FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL SUBMISSION TO NRD Enter the following information using the online version of this submission at the NRD web site (www.nrd.ca). If the NRD filer is relying on the temporary hardship exemption in MI 31-102 this form is required to be delivered to the regulator in paper format. INSTRUCTIONS FOR FILING IN PAPER FORMAT 1. This form is to be used by every individual seeking registration from a securities regulatory authority or a self-regulatory organization or who is a non-registered individual with a registered firm or a firm seeking registration. 2. This form is also to be used by any sole proprietor submitting an application for registration as a dealer, broker, adviser or underwriter to a securities regulatory authority. 3. Failure to answer all applicable questions may cause delays in the processing of the application form. 4. This form must be legible. 5. To complete the application, individuals should seek advice from an authorized officer of the sponsoring firm or from a legal adviser. 6. The number of originally- signed copies of the form to be filed with the self-regulatory organization and/or securities regulatory authority or similar authority varies from province to province. If unsure of the procedure, please consult the Registration Department of the self-regulatory organization to which you are applying or the applicable securities regulatory authority, or similar authority. Item 1 – Name 1. Legal name Last name First name Second name Third name (if applicable) (if applicable) 2. Other names Are you currently, or have you previously been, known by a name other than the name provided above? Yes No If “Yes”, complete Schedule “A”. Item 2 – Residential address Current address Provide all residential addresses, including any foreign residential addresses, for the past 10 years. Current residential address: (number, street, city, province, territory or state, country, postal code) Telephone number: ( ) Resided at this address since: (YYYY/MM) If you have resided at this address for less than 10 years, complete Schedule “B”.
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL Item 3 – Personal information Personal description Date of birth: Place of birth: (YYYY/MM/DD) (city, province, territory or state, country) Gender: Female Male Colour of eyes: Colour of hair: Height: imperial units: OR metric units: Weight: imperial units: OR metric units: Item 4 – Citizenship Citizenship information What is your citizenship? Canadian Other, specify: If you are a citizen of a country other than Canada, complete the following for that other citizenship. You are only required to provide the following information for one citizenship. Passport number: Country of citizenship: Date of issue: (YYYY/MM/DD) Place of issue: (city, province, territory or state, country) Item 5 – Registration jurisdictions Jurisdictions Indicate, by checking the appropriate box, each province or territory to which you are submitting this form: Alberta Northwest Territories Prince Edward Island British Columbia Nova Scotia Québec Manitoba Nunavut Saskatchewan New Brunswick Ontario Yukon Territory Newfoundland Item 6 – Individual categories Categories Indicate, by checking the appropriate box in Schedule “C”, each registration category for which you are applying. If you are a non-registered individual and you are not applying for registration, indicate each category that describes your position with your sponsoring firm.
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL Item 7 - Address and agent for service 1. Address for service You must have one address for service in each province or territory in which you are now, or are applying to become, a registered individual or non-registered individual. A post office box is not an acceptable address for service. Complete Schedule “D” for each additional address for service you are providing. Address for service: (number, street, city, province or territory, postal code) Telephone number: ( ) Fax number: ( ) E-mail address: 2. Agent for service If you have appointed an agent for service, provide the following information for the agent. The address for service provided above must be the address of any agent named below. Name of agent for service: Contact person: Last name First name Item 8 – Proficiency 1. Course or examination information Complete Schedule “E” to indicate each course and examination that you have successfully completed or for which you have received an exemption. If you are not required under securities legislation or the rules of a self-regulatory organization to satisfy any course or examination requirements you are not required to complete this item. 2. Student numbers If you have a student number with one of the following institutions, provide it below: Canadian Securities Institute (CSI): Investment Funds Institute of Canada (IFIC): Institute of Canadian Bankers (ICB): Association for Investment Management and Research (AIMR): Canadian Association of Insurance and Financial Advisors (CAIFA): 3. Exemption refusal Has any securities regulatory authority or self-regulatory organization refused to grant you an exemption from a course, examination or experience requirement? ..............................................................………………………........... Yes No If “Yes”, complete Schedule “F”.
