elevating Devices.

Consisting of all parts of the Safety Codes for Elevators and Escalator Lifts for

Persons with Physical Disabilities, Safety Codes for Personnel Hoists, Safety Codes

for Man lifts.

Accredited Date: March 29, 1996 Issued Date: October 27, 2016.

Pursuant to

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

Central Peace Fire and Rescue Commission, Accreditation No. A000901, Order

No. 3014

provide services under the Safety Codes Act including applicable Alberta

amendments and regulations for Fire.

Consisting of all parts of the Alberta Fire Code and Fire Investigation (cause and

circumstance).

Accredited Date: October 17, 2016 Issued Date: October 17, 2016.

_______________

Pursuant to

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

Alberta Elevating Devices and Amusement Rides Safety Association,

Accreditation No. A000248, Order No. 0878

provide services under the Safety Codes Act for Passenger Ropeways.

Consisting of all parts of the Standard for Passenger Ropeways and Passenger

Conveyors.

Accredited Date: August 14, 1996 Issued Date: October 27, 2016.

Corporate Accreditation

(Safety Codes Act)

Pursuant to

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

XTO Energy Canada ULC, Accreditation No. C000900, Order No. 3015

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.

Accredited Date: October 24, 2016 Issued Date: October 24, 2016.

Alberta Securities Commission

ALBERTA SECURITIES COMMISSION RULE 13-501 FEES

(Securities Act)

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

sections 223 and 224 of the Securities Act.

ALBERTA SECURITIES COMMISSION RULE 13-501 FEES

PART 1 DEFINITIONS AND

INTERPRETATION

Definitions

(1) In this Rule

"alternative trading system" means an alternative trading system as defined by

National Instrument 21-101 Marketplace Operation;

"Canadian trading share", in relation to a person or company that is a specified

regulated entity for a specified period, means the average in the specified period of

(

a) the share of the person or company of the total dollar values of trades of

exchange-traded securities in Canada,

(

b) the share of the person or company of the total trading volume of

exchange-traded securities in Canada, and

(

c) the share of the person or company of the total number of trades of

exchange-traded securities in Canada;

"Class 1 reporting issuer" means a reporting issuer, other than a Class 2 reporting

issuer, Class 3A reporting issuer or a Class 3B reporting issuer, that at the end of its

previous financial year, has securities listed or quoted on a marketplace;

"Class 2 reporting issuer" means a reporting issuer that does not have securities listed

or quoted on a marketplace, and that is incorporated or organized under the laws of

Canada or a jurisdiction in Canada;

"Class 3A reporting issuer" means a reporting issuer that is not incorporated under the

laws of Canada or a province or territory and that

(

a) had no securities listed or quoted on any marketplace at the end of its

previous financial year, or

(

b) had securities listed or quoted on a marketplace at the end of its previous

financial year and all of the following apply:

(

i) at the end of its previous financial year, securities registered in the

names of persons or companies resident in Alberta represented

less than 1% of the market value of all of the reporting issuer's

outstanding securities for which it or its transfer agent or registrar

maintains a list of registered owners;

(ii) the reporting issuer reasonably believes that, at the end of its

previous financial year, securities beneficially owned by persons

or companies resident in Alberta represented less than 1% of the

market value of all its outstanding securities;

(iii) the reporting issuer reasonably believes that none of its securities

traded on a marketplace in Canada during its previous financial

year;

(iv) the reporting issuer has not issued any of its securities in Alberta

in the last 5 years, other than

(

A) to its employees or to employees of one or more of its

subsidiaries, or

(

B) to a person or company exercising a right previously

granted by the reporting issuer or its affiliate to convert or

exchange its previously issued securities without payment

of any additional consideration;

"Class 3B reporting issuer" means a reporting issuer that

(

a) is not a Class 3A reporting issuer, and

(

b) is a designated foreign issuer or an SEC foreign issuer as those terms are

defined in National Instrument 71-102 Continuous Disclosure and Other

Exemptions Relating to Foreign Issuers;

"gross proceeds" means the total proceeds realized from the distribution, sale,

conversion or exchange of securities under a prospectus or in reliance on an

exemption from prospectus requirements including any proceeds realized pursuant to

the reinvestment of dividends or the distribution of income or capital gains;

