CANADIAN SECURITIES ADMINISTRATORS (CSA) STAFF NOTICE 24-306 NATIONAL INSTRUMENT 24-101 - INSTITUTIONAL TRADE MATCHING AND SETTLEMENT — EXCEPTION REPORTING Part 4 of National Instrument 24-101 – Institutional Trade Matching and Settlement (Instrument) requires registrants in certain circumstances to complete and deliver Form 24-101F1 Registrant Exception Report of DAP/RAP Trade Reporting and Matching (Form) to the applicable securities regulatory authority. The Form must be delivered if less than a percentage target of the DAP/RAP trades (measured by volume or value) executed by the registrant (if a dealer) or for the registrant (if an adviser) in any given calendar quarter have matched within the time required by the Instrument. Please see Part 10 of the Instrument or Part 7 of the related Companion Policy for transition dates, relevant timelines and percentages. How to deliver the Form On-line Electronic Delivery A registrant can complete an electronic version of the Form and submit it to the applicable securities regulatory authority through the CSA website at www.csa-acvm.ca. Manual Delivery Alternatively, a registrant can print the Form from the link provided on the CSA website and deliver the completed Form to the applicable securities regulatory authority via mail, fax or email. Fax numbers and email addresses for the applicable securities regulatory authority are provided below. Information on the Instrument, Companion Policy and CSA Staff Notice 24-305 Frequently Asked Questions about the Instrument is posted on the following websites: • CSA Website: www.csa-acvm.ca • AMF Website: http://www.lautorite.qc.ca/reglementation/valeurs-mobilieres/autres-reglements-textes-vigueur.fr.html • ASC Website: http://albertasecurities.com/securitiesLaw/Pages/ViewDocument.aspx?ProjectId= b9440adf-71d1-4e2b-9d7a-87aae368f84b • BCSC Website: http://www.bcsc.bc.ca/policy.aspx?id=5508&cat=2%20- %20Certain%20Capital%20Market%20Participants • MSC Website: http://www.msc.gov.mb.ca/legal_docs/legislation/rules/24_101_msc_rule_2007_ 1.pdf • OSC Website: http://www.osc.gov.on.ca/HotTopics/STP/stp_index.jsp
- 2 -If you have any questions regarding the Instrument or the completion and submission of the Form, please contact the applicable securities regulatory authority below: Maxime Paré Senior Legal Counsel Market Regulation Ontario Securities Commission Telephone: (416) 593-3650 Fax: (416) 595-8940 mpare@osc.gov.on.ca Emily Sutlic Legal Counsel Market Regulation Ontario Securities Commission Telephone: (416) 593-2362 Fax: (416) 595-8940 esutlic@osc.gov.on.ca Alina Bazavan Data Analyst Market Regulation Ontario Securities Commission Telephone: (416) 593-8082 Fax: (416) 595-8940 abazavan@osc.gov.on.ca Karen Andreychuk Legal Counsel, Market Regulation Alberta Securities Commission Telephone: (403) 297-5946 Fax: (403) 297-4113 karen.andreychuk@seccom.ab.ca Serge Boisvert Direction de la supervision des OAR Autorité des marchés financiers Telephone: (514) 395-0337 poste 4358 Fax: (514) 873-7455 serge.boisvert@lautorite.qc.ca Nathalie Gallant Analyste en produits dérivés Direction de la supervision des OAR Autorité des marchés financiers Telephone: (514) 395-0337 poste 4363 Fax: (514) 873-7455 nathalie.gallant@lautorite.qc.ca
- 3 -Janice Leung Senior Securities Examiner, Capital Markets Regulation British Columbia Securities Commission Telephone: (604) 899-6752 Fax: (604) 899-6506 jleung@bcsc.bc.ca Michael Sorbo Manager Examinations, Capital Markets Regulation British Columbia Securities Commission Telephone: (604) 899-6689 Fax: (604) 899-6506 msorbo@bcsc.bc.ca Bob Bouchard Director and Chief Administration Officer Manitoba Securities Commission Telephone: (204) 945-2555 Fax: (204) 945-0330 bob.bouchard@gov.mb.ca Neil Sandler Legal Counsel, Market Regulation New Brunswick Securities Commission Telephone: (506) 643-7857 Fax: (506) 658-3059 neil.sandler@nbsc-cvmnb.ca Shirley P. Lee Secretary to the Commission and Securities Analyst Nova Scotia Securities Commission Telephone: (902) 424-5441 Fax: (902) 424-3624 leesp@gov.ns.ca February 1, 2008
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