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL Item 9 – Location of employment Location of employment Provide the following information for the location of the sponsoring firm at which you will be working. If you will be working out of more than one location, provide the following information for the location out of which you will be doing most of your business. NRD number: Business address: (number, street, city, province, territory or state, country, postal code) Telephone number: ( ) Fax number: ( ) Check here if the mailing address of the location is the same as the business address provided above. Otherwise, complete the following: Mailing address: (number, street, city, province, territory or state, country, postal code) Item 10 – Current employment Employment information On Schedule “G”, provide the information requested for your current business and employment activities, including those with your sponsoring firm. Check here if you are not required under securities legislation to provide this information. Item 11 – Previous employment Employment information On Schedule “H”, provide the information requested for your previous business and employment activities for the 10-year period before the date of this application. Include any periods of self-employment or unemployment during this period. Do not include summer employment while you were a full-time student. In addition, provide the information requested for all of your securities or exchange contracts (including commodity futures contracts and commodity futures options) business and employment activities during and prior to the ten-year period. Check here if you are not required under securities legislation to provide this information. Check here if the information required by this section has been provided in Item 10. Item 12 – Resignations and terminations Resignation and termination information Have you ever resigned or been terminated following allegations, made by a client, sponsoring firm, self-regulatory organization, securities regulatory authority or any other regulatory authority that you: a) violated investment related statutes, regulations, rules or industry standards of conduct? …….. Yes No b) failed to supervise in connection with investment related statutes, regulations, rules or industry standards of conduct?................................................................................................................................... Yes No c) committed fraud or the wrongful taking of property? ................................................................. Yes No If “Yes”, to any of the above questions, complete Schedule “I”.
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL Item 13 – Regulatory disclosure 1. Securities regulatory authorities Other than a registration that has been recorded on NRD under the NRD number you are using to make this submission, are you now, or have you ever been, registered or licensed to trade in or advise on securities or exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? .............................................................................................................. Yes No If “Yes”, complete Schedule “J”, section 1(a). b) Are you now, or have you ever been, a partner, director, officer, or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of any firm which has been registered or licensed, or is now registered or licensed, to trade in or advise on securities or exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? ......................................................................................................................................... Yes No If “Yes”, complete Schedule “J”, section 1(b). c) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been refused registration or a license to trade in or advise on securities or exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? .......................................................................................................................................... Yes No If “Yes”, complete Schedule “J”, section 1(c). d) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been denied the benefit of any exemption from registration provided by securities legislation or legislation governing exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? ..................................................................... Yes No If “Yes”, complete Schedule “J”, section 1(d). e) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been subject to a cease trade order, a cease distribution order, a suspension or termination order, any disciplinary proceedings or any order resulting from disciplinary proceedings pursuant to securities legislation or legislation governing exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? .................................... Yes No If “Yes”, complete Schedule “J”, section 1(e). 2. Self-regulatory organizations a) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been a member or participating organization of any stock exchange or other self-regulatory organization in any province, territory, state or country? ............................................................. Yes No If “Yes”, complete Schedule “J”, section 2(a). b) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been refused membership or entry as a participating organization in any stock exchange or other self-regulatory organization in any province, territory, state or country? ...................................... Yes No If “Yes”, complete Schedule “J”, section 2(b).
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL c) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been subject to a suspension, expulsion or termination order, or been subject to any disciplinary proceedings or any order resulting from disciplinary proceedings conducted by any stock exchange or other self-regulatory organization in any province, territory, state or country? ................................... Yes No If “Yes”, complete Schedule “J”, section 2(c). 3. Non-securities regulation a) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been registered or licensed under any legislation which requires registration or licensing to deal with the public in any capacity other than to trade in or advise on securities or exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? .... Yes No If “Yes”, complete Schedule “J”, section 3(a). b) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been refused registration or a licence under any legislation which requires registration or licensing to deal with the public in any capacity other than to trade in or advise on securities or exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? ......................................................................................................................................... Yes No If “Yes”, complete Schedule “J”, section 3(b). c) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been subject to a suspension or termination order, or disciplinary proceedings or any order resulting from disciplinary proceedings conducted under any legislation which requires registration or licensing to deal with the public in any capacity other than to trade in or advise on securities or exchange contracts (including commodity futures contracts and commodity futures options) in any province, territory, state or country? .. Yes No If “Yes”, complete Schedule “J”, section 3(c). Item 14 - Criminal disclosure Criminal, provincial and territorial offences With respect to questions (b) and (d) below, if you or your firm have pleaded guilty or been found guilty of an offence, that offence must be reported even if an absolute or conditional discharge has been granted with respect to the offence. You are not required to disclose any offence for which a pardon has been granted under the Criminal Records Act (Canada) unless the pardon has been revoked. You are not required to disclose speeding or parking violations. a) Is there currently an outstanding charge against you alleging an offence that was committed in any province, territory, state, or country? ........................................................................................................ Yes No If “Yes”, complete Schedule “K”, section (a). b) Have you, since attaining the age of 18, ever been convicted of, pleaded guilty to or no contest to an offence that was committed in any province, territory, state, or country? ............................................... Yes No If “Yes”, complete Schedule “K”, section (b). c) Have charges been laid, alleging an offence that was committed in any province, territory, state, or country against any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)) in which you are or were at the time of that event a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities? ..................................................................................................... Yes No If “Yes”, complete Schedule “K”, section (c).