"highest trading marketplace" means

(

a) the marketplace on which the highest volume in Canada of the class or

series was traded in the previous financial year and which discloses

regularly the prices at which those securities have traded,

(

b) if the class or series was not traded in the previous financial year on a

marketplace in Canada, the marketplace on which the highest volume in

the United States of America of the class or series was traded in the

previous financial year and which discloses regularly the prices at which

those securities have traded, or

(

c) if the class or series was not traded in the previous financial year on a

marketplace in Canada or the United States of America, the marketplace

on which the highest volume of the class or series was traded in the

previous financial year and which discloses regularly the prices at which

those securities have traded;

"interim period" has the same meaning as in National Instrument 51-102 Continuous

Disclosure Obligations;

"marketplace" has the same meaning as in NI 21-101;

"money market fund" has the same meaning as in National Instrument 81-102

Investment Funds;

"MTN Program" has the same meaning as in National Instrument 44-102 Shelf

Distributions;

"net proceeds" means the gross proceeds realized in Alberta from the distribution of a

money market fund under a prospectus less the aggregate of the redemption or

repurchase price paid to redeem or repurchase securities of the fund held by persons

in Alberta during the period since the receipt for the prospectus was issued;

"notice of proceeds" means a written notice to the Executive Director of the

aggregate gross or net proceeds, as the case may be, realized in Alberta by an issuer

or security holder from a distribution of securities;

"previous financial year" means the most recently completed financial year of the

person or company;

"realized in Alberta" means distributed in or sold to purchasers in Alberta;

"registered firm" has the same meaning as in National Instrument 31-103 Registration

Requirements, Exemptions, and Ongoing Registrant Obligations;

"Shelf Procedures" means the requirements of NI 44-102 for the distribution of

securities under a base shelf prospectus and a shelf prospectus supplement;

"special warrant" means a security, (

i) that is distributed in reliance on an exemption

from prospectus requirements, (ii) that carries the right to purchase, convert or

exchange the security, without payment of any material additional consideration, into

another security, and (iii) in respect of which the issuer or selling security holder has

agreed to file a prospectus for the distribution of the security received on the exercise

of the right;

"specified period" means the period beginning on April 1 of the previous calendar

year and ending on March 31 of the calendar year;

"specified regulated entity" means a person or company described in

Part 6 of this

Rule;

"specified trading period" means, in respect of a reporting issuer's financial year,

each period that is an interim period in the financial year and the period commencing

on the first day of the financial year and ending on the last day of the financial year;

"subsidiary" means, subject to subsection 5 of the Securities Act, a subsidiary of a

person or company as determined in accordance with the generally accepted

accounting principles applying to the person or company.

(2) Unless otherwise defined in this Rule, terms defined in the Act have the same

meaning in this Rule.

PART 2 APPLICATION

Payment of fees

2. Any fee payable to the Commission under the Securities Act, any regulation or

any other legislative authority must be paid to the Commission in accordance

with this Rule.

Waiver or refund of fees

3. The Executive Director may waive or refund any fee in whole or in part that is

payable under the Securities Act, or any regulation.

PART 3 REGISTERED INDIVIDUALS AND FIRMS

Fees related to registration

(1) A form prescribed under National Instrument 33-109 Registration Information

that is submitted to the Executive Director to seek registration or any request

for reinstatement after a suspension of registration must be accompanied by

one of the following fees:

(

a) for a firm seeking registration as a dealer, adviser or investment fund

manager, regardless of the number of categories, $1400;

(

b) for an individual seeking registration to act on behalf of a firm,

regardless of the number of categories, $400.

(2) Despite subsection (1), no fee is payable by a registered person or company

who is seeking registration in an additional category or categories.

(3) Despite paragraph (1)(b), no fee is payable for filing Form 33-109F7

Reinstatement of Registered Individuals and Permitted Individuals where an

individual joins a new sponsoring firm, unless the individual files the form in

the calendar year following the date of the individual's termination with the

individual's former sponsoring firm.

Annual registration fees

(1) Registered persons and companies must pay the following annual registration

fees on December 31 of each year:

(

a) for registered dealers, advisers or investment fund managers, regardless

of the number of categories, $1400;

(

b) for registered individuals, regardless of the number of categories, $400.

(2) Despite paragraph (1)(a), no annual fee is payable by a dealer, adviser or

investment fund manager whose registration is suspended as a result of a

decision by the Executive Director or of the firm's principal regulator under

Multilateral Instrument 11-102 Passport System.

(3) Despite paragraph (1)(b), no annual fee is payable for an individual whose

registration is suspended as a result of the suspension of registration of the

individual's sponsoring firm by a decision of the Executive Director or of the

firm's principal regulator under MI 11-102.

