AMENDMENTS TO FORM 21-101 F2 – INITIAL OPERATION REPORT ALTERNATIVE TRADING SYSTEM PART 1 AMENDMENTS (1) This amends Form 21-101F2 Initial Operation Report Alternative Trading System. (2) Exhibit G is amended by adding the following at the end of item 5: Where applicable, the description should include, at a minimum: the parties involved in settling the trades; the trades being settled; and the procedures to manage counterparty and settlement risk.
AMENDMENTS TO FORM 21-101 F5 – INITIAL OPERATION REPORT FOR INFORMATION PROCESSOR PART 1 AMENDMENTS (1) This amends Form 21-101F5 Initial Operation Report for Information Processor. (2) Part 1 Corporate Governance is amended by: a. adding “identifying the processes and procedures which promote independence from the marketplaces, inter-dealer bond brokers and dealers that provide data” in the description of Exhibit A; b. adding “identifying those individuals with overall responsibility for the integrity and timeliness of data reported to and displayed by the system (the “System”) of the information processor after “the previous year” in the description of Exhibit C; and c. adding “identifying the employees responsible for monitoring the timeliness and integrity of data reported to and displayed by the System.” at the end of the first sentence of the description of Exhibit E. (3) Part 2 Systems and Operations is amended by: a. replacing “the system (the “System”) of the information processor” with “the System” in the description of Exhibit G; b. adding “including data validation processes” at the end of subsection 2 of the description of Exhibit G; c. replacing the description of Exhibit H with: A description in narrative form of each service or function performed by the information processor. Include a description of all procedures utilized for the collection, processing, distribution, validation and publication of information with respect to orders and trades in securities; and d. removing the last sentence of the description of Exhibit J and replacing it with: Describe any measures used to verify the timeliness and accuracy of information received and disseminated by the system, including the processes to resolve data integrity issues identified. (4) Part 4 Fees is amended by:
- 2 - a. adding “and Revenue Sharing” to the title; and b. adding “Where arrangements to share revenue from the sale of data disseminated by the information processor with marketplaces, inter-dealer bond brokers and dealers that provide data to the information processor in accordance with National Instrument 21-101 are in place, a complete description of the arrangements and the basis for these arrangements.” at the end of the description of Exhibit O. (5) The following section is added after Part 5: 6. – Selection of securities reported to the information processor Where the information processor is responsible for making a determination of the data which must be reported, including the securities for which information must be reported in accordance with National Instrument 21-101, describe the manner of selection and communication of these securities. This description should include the following: 1. The criteria used to determine which securities should be reported to the information processor. 2. The process for selection of the securities, including a description of the parties consulted in the process and the frequency of the selection process. 3. The process to communicate the securities selected to the marketplaces, inter-dealer bond brokers and dealers providing the information as required by National Instrument 21-101. The description should include where this information is located.
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