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL d) Has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been convicted of, pleaded guilty to or no contest to an offence that was committed in any province, territory, state, or country? ........................................................................................................................ Yes No If “Yes”, complete Schedule “K”, section (d). Item 15 - Civil disclosure Current and past civil proceedings a) Have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, been a defendant or respondent in any civil proceeding in which fraud, theft, deceit, misrepresentation, or similar conduct is, or was, alleged? .......................................................... Yes No If “Yes”, complete Schedule “L”, section (a). b) Other than what you disclosed in Item 15(a), were you, at the time the events that led to the civil proceeding occurred, a partner, director or officer or a holder of securities carrying more than 10 percent of the votes of all outstanding voting securities of a firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)) that is or was a defendant or respondent in any civil proceeding in which fraud, theft, deceit, misrepresentation, or similar conduct is or was alleged? ......................................................................................................................................................... Yes No If “Yes”, complete Schedule “L”, section (b). Item 16 – Financial disclosure 1. Bankruptcy Under the law of any province, territory, state, or country have you, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm: a) had a petition in bankruptcy issued against you or the firm or made a voluntary assignment in bankruptcy? ........................................................................................................................................................ Yes No b) made a proposal under any legislation relating to bankruptcy or insolvency? .............................. Yes No c) been subject to proceedings under any legislation relating to the winding up, dissolution or companies’ creditors arrangement? .................................................................................................................. Yes No d) been subject to or instituted any proceedings, arrangement or compromise with creditors (including having a receiver, receiver-manager, administrator or trustee appointed by or at the request of creditors, either privately, or through court process, or by order of a regulator, to hold your assets)? ............ Yes No If “Yes” to any of the above questions, complete Schedule “M”, section 1. 2. Debt Obligations Have you ever failed to meet a financial obligation of $500 or more as it came due, or has any firm (other than your sponsoring firm or a firm that is or was registered in a Canadian jurisdiction and identified in response to Item 13(1)(b)), when you were a partner, director, officer or holder of voting securities carrying more than 10 percent of the votes carried by all outstanding voting securities of that firm, failed to meet a financial obligation as it came due? ....................................................................................................................................................... Yes No If “Yes”, complete Schedule “M”, section 2. 3. Surety bond or fidelity bond Have you ever applied for a surety or fidelity bond and been refused? ...................………………..... Yes No If “Yes”, complete Schedule “M”, section 3.
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL 4. Garnishments, unsatisfied judgments or directions to pay Are there currently, or have there been, outstanding against you any of the following: a) garnishments, b) unsatisfied judgments, or c) directions to pay; issued by a federal, provincial, territorial or state authority? ................................................................... Yes No If “Yes”, complete Schedule “M”, section 4. Item 17 - Related securities firms Related securities firms and holdings Are you a partner, director, or officer of a firm (other than your sponsoring firm) whose principal business is trading in or advising on securities or exchange contracts (including commodity futures contracts and commodity futures options) or are you a holder of 10 percent or more of the voting securities of any firm (including your sponsoring firm) whose principal business is trading in or advising on securities or exchange contracts (including commodity futures contracts and commodity futures options)? ................................................................................ Yes No If “Yes”, complete Schedule “N”. Agent for Service By submitting this form you certify that in each jurisdiction in which you have appointed an agent for service you have properly executed the appointment of agent for service required by the regulator or the securities legislation of that jurisdiction. Submission to Jurisdiction By submitting this application you irrevocably and unconditionally submit to the non-exclusive jurisdiction of the judicial, quasi-judicial and administrative tribunals of each jurisdiction to which you have submitted this application and any administrative proceeding in that jurisdiction, in any action, investigation or administrative, criminal, quasi-criminal, penal or other proceeding (each, a “Proceeding”) arising out of or relating to or concerning your activities as a registrant or an officer, partner or director of a registrant under the securities legislation of the jurisdiction, and irrevocably waive any right to raise as a defence in any Proceeding any alleged lack of jurisdiction to bring that Proceeding. Notice of collection and use of personal information The personal information required under this form is collected on behalf of and used by the securities regulatory authorities set out below for purposes of the administration and enforcement of certain provisions of the securities legislation in British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, Québec, Nova Scotia, New Brunswick, Prince Edward Island, Newfoundland, Northwest Territories, Yukon Territory and Nunavut. By submitting this application you consent to the collection by the securities regulatory authority to which this application is being submitted of the personal information contained in the application, police records, records from other government or non-governmental regulatory authorities or self-regulatory organizations, credit records and employment records about you as may be necessary for the securities regulatory authority to complete its review of your application or continued fitness for registration in accordance with the legal authority of the securities regulatory authority for the duration of the period which you remain registered or approved by the securities regulatory authority. The sources the securities regulatory authority may contact include government and private bodies or agencies, individuals, corporations and other organizations.