International dealers and international advisers

6. A fee of $1400 must accompany any of the following:

(

a) Form 31-103F2 Submission to Jurisdiction and Appointment of Agent

for Service filed pursuant to either paragraph 8.18(3)(

e) or paragraph

8.26(4)(

f) of National Instrument 31-103 Registration Requirements,

Exemptions and Ongoing Registrant Obligations;

(

b) a notice given pursuant to either subsection 8.18(5) or subsection 8.26(5)

of NI 31-103.

Acquisition of registered firm's securities or assets

7. A notice required to be filed in Alberta under

section 11.9 or

section 11.10 of

National Instrument 31-103 Registration Requirements, Exemptions and

Ongoing Registrant Obligations must be accompanied by a fee of $1750.

Fees for late documents

(1) In this section, "document" means any of the following:

(

a) a subordination agreement delivered under National Instrument 31-103

Registration Requirements, Exemptions and Ongoing Registrant

Obligations;

(

b) interim financial information and annual financial statements delivered

under Division 4 of

Part 12 of NI 31-103;

(

c) any document required to be filed, delivered or otherwise provided by a

that firm's registration, or pursuant to an undertaking given by that firm.

(2) A registered firm that files, delivers or otherwise provides a document after the

date on which the document was required to be filed, delivered or otherwise

provided must, concurrently with the filing, delivery or provision of the

document, pay the Commission a late fee of $100 for each day that elapses

between the date the document was required to be filed, delivered or otherwise

provided and the date on which the document is filed, delivered or otherwise

provided.

(3) Despite subsection (2), the maximum late fee payable by a registered firm as a

result of the operation of this

section is $5000 per document.

PART 4 PROSPECTUS AND REPORTS OF EXEMPT DISTRIBUTION

Fees related to filing a prospectus

(1) Every preliminary or pro forma prospectus filed other than for a mutual fund

must be accompanied by a fee in the aggregate amount of

(a) $2000 for each issuer, and

(b) $2000 where there is one or more selling security holders whose

securities may be distributed under the prospectus.

(2) Every preliminary or pro forma prospectus filed for a mutual fund must be

accompanied by a fee in the aggregate amount of

(a) $1200 for each issuer, and

(b) $1200 where there is one or more selling security holders whose

securities may be distributed under the prospectus.

(3) Despite subsections (1) and (2), every preliminary prospectus filed, other than

for the distribution of securities on the exercise of a right under a special

warrant, where the value of the distribution of securities under the prospectus

will not exceed $1 000 000, must be accompanied by a fee of $250 for each

issuer or selling security holder whose securities may be distributed under it.

Fees for distribution of securities

10. (1)For every prospectus filed for the distribution of securities, the issuer or selling

security holder must file a notice of proceeds.

(2) For every prospectus filed for the distribution of securities, the issuer or selling

security holder that is not a reporting issuer must pay a fee equal to the amount,

if any, by which 0.025% of the gross proceeds realized in Alberta by the issuer

or selling security holder from the distribution of securities under the

prospectus exceeds the fees paid under

section 9

(

a) in the case of a non-continuous distribution of securities, within 30 days

from the earlier of

(

i) the completion of the distribution under the prospectus, and

(ii) 12 months from the date the receipt for the prospectus is issued,

and

(

b) in the case of a distribution of securities under the Shelf Procedures,

within 25 months from the date that the receipt for the prospectus is

issued or,

(

i) in respect of a continuous distribution, other than under a MTN

Program, 5 business days after the end of each month with respect

to the securities distributed during that month,

(ii) in respect of a distribution under a MTN Program, on filing a

pricing supplement with respect to the securities distributed under

the pricing supplement, or

(iii) in respect of all other distributions, 30 days from completion of

the distribution under a shelf prospectus supplement with respect

to the securities distributed under the shelf prospectus

supplement,

whichever is the earliest.

(3) Despite subsections (1) and (2), except for the distribution of securities under

the Shelf Procedures, the issuer or selling security holder for every prospectus

filed for the continuous distribution of securities

(

a) on the filing of a new prospectus to continue the distribution under the

prospectus, or

(

b) if a new prospectus is not filed, within 13 months from the date that the

receipt for the prospectus is issued,

must

(

c) file a notice of proceeds, and

(

d) pay a fee equal to the amount, if any, by which the fees paid in

section 9

are exceeded by one of the following amounts of proceeds realized in

Alberta by the issuer or selling security holder from the distribution

under the prospectus:

(

i) in the case of a money market fund, 0.02% of the net proceeds;

(ii) in the case of any other mutual fund, 0.02% of the gross proceeds;

(iii) in any other case, 0.025% of the gross proceeds.