FORM 33-109F4 REGISTRATION INFORMATION FOR AN INDIVIDUAL The principal purpose for which this collection of personal information is to be used is to assess your suitability for registration and to assess your continued fitness for registration in accordance with the applicable securities legislation. If you have any questions about the collection and use of this information, you may contact the securities regulatory authority in any jurisdiction in which the required information is filed, at the address or telephone number set out in Schedule “O”. In Québec, questions may also be addressed to the Commission d’accès à l’information du Québec (1-888-528-7741, web site: www.cai.gouv.qc.ca). WARNING: It is an offence to submit information that, in a material respect and at the time and in the light of the circumstances in which it is submitted, is misleading or untrue. The following certification is to be used when submitting this form in NRD format: I am making this submission as agent for the individual to whom this submission relates. By checking this box I certify that all statements of fact in this submission were provided to me by the individual. Both of the following certifications are to be used when submitting this form in paper format: I, the undersigned, certify that I have read and that I understand the questions in this form and the Warning set out above. I also certify that all statements of fact provided in this application are true. Signature of applicant or non-registered individual Date I, the undersigned, certify on behalf of the sponsoring firm that the individual will be engaged by the sponsoring firm as a registered individual or a non-registered individual. I certify that I have, or a branch manager or another officer or partner has, discussed the questions set out in this form with the individual and I am satisfied that the individual fully understands the questions. Signature of authorized officer or partner Date ______________________________________________ Firm name
SCHEDULE “A” Name Item 1 Other names Last name First name Second name Third name (if applicable) (if applicable) Provide the reasons for the use of this name (for example, marriage, divorce, court order, commonly used name). When did you use this name? From: To: (YYYY/MM) (YYYY/MM) Last name First name Second name Third name (if applicable) (if applicable) Provide the reasons for the use of this name (for example, marriage, divorce, court order, commonly used name). When did you use this name? From: To: (YYYY/MM) (YYYY/MM) Last name First name Second name Third name (if applicable) (if applicable) Provide the reasons for the use of this name (for example, marriage, divorce, court order, commonly used name). When did you use this name? From: To: (YYYY/MM) (YYYY/MM)
SCHEDULE “B” Residential address Item 2 Previous addresses A postal code (or ZIP code) and a telephone number are not required for any previous address. Residential address: (number, street, city, province, territory or state, country) When did you live at this address? From: To: (YYYY/MM) (YYYY/MM) Residential address: (number, street, city, province, territory or state, country) When did you live at this address? From: To: (YYYY/MM) (YYYY/MM) Residential address: (number, street, city, province, territory or state, country) When did you live at this address? From: To: (YYYY/MM) (YYYY/MM) Residential address: (number, street, city, province, territory or state, country) When did you live at this address? From: To: (YYYY/MM) (YYYY/MM) Residential address: (number, street, city, province, territory or state, country) When did you live at this address? From: To: (YYYY/MM) (YYYY/MM)
SCHEDULE “C” Individual categories Item 6 Categories Indicate, by checking the appropriate box, each category for which you are applying. Alberta Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Director British Columbia Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Director (Trading) Director (Non-Trading) Compliance Officer Shareholder Branch Manager Manitoba Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Director (Trading) Director (Non-Trading) Branch Manager Advising Officer Advising Partner Advising Director Non-Advising Officer Non-Advising Partner Non-Advising Director Advising Employee New Brunswick Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Director Shareholder Shareholder Branch Manager Officer (Advising) Officer (Non-Advising) Junior Officer (Advising) Partner (Advising) Partner (Non-Advising) Officer (Advising) Officer (Non-Advising) Partner (Advising) Partner (Non-Advising) Director (Advising) Director (Non-Advising) Advising Employee Associate Advising Officer Associate Advising Partner Associate Advising Director Associate Advising Employee Non-trading Officer Partner Futures Contract Portfolio Manager Associate Futures Contracts Portfolio Manager Floor Trader Floor Broker Local Adviser Compliance Officer Officer (Advising) Officer (Non-Advising) Junior Officer (Advising) Partner (Advising) Partner (Non-Advising)
SCHEDULE “C” Individual categories Item 6 Categories Newfoundland and Labrador Salesperson Officer (Trading) Officer (Non-Trading) Director Shareholder Partner (Trading) Partner (Non-Trading) Branch Manager Item 6 Categories Northwest Territories Salesperson Officer (Trading) Officer (Non-Trading) Director Partner (Trading) Partner (Non-Trading) Sole Proprietor Nova Scotia Salesperson Officer (Trading) Officer (Non-Trading) Sole Proprietor (Trading) Director Partner (Trading) Partner (Non- Trading) Nunavut Salesperson Officer (Trading) Officer (Non-Trading) Director Partner (Trading) Partner (Non-Trading) Sole Proprietor Ontario Except as indicated the following categories are available under the Securities Act and the Commodity Futures Act. Floor Trader Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Sole Proprietor (Trading) Director Advising Representative Officer (Advising) Officer (Non-Advising) Director Shareholder Partner (Advising) Partner (Non-Advising) Branch Manager Shareholder Branch Manager Representative (Advising) Officer (Advising) Officer (Non-Advising) Partner (Advising) Partner (Non-Advising) Officer (Advising) Officer (Non-Advising) Associate Partner Partner (Advising) Partner (Non-Advising) Sole Proprietor (Advising) Shareholder Branch Manager Representative (Advising) Officer (Advising) Officer (Non-Advising) Partner (Advising) Partner (Non-Advising) Associate Advising Representative (Securities Act category only) Officer (Advising) Officer (Non-Advising) Associate Officer (Securities Act category only) Partner (Advising) Partner (Non-Advising) Associate Partner (Securities Act category only) Sole Proprietor (Advising) Shareholder
SCHEDULE “C” Individual categories Item 6 Categories Prince Edward Island Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Director Shareholder Québec Dealer Salesperson (representative) Officer Partner Director Director (Non-Industry) Branch Manager Saskatchewan Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Director Yukon Salesperson Officer (Trading) Officer (Non-Trading) Partner (Trading) Partner (Non-Trading) Director Sole Proprietor (Trading) Branch Manager Branch Manager Compliance Officer Counselling Officer (Officer) Counselling Officer (Partner) Counselling Officer (Other) Officer (Non-Advising) Partner (Non-Advising) Adviser Representative (Advising) Officer Partner Director Director (Non-Industry) Branch Manager Employee (Advising) Officer (Advising) Officer (Non-Advising) Partner (Advising) Partner (Non-Advising)
SCHEDULE “C” Individual categories Item 6 Categories Investment Dealers Association of Canada Partner (Industry) Shareholder Partner (Non-Industry) Officer (Advising) Director (Industry) Officer (Non-Advising) Director (Non-Industry) Partner (Advising) Officer (Trading) Partner (Non-Advising) Officer (Non-Trading) Sole Proprietor (Advising) Industry Investor Non-Industry Investor Chief Compliance Officer Ultimate Designated Person Alternate Designated Person Designated Registered Options Principal Alternate Registered Options Principal Designated Registered Futures Options Principal Alternate Registered Futures Options Principal Sales Manager Branch Manager Co-Branch Manager Assistant Branch Manager Futures Contract Options Supervisor Investment Representative (Mutual Funds) Investment Representative (Retail) Investment Representative (Non-Retail) Investment Representative Options (Retail) Investment Representative Options (Non-Retail) Investment Futures Contract Representative Options (Retail) Investment Futures Contract Representative Options (Non-Retail)
SCHEDULE “D” Address and Agent for Service Item 7 Address for Service 1. Address for service You must have one address for service in each province or territory in which you are now, or are applying to become, a registered individual or non-registered individual. A post office box is not an acceptable address for service. Address for service: (number, street, city, province or territory, postal code) Telephone number: ( ) Fax number: ( ) E-mail address: 2. Agent for service If you have appointed an agent for service, provide the following information for the agent. The address for service provided above must be the address of the agent named below. Name of agent for service: (if applicable) Contact person: Last name First name
SCHEDULE “E” Proficiency Item 8 Course or examination information Indicate each course and examination that you have successfully completed or for which you have received an exemption. COURSE OR EXAMINATION DATE DATE EXEMPTED AND BY COMPLETED WHICH JURISDICTION OR REGULATOR (YYYY/MM/DD) 30-day Training Program 90-day Training Program ACE Trader Exam Agricultural Markets – Risk Management Course (ARM) Branch Compliance Officers Course Branch Manager's Examination Course (formerly the Canadian Branch Managers Qualifying Examination) Canadian Commodity Futures Examination Canadian Commodity Supervisors Examination Canadian Funds Course (Quebec only) Canadian Futures Exam (Part 1) Canadian Futures Exam (Part 2) Canadian Investment Finance Course Part I Canadian Investment Finance Course Part II Canadian Investment Funds Course Canadian Investment Management Program (Part 1) Canadian Investment Management Program (Parts 2) Canadian Options Course Canadian Securities Course CATS Examination-Oral CATS Examination-Written Certified Financial Planners Program Chartered Financial Analyst Charter Chartered Financial Analyst Course (Level I) Chartered Financial Analyst Course (Level II) Chartered Financial Analyst Course (Level III) Commodity Futures Exam (Part 1) Commodity Futures Exam (Part 2) Conduct and Practices Handbook Course Derivatives Fundamentals Course Derivatives Operational Management Course Effective Management Seminar Energy Markets - Risk Management Course Ensis Growth Fund Understanding Labour Sponsored Investment Funds (Full Course)
SCHEDULE “E” Proficiency Examination based on Manual for Registered Representatives (RR Exam) Fellow of the Canadian Securities Institute Financial Markets Risk Management Course Examination based on Manual for Registered Representatives (RR Exam) Futures Floor Trader Examination (Winnipeg Stock Exchange) Futures Licensing Course General Securities Representative Examination (Series 7) In-House Scholarship Training Program Investment Funds Course Investment Management Techniques Labour Sponsored Investment Funds Course National Commodity Futures Examination New Entrants Examination Officers’ Partners’ and Directors’ Course Operations Course Options Licensing Course Options Strategies Course Options Supervisors Course Partners, Directors and Senior Officers Qualifying Examination Personal Financial Planning Diploma Portfolio Management Techniques Principles of Mutual Funds Investment Course Professional Financial Planning Course Professional Options Trader Examination Real Estate Agent’s Pre-Licensing Course Registered Options Principal's Qualifying Examination Technical Analysis Course (TAC) Trader Training Course VCT Trader Exam Wealth Management Techniques Other, specify: Other, specify: Other, specify: Other, specify:
SCHEDULE “F” Proficiency Item 8 Exemption refusal Complete the following for each exemption that was refused. Which securities regulatory authority or self-regulatory organization refused to grant the exemption? State the name of the course, examination or experience requirement: State the reason given for not being granted the exemption: Which securities regulatory authority or self-regulatory organization refused to grant the exemption? State the name of the course, examination or experience requirement: State the reason given for not being granted the exemption:
SCHEDULE “G” Current employment Item 10 Employment information Provide the information requested for each of your current business and employment activities, including those with your sponsoring firm. Unemployed Full-time student Employed or self-employed From: (YYYY/MM/DD) You are only required to fill in the following if you have indicated above that you are employed or self-employed. Name of business or employer: Address of business or employer: (number, street, city, province, territory or state, country) Name and title of immediate supervisor: Describe the type of business or employment and your duties. If you are seeking a type of registration for which specified experience is required, provide details of that experience below (for example, level of responsibility, value of accounts under direct supervision, and research experience): Indicate the number of hours per week you will be devoting to this business or employment: If the business or employment described above is with the sponsoring firm and if you are working less than 30 hours per week for the firm, explain why you are working less than 30 hours per week for the firm:
SCHEDULE “G” Current employment If the business or employment described above is not with the sponsoring firm, disclose any potential for confusion by clients and any potential for conflicts of interest arising from your proposed activities as a registrant and the business or employment described above (include whether the business is listed on an exchange): SCHEDULE “H” Previous employment Item 11 Employment information Provide the information requested for your previous business and employment activities for the 10-year period before the date of this application. Include any periods of self-employment or unemployment during this period. Do not include summer employment while you were a full-time student. In addition, provide the information requested in respect of all of your securities or exchange contracts (including commodity futures contracts and commodity futures options) business and employment activities during and prior to the ten-year period. Unemployed Full-time student Employed or self-employed From: To: (YYYY/MM/DD) (YYYY/MM/DD) You are only required to fill in the following if you have indicated above that you are, or were, employed or self-employed. Name of business or employer: Address of business or employer: (number, street, city, province, territory or state, country) Name and title of immediate supervisor: Describe the type of business or employment and your duties. If you are seeking a type of registration for which specified experience is required, provide details of that experience below (for example, level of responsibility, value of accounts under direct supervision, and research experience):
SCHEDULE “I” Resignations and terminations Item 12 Resignation and Termination information For each resignation or termination indicate below, (1) the name of the firm from which you resigned or were terminated, (2) whether you resigned or were terminated, (3) the date you resigned or were terminated, and (4) the circumstances relating to your resignation or termination (including whether the allegations were made by a client, sponsoring firm, self-regulatory organization or regulatory authority).
SCHEDULE “J” Regulatory disclosure Item 13 1. Securities regulatory authorities a) For each registration or licence, indicate below (1) the securities regulatory authority with which you are, or were, registered or licensed, (2) the type or category of registration or licence, and (3) the dates between which you held the registration or licence. b) For each registration or licence, indicate below (1) the name of the firm, (2) the securities regulatory authority with which the firm is, or was, registered or licensed, (3) the type or category of registration or licence, and (4) the dates between which you held the registration or licence. c) For each registration or licence refused, indicate below (1) the party that was refused the registration or licence, (2) the securities regulatory authority that refused the registration or licence, (3) the type or category of registration or licence refused, (4) the date of the refusal, and (5) the reasons for the refusal. d) For each exemption from registration denied, indicate below (1) the party that was denied the exemption, (2) the securities regulatory authority that denied the exemption, (3) the date the exemption was denied, and (4) any other information that you think is relevant or that is requested by the regulator. e) For each order or disciplinary proceeding, indicate below (1) the party against whom the order was made or the proceeding taken, (2) the securities regulatory authority that issued the order or that is, or was, conducting the proceeding, (3) the date any notice of proceeding was issued, (4) the date any order or settlement was made, (5) a summary of any notice, order or settlement (including any sanctions imposed), and (6) any other information that you think is relevant or that is requested by the regulator.