(4) This

section does not apply to distributions of securities referred to in

subsection 9(3).

Fees for reports of exempt distribution

11. (1)A report of exempt distribution required to be filed in connection with the use

of an exemption from the prospectus requirements under Alberta securities

laws must be accompanied by a fee equal to the greater of

(a) $200, and

(

b) one of the following amounts of the proceeds realized by the issuer or

selling security holder from purchasers in Alberta of the securities

described in the report:

(

i) in the case of a money market fund, 0.02% of the net proceeds;

(ii) in the case of any other mutual fund, 0.02% of the gross proceeds;

(iii) in any other case, 0.025% of the gross proceeds.

(2) Despite subsection (1), a report of exempt distribution required to be filed by a

reporting issuer that is not an investment fund in connection with the use of an

exemption from the prospectus requirements under Alberta securities laws

must be accompanied by a fee of $200.

(3) Despite subsections (1) and (2), every report of exempt distribution filed in

respect of a trade in securities where there is no change in beneficial ownership

of the securities as a result of the trade must be accompanied by a fee of $200.

(4) If a report of exempt distribution required to be filed by a person or company

pursuant to National Instrument 45-106 Prospectus Exemptions is not filed

within the period of time prescribed by Alberta securities laws, the person or

company must, concurrently with the filing of the report, pay the Commission

a late fee of $100 for each day that elapses between the date the report was

required to be filed and the date on which the report is filed.

(5) Despite subsection (4), the maximum late fee payable by a person or company

as a result of the operation of this

section is $1000 per report.

Notice for distribution of rights

(1) Every notice filed for the distribution of rights under

section 2.1 of National

Instrument 45-106 Prospectus Exemptions must be accompanied by a fee of

$600.

(2) The issuer or selling security holder distributing rights under the offering

circular must, within 30 days from the date of termination of the offering,

(

a) file a notice of proceeds, and

(

b) pay a fee equal to the amount, if any, by which 0.025% of the gross

proceeds realized in Alberta by the issuer or selling security holder from

the rights offering exceeds $600.

(3) Paragraph (2)(

b) does not apply to a reporting issuer that is not an investment

fund distributing rights under an offering circular.

Fees for amendments

13. Every amendment to any of the following must be accompanied by a fee of

$250:

(

a) preliminary or pro forma prospectus;

(

b) prospectus.

Fees for reports

14. Every report filed with any of the following must be accompanied by a fee of

$100:

(

a) preliminary prospectus;

(

b) pro forma prospectus;

(

c) amendment to any of the documents referred to under

section 11.

PART 5 REPORTING ISSUER PARTICIPATION FEES

Participation fee

15. (1)At the time the annual financial statement by or on behalf of a reporting issuer

for the purpose of annual continuous disclosure is filed, it must be

accompanied by the following participation fee:

(

a) for a Class 1 reporting issuer or Class 2 reporting issuer, the

participation fee in Appendix A based on the reporting issuer's

capitalization, as determined in accordance with either

section 20 or 21,

for the previous financial year;

(

b) for a Class 3A reporting issuer, a participation fee of $400;

(

c) for a Class 3B reporting issuer, the participation fee in Appendix B

based on the reporting issuer's capitalization, as determined in

accordance with

section 20, for the previous financial year;

(

d) for an investment fund required to file an annual financial statement

pursuant to National Instrument 81-106 Investment Fund Continuous

Disclosure a participation fee of $350.

(2) Despite subsection (1), a participation fee is not payable by a participant under

this

section if the participant became a reporting issuer in the period that begins

immediately after the time that would otherwise be the end of the previous

financial year in respect of the participation fee and ends at the time the

participation fee would otherwise be required to be paid under subsection (1).

Fees for late annual financial statements

16. (1)In addition to the fee payable under subsection 15(1), if an annual financial

statement required to be filed by a person or company is not filed within the

period of time prescribed by Alberta securities laws, the reporting issuer must,

concurrently with the filing of the annual financial statement, pay the

Commission a late fee of $100 for each day that elapses between the date the

annual financial statement was required to be filed and the date on which the

annual financial statement is filed.

(2) Despite subsection (1), the maximum late fee payable by a person or company

as a result of the operation of this

section is $5000 per annual financial

statement.