SCHEDULE “J” Regulatory disclosure 2. Self-regulatory organizations a) For each membership or participation, indicate below (1) the party that is, or was, a member or participating organization, (2) the self-regulatory organization with which the party is, or was, a member or participating organization, (3) the type or category of membership or participation, and (4) the dates between which the party was a member or participating organization. b) For each membership or participation refused, indicate below (1) the party that was refused membership or participation, (2) the self-regulatory organization that refused the membership or participation, (3) the type or category of membership or participation refused, (4) the date of the refusal, and (5) the reasons for the refusal. c) For each order or disciplinary proceeding, indicate below (1) the party against whom the order was made or the proceeding taken, (2) the self-regulatory organization that issued the order or that is, or was, conducting the proceeding, (3) the date any notice of proceeding was issued, (4) the date any order or settlement was made, (5) a summary of any notice, order or settlement (including any sanctions imposed), and (6) any other information that you think is relevant or that is requested by the regulator. 3. Non-securities regulation a) For each registration or licence, indicate below (1) the party is, or was, registered or licensed, (2) with which regulatory authority, or under what legislation, the party is, or was, registered or licensed, (3) the type or category of registration or licence, and (4) the dates between which the party held the registration or licence. b) For each registration or licence refused, indicate below (1) the party that was refused registration or licensing, (2) with which regulatory authority, or under what legislation, the registration or licence was refused, (3) the type or category of registration or licence refused, (4) the date of the refusal, and (5) the reasons for the refusal. c) For each order or disciplinary proceeding, indicate below (1) the party against whom the order was made or the proceeding taken, (2) the regulatory authority that made the order or that is, or was, conducting the proceeding, or under what legislation the order was made or the proceeding is being, or was, conducted, (3) the date any notice of proceeding was issued, (4) the date any order or settlement was made, (5) a summary of any notice, order or settlement (including any sanctions imposed), and (6) any other information that you think is relevant or that is requested by the regulator.
SCHEDULE “K” Criminal disclosure Item 14 Criminal, provincial and territorial offences a) For each charge, indicate below (1) the charge, (2) the date of the charge, (3) any trial or appeal dates, and (4) the court location. b) For each conviction, indicate below (1) the offence, (2) the date of the conviction, and (3) the disposition (state any penalty or fine and the date any fine was paid). c) For each charge, indicate below (1) the name of the firm, (2) the charge, (3) the date of the charge, (4) any trial or appeal dates, and (5) the court location. d) For each conviction, indicate below (1) the name of the firm, (2) the offence, (3) the date of the conviction, and (4) the disposition (state any penalty or fine and the date any fine was paid).
SCHEDULE “L” Civil disclosure Item 15 Current and past civil proceedings a) For each civil proceeding, indicate below (1) the party that is, or was, a defendant or respondent, (2) each plaintiff in the proceeding, (3) whether the proceeding is pending, on appeal or final, (4) the jurisdiction in which the action is being, or was, pursued, and (5) a summary of any disposition or settlement. (Disclosure must include those actions settled without admission of liability.) b) For each civil proceeding, indicate below (1) the firm that was a defendant or respondent in the proceeding, (2) your relationship to the firm, (3) each plaintiff in the proceeding, (4) whether the proceeding is pending, on appeal or final, (5) the jurisdiction in which the action is being, or was, pursued, and (6) a summary of any disposition or settlement. (Disclosure must include those actions settled without admission of liability.)
SCHEDULE “M” Financial Disclosure Item 16 1. Bankruptcy For each event, indicate below (1) the party about whom this disclosure is being made, (2) any amounts currently owing, (3) the creditors, (4) the status of the matter, (5) a summary of any disposition or settlement, and (6) any other information that you think is relevant or that is requested by the regulator. 2. Solvency For each event, indicate below (1) the party that failed to meet its financial obligation, (2) the amount that was owing at the time the party failed to meet its financial obligation, (3) the party to whom the amount is, or was, owing, (4) any relevant dates (for example, when payments are due or when final payment was made), (5) any amounts currently owing, and (6) any other information that you think is relevant or that is requested by the regulator. 3. Surety Bond or Fidelity Bond For each bond refused, indicate below (1) the name of the bonding company, (2) the address of the bonding company, (3) the date of the refusal, and (4) the reasons for the refusal. 4. Garnishments, Unsatisfied Judgments or Directions to Pay For each garnishment, unsatisfied judgement or direction to pay, indicate below (1) the amount that was owing at the time the garnishment, judgement or direction to pay was rendered, (2) the party to whom the amount is, or was, owing, (3) any relevant dates (for example, when payments are due or when final payment was made), (4) any amounts currently owing, and (5) any other information that you think is relevant or that is requested by the regulator.