Exemption for subsidiary entities

17. (1)Subsection 15(1) does not apply to a reporting issuer that is a subsidiary if all

of the following apply:

(

a) at the end of the subsidiary's previous financial year, the parent of the

subsidiary was a reporting issuer;

(

b) the audited financial statements of the parent prepared in accordance

with National Instrument 52-107 Acceptable Accounting Principles and

Auditing Standards require the consolidation of the parent and the

subsidiary;

(

c) the parent has paid a participation fee under paragraph 15(1)(

a) calculated based on the capitalization of the parent for the previous

financial year;

(

d) in the case of a parent that is a Class 1 reporting issuer, the capitalization

of the parent for the previous financial year included the capitalization of

the subsidiary as required under paragraph 20(c);

(

e) in the previous financial year either of the following occurred:

(

i) the net assets and total revenues of the subsidiary represented

more than 90% of the consolidated net assets and total revenues

of the parent in the parent's previous financial year;

(ii) the subsidiary was entitled to rely on an exemption or waiver

from the requirements in subsections 4.1(1), 4.3(1), 5.1(1) or

section 5.2, and

section 6.1 of National Instrument 51-102

Continuous Disclosure Obligations.

(2) A reporting issuer referred to in subsection (1) must file a completed Form 13-

501F6 Subsidiary Exemption Notice that contains a certification signed by an

officer of the reporting issuer, at the time it files its annual financial statements

for its previous financial year in accordance with Alberta securities law, or by

the date on which its annual financial statements would have been required to

be filed under Alberta securities law absent an exemption or waiver described

in subparagraph (1)(e)(ii).

Participation fee estimate for Class 2 reporting issuers

18. (1)If the annual financial statements of a Class 2 reporting issuer are not available

by the date referred to in paragraph 15(1)(

a) the Class 2 reporting issuer must,

on that date,

(

a) file a completed Form 13-501F2 Class 2 Reporting Issuers -

Participation Fee showing a good faith estimate of the information

required to calculate its capitalization as at the end of the previous

financial year, and

(

b) pay the participation fee shown in Appendix A opposite the estimated

capitalization.

(2) A Class 2 reporting issuer that estimated its capitalization under subsection

(1) must, when it files its annual financial statements for the previous financial

year,

(

a) calculate its capitalization under

section 21,

(

b) pay the participation fee shown in Appendix A opposite the

capitalization, less the participation fee paid under subsection (1), and

(

c) file a completed Form 13-501F3 Adjustment of Fee Payment for Class 2

Reporting Issuers that contains a certification signed by an officer of the

reporting issuer.

(3) If the amount paid by a reporting issuer under subsection (1) exceeds the

participation fee calculated under subsection (2), the issuer is entitled to a

refund from the Commission of the amount overpaid.

(4) A request for a refund under subsection (3) must be made to the Commission

by the same date on which the form referred to in paragraph 2(

c) is required to

be filed.

Filing report and certification

19. (1)At the time that it pays the participation fee required by this Part,

(

a) a Class 1 reporting issuer and a Class 3B reporting issuer must file a

completed Form 13-501F1 Class 1 Reporting Issuers and Class 3B

Reporting Issuers - Participation Fee,

(

b) a Class 2 reporting issuer must file a completed Form 13-501F2 Class 2

Reporting Issuers - Participation Fee,

(

c) a Class 3A reporting issuer must file a completed Form 13-501F4 Class

3A Reporting Issuers - Participation Fee, and

(

d) An investment fund must file a completed Form 13-501F5 Investment

Fund - Participation Fee.

(2) A form required to be filed under subsection (1) must contain a certification

signed by an officer of the reporting issuer.

Calculating capitalization for Class 1 reporting issuers and Class 3B reporting

issuers

20. The capitalization of a Class 1 reporting issuer or a Class 3B reporting issuer

for the previous financial year is the total of all of the following:

(

a) for each class or series of the reporting issuer's equity securities listed or

quoted on a marketplace

(

i) the sum of the market value of the securities listed or quoted on a

marketplace at the end of the last trading day of each specified

trading period in the previous financial year of the reporting

issuer, calculated for each specified trading period as follows:

A ž B

in which,

"A" is equal to the closing price of the security in the class or

series on the last trading day of the specified trading period in

which such security was listed or quoted on the highest trading

marketplace, and

"B" is equal to the number of securities in the class or series of

such security outstanding at the end of the specified trading

period

(ii) divided by the number of specified trading periods in the

reporting issuer's previous financial year in which the security of

the reporting issuer was listed or quoted on a marketplace at the

end of the last trading day of a specified trading period;

(

b) the fair value of the outstanding debt securities of the reporting issuer at

the end of the previous financial year that are

(

i) listed or quoted on a marketplace,

(ii) traded over the counter, or

(iii) available for purchase or sale without regard to a statutory hold

period;

(

c) the capitalization for the previous financial year of a subsidiary that is

exempt under subsection 17(1), calculated in accordance with

paragraphs (

a) and (b), and excluding any securities of the subsidiary

held by the parent that have been included in the capitalization of the

parent for the previous financial year.

Calculating capitalization for Class 2 reporting issuers

21. (1)The capitalization of a Class 2 reporting issuer for the previous financial year is

the total of all of the following items, as shown in its audited statement of

financial position as at the end of the previous financial year:

(

a) retained earnings or deficit;

(

b) contributed surplus;

(

c) share capital or owners' equity, options, warrants and preferred shares;

(

d) non-current borrowings, including the current portion;

(

e) finance leases, including the current portion;

(

f) non-controlling interest;

(

g) items classified on the statement of financial position as non-current

liabilities, and not otherwise referred to in this subsection;

(

h) any other item forming part of equity not otherwise referred to in this

subsection.

(2) Despite subsection (1), a reporting issuer may calculate its capitalization using

unaudited annual financial statements if it is not required to prepare, and does

not ordinarily prepare, audited annual financial statements.

(3) Despite subsection (1), a reporting issuer that is a trust that issues only asset-

backed securities through pass-through certificates may calculate its

capitalization using the monthly filed distribution report for the last month of

the previous financial year if it is not required to prepare, and does not

ordinarily prepare, audited annual financial statements.

Reliance on published information

22. (1)In determining its capitalization, a reporting issuer may rely on information

made available by a marketplace on which its securities trade.

(2) Despite subsection (1), if a reporting issuer reasonably believes that the

information made available by a marketplace is incorrect, the issuer must make

a good faith estimate of the information required.

PART 6 PARTICIPATION FEES FOR SPECIFIED REGULATED ENTITIES

Recognized exchange on which securities are traded

23. A recognized exchange on which securities are traded must, no later than April

30 in each calendar year, pay the participation fee shown in Appendix C

opposite the corresponding Canadian trading share of the exchange for the

specified period.

Recognized exchange on which derivatives are traded

24. (1)If the Commission is the lead or co-lead regulator for a recognized exchange

on which derivatives are traded, then the exchange must, no later than April 30

in each calendar year, pay the participation fee of $15 000 for the specified

period.

(2) If the Commission is not the lead or co-lead regulator for a recognized

exchange on which derivatives are traded, then the exchange must, no later

than April 30 in each calendar year, pay the participation fee of $7500 for the

specified period.

Exchanges exempt from recognition under the Act

25. A person or company that is exempted by the Commission from the application

section 62 of the Securities Act must, no later than April 30 in each calendar

year, pay a participation fee of $5000.

Recognized quotation and trade reporting system

26. A recognized quotation and trade reporting system must, no later than April 30

in each calendar year, pay the participation fee shown in Appendix C opposite

the corresponding Canadian trading share of the quotation and trade reporting

system for the specified period.

Alternative trading system

27. (1)An alternative trading system only for exchange-traded securities must, no later

than April 30 in each calendar year, pay a participation fee of $8500.

(2) An alternative trading system only for unlisted debt or securities lending must,

no later than April 30 in each calendar year, pay a participation fee of $4400.

(3) An alternative trading system not described in subsections (1) or (2) must, no

later than April 30 in each calendar year, pay a participation fee of $8500.

(4) If there are 2 or more alternative trading systems, each of which is related to

each other and each of which trades different asset classes, then each

alternative trading system must pay a participation fee as determined under

subsection (1), (2) or (3).

Recognized clearing agencies providing services in connection with trades in

securities

28. (1)A recognized clearing agency must, no later than April 30 in each calendar

year, pay the aggregate of the participation fees set out in subsections (2) to

(7) for each of the services that the clearing agency provides in the specified period

in connection with trades in securities.

(2) A recognized clearing agency that provides matching services, which is the

provision of facilities for comparing data respecting the terms of settlement of

a trade or transaction, must pay a participation fee of $5000.

(3) A recognized clearing agency that provides netting services, being the

provision of facilities for the calculation of the mutual obligations of

participants for the exchange of securities or money, must pay a participation

fee of $10 000.

(4) A recognized clearing agency that provides settlement services, which are

services that ensure that securities are transferred finally and irrevocably from

one participant to another in exchange for a corresponding transfer of money

or vice versa, must pay a participation fee of $10 000.

(5) A recognized clearing agency that acts as a central clearing counterparty by

providing novation services, if the Commission does not place reliance on

another regulator for direct oversight, must pay a participation fee of $75 000.