SCHEDULE “N” Related securities firms Item 17 Section 1 - Related Securities Firms and Holdings Indicate below (a) the name of the firm and (b) your relationship to the firm. a) Firm name: b) Relationship to the firm and period of relationship: Partner From: / To: / (if applicable) (YYYY/MM) (YYYY/MM) Director From: / To: / (if applicable) (YYYY/MM) (YYYY/MM) Officer From: / To: / (if applicable) (YYYY/MM) (YYYY/MM) Holder of voting From: / To: / (if applicable) securities over 10 (YYYY/MM) (YYYY/MM) percent If you are a holder of 10 percent or more of the voting securities of the firm, complete (c), (d), (e), (f), (g) and (h). c) State the number, value, class and percentage of securities or the amount of partnership interest you own or propose to acquire upon approval. If acquiring shares upon approval, state source (for example, treasury shares, or if upon transfer, state name of transferor). d) State the value of subordinated debentures or bonds of the firm to be held by you or any other subordinated loan to be made by you to the firm (if applicable): e) If another party has provided you with funds to invest in the firm, identify the party and state the relationship between you and that party:
f) Are the funds to be invested (or proposed to be invested) guaranteed directly or indirectly by any person or firm? ..................................................................................................................................... Yes No If “Yes”, identify the party and state the relationship between you and that party: g) Have you either directly or indirectly given up any rights with respect to such securities or partnership interest, or do you, on approval of this application, intend to give up any such rights (including by hypothecation, pledging or depositing as collateral the securities or partnership interest with any institution or person)? ................................................................................................................................. Yes No If “Yes”, identify the party, state the relationship between you and that party and describe the rights that have been or will be given up: h) Is a person other than you the beneficial owner of the shares, bonds, debentures, partnership units or other notes held by you? .................................................................................................................... Yes No If “Yes”, complete (i), (j) and (k). i) Name of beneficial owner: Last name First name Second name Third name (if applicable) (if applicable) j) Residential address: (number, street, city, province, territory or state, country, postal code) k) Occupation:
SCHEDULE “O” Notice and collection and use of personal information Contact Information Alberta Alberta Securities Commission, 4th Floor, 300 B 5th Avenue S.W. Calgary, AB T2P 3C4 Attention: Information Officer Telephone: (403) 297-6454 Manitoba The Manitoba Securities Commission 500-400 St. Mary Avenue Winnipeg, MB R3C 4K5 Attention: Director – Legal Telephone: (204) 945-0605 Newfoundland and Labrador Securities Commission of Newfoundland and Labrador P.O. Box 8700, 2nd Floor, West Block Confederation Building St. John's, NF A1B 4J6 Attention: Director of Securities Tel: (709) 729-4189 Northwest Territories Government of the Northwest Territories P.O. Box 1320 Yellowknife, NWT X1A 2L9 Attention: Deputy Registrar of Securities Telephone: (867) 920-8984 Ontario Ontario Securities Commission Suite 1903, Box 55 20 Queen Street West Toronto, ON M5H 3S8 Attention: FOI Coordinator Telephone: (416) 593-8314 Québec Commission des valeurs mobilières du Québec Stock Exchange Tower P.O. Box 246, 22nd Floor 800 Victoria Square Montréal, PQ H4Z 1G3 Attention: Responsable de l’accès à l’information Telephone: (514) 940-2150 or (800) 361-5072 (in Québec) Yukon Department of Community Services Yukon P.O. Box 2703 Whitehorse, YU Y1A 2C6 Attention: Registrar of Securities Telephone: (867) 667-5225British Columbia British Columbia Securities Commission P.O. Box 10142, Pacific Centre 701 West Georgia Street Vancouver, BC V7Y 1L2 Attention: Freedom of Information Officer Telephone: (604) 899-6500 or (800) 373-6393 (in BC) New Brunswick Securities Administration Branch PO Box 5001 606, 133 Prince William Street Saint John, NB E2L 4Y9 Attention: Deputy Administrator, Capital Markets Telephone: (506) 658-3021 Nova Scotia Nova Scotia Securities Commission 2nd Floor, Joseph Howe Building 1690 Hollis Street P.O. Box 458 Halifax, NS B3J 3J9 Attention: FOI Officer Telephone: (902) 424-7768 Nunavut Legal Registries Division Department of Justice Government of Nunavut P.O. Box 1000 Station 570 Iqaluit, NU X0A 0H0 Attention: Deputy Registrar of Securities Telephone: (867) 975-6190 Prince Edward Island Securities Registry Office of the Attorney General B Consumer, Corporate and Insurance Services Division P.O. Box 2000 Charlottetown, PE C1A 7N8 Attention: Deputy Registrar of Securities Telephone: (902) 368-4569 Saskatchewan Saskatchewan Securities Commission 800 B1920 Broad Street Regina, SK S4P 3V7 Attention: Director Telephone: (306) 787-5842
You are being directed to the most recent version of the statute which may not be the version considered at the time of the judgment.