(6) A recognized clearing agency that acts as a central clearing counterparty by

providing novation services, if the Commission places reliance on another

regulator for direct oversight, must pay a participation fee of $35 000.

(7) A recognized clearing agency that provides depositary services, which is the

provision of centralized facilities as a depository for securities, must pay a

participation fee of $10 000.

Recognized clearing agencies providing services in connection with trades in

derivatives

29. A clearing agency that provides services in the specified period in connection

with trades in derivatives must, no later than April 30 in each calendar year,

pay a participation fee of $15 000.

Clearing agencies exempt from recognition under the Act

30. Each clearing agency that is exempted by the Commission from the application

section 67 of the Securities Act must, no later than April 30 in each calendar

year, pay a participation fee of $5000.

Recognized trade repositories

31. Each recognized trade repository under subsection 67.3(1) of the Securities Act

must, no later than April 30 in each calendar year, pay a participation fee of

$15 000.

Participation fee on recognition or exemption

32. (1)A person or company must, on the date it first becomes a specified regulated

entity, pay a participation fee of

A ž B ö C

in which

"A" is

(

a) in the case of a recognized exchange, a recognized quotation and trade

reporting system or an alternative trading system, $15 000,

(

b) in the case of an exchange exempt from recognition under the Securities

Act, $5000,

(

c) in the case of a recognized clearing agency, the aggregate of the

participation fees set out in sections 28(2) through (7) for the services

that the clearing agency is to provide in the specified period in

connection with trades in securities,

(

d) in the case of a clearing agency exempt from recognition under the Act,

$5000, or

(

e) in the case of a recognized trade repository, $15 000,

"B" is the number of complete months remaining from the month in which the person

or company first became a specified regulated entity until March 31, and

"C" is 12.

(2) The fee required to be paid under subsection (1) is in lieu of the fees required

to be paid by the person or company in the same specified period under

sections 23 through 31.

Form

33. A payment made under sections 23 through 32 must be accompanied by a

completed Form 13-501F7 Specified Regulated Entities - Participation Fee.

Late fee

34. (1)In addition to the fee payable under this Part, if a person or company is late

paying the participation fee, the person or company must pay an additional late

fee of $100 for each day that elapses between the date the participation fee was

required to be paid and the date on which the participation fee is paid.

(2) Despite subsection (1), the maximum late fee payable by a person or company

as a result of the operation of this

section is $5000 per calendar year.

PART 7 MARKET REGULATION RECOGNITION AND EXEMPTIONS

Recognition or exemption of an exchange

(1) An application for recognition as an exchange under

section 62 of the

Securities Act must be accompanied by a fee of $55 000.

(2) An application for exemption from the recognition as an exchange under

section 62 of the Act must be accompanied by a fee of $41 500.

Recognition or exemption of a clearing agency

(1) An application for recognition as a clearing agency under

section 67 of the

Securities Act must be accompanied by a fee of $55 000.

(2) An application for exemption from the recognition as a clearing agency under

section 67 of the Act must be accompanied by a fee of $41 500.

Merger, acquisition, reorganization or restructuring

37. In addition to the fees required to be paid pursuant to any of sections 35 or 36,

each application that reflects any of the following circumstances must be

accompanied by a fee of $50 000:

(

a) a merger of an exchange or clearing agency;

(

b) an acquisition of a major part of the assets of an exchange or clearing

agency;

(

c) the introduction of a new business that would significantly change the

risk profile of an exchange or clearing agency;

(

d) a major reorganization or restructuring of an exchange or clearing

agency.

Alternative trading system

38. A new alternative trading system must pay a fee of $27 500 at the time it files

Form 21-101F2 Initial Operation Report - Alternative Trading System for

review in accordance with National Instrument 21-101 Marketplace Operation.

Trade repository

39. An application for recognition as a trade repository under subsection 67.3(1) of

the Securities Act must be accompanied by a fee of $41 500.

PART 8 MISCELLANEOUS FEES

Take-over bid and issuer bid circular

40. (1)Every take-over bid or issuer bid circular filed must be accompanied by a fee

of $1200.

(2) Every directors' circular or individual director's or officer's circular filed must

be accompanied by a fee of $600.

(3) Every notice of change or variation in respect of a take-over bid circular or

issuer bid circular filed must be accompanied by a fee of $300.

Recognition or renewal of recognition as an exempt purchaser

41. Every application to the Commission for recognition as an exempt purchaser or

renewal of recognition as an exempt purchaser must be accompanied by a fee

of $500.

Pre-filing

42. (1)Each pre-filing related to the items described in sections 35, 36, 37, 38, 39 and

any other pre-filing must be accompanied by a fee equal to 1/2 of the fee that

would have been payable if the corresponding formal filing had proceeded at

the same time as the pre-filing.

(2) A fee paid pursuant to subsection (1) is non-refundable.

(3) Despite subsection (2), a fee paid pursuant to subsection (1) will be credited

against the applicable fee payable if and when a person or company proceeds

with the corresponding formal filing.

Examination in accordance with

section 58

(1) The fee for an examination by a person appointed under

section 58 of the

Securities Act is $1000 per day per person plus any reasonable expenses

incurred in connection with the examination.

(2) Despite subsection (1), in the case of a limited or minor examination, the fee

prescribed under subsection (1) may be reduced to reflect the cost of the

examination.

Notice of appeal

44. Every notice of appeal to the Commission under subsection 36(1) of the

Securities Act must be accompanied by a fee of $300.

Application to the Commission

(1) Every application to the Commission under

section 144 of the Securities Act

must be accompanied by a fee of $750.

(2) Every application to the Commission under

section 179 of the Act must be

accompanied by a fee of $750.

(3) Every application to the Commission under the Business Corporations Act

must be accompanied by a fee of $300.

(4) Any application to the Commission for which a fee is not specifically provided

in this Rule must be accompanied by a fee of $750.

Application or request to the Executive Director

46. Every application or request to the Executive Director for which a fee is not

specifically provided in this Rule must be accompanied by a fee of $750.

Certified statement

47. No fee is payable for certifying a statement referred to in

section 218 of the

Securities Act.

Photocopy

48. The fee for photocopying is $0.50 per page photocopied.

Microfilm search

49. The fee for a microfilm search is $10 per person or company.

Late fee for insider report

50. (1)A person or company must pay the Commission a late fee of $50 for each day

that elapses between the date the report was required to be filed and the date on

which the report is filed if

(

a) an insider report required to be filed by a person or company pursuant to

National Instrument 55-104 Insider Reporting Requirements and

Exemptions is not filed within the period of time prescribed by Alberta

securities laws, and

(

b) the Commission is the principal regulator under Multilateral Instrument

11-102 Passport System.

(2) Despite subsection (1), the maximum late fee payable by a person or company

as a result of the operation of this

section is $1000 per issuer per calendar year.

SEDAR and NRD fees

51. Multilateral Instrument 13-102 System Fees for SEDAR and NRD applies in

respect of fees for each of the following:

(

a) System for Electronic Document Analysis and Retrieval (SEDAR);

(

b) National Registration Database (NRD).

Currency conversion

52. If a calculation under this Rule requires the price of a security, or any other

amount, as it was on a particular date and that price or amount is not in

Canadian dollars, it must be converted to Canadian dollars using the daily noon

exchange rate for that date as posted on the Bank of Canada website.

PART 9 WHEN THIS INSTRUMENT COMES INTO FORCE

Effective date

53. This instrument comes into force on December 1, 2016.

Appendix A

ASC Rule 13-501 Fees

Participation fees for Class 1 reporting issuers or Class 2 reporting issuers

(Paragraph 15(1)(a))

Capitalization for the Previous Fiscal Year

Participation Fee

under $10 million

$400

$10 million to under $25 million

$500

$25 million to under $50 million

$1200

$50 million to under $100 million

$3000

$100 million to under $250 million

$6500

$250 million to under $500 million

$14 000

$500 million to under $1 billion

$19 000

$1 billion to under $5 billion

$28 000

$5 billion to under $10 billion

$36 500

$10 billion to under $25 billion

$42 500

$25 billion and over

$48 000

Appendix B

ASC Rule 13-501 Fees

Participation fees for Class 3B reporting issuers

(Paragraph 15(1)(c))

Capitalization for the Previous Fiscal Year

Participation Fee

under $10 million

$400

$10 million to under $25 million

$500

$25 million to under $50 million

$600

$50 million to under $100 million

$1000

$100 million to under $250 million

$2000

$250 million to under $500 million

$4500

$500 million to under $1 billion

$6000

$1 billion to under $5 billion

$9000

$5 billion to under $10 billion

$11 500

$10 billion to under $25 billion

$13 500

$25 billion and over

$15 500

Appendix C

ASC Rule 13-501 Fees

Participation fees for Specified Regulated Entities

(Part 6)

Specified Regulated Entity

(Column

A) Participation

Fee

(Column

B) Recognized exchange and recognized quotation and trade

reporting system