Link to consolidated regulation (PDF)

Link to Point in Time

[Last amended September 13, 2023 by B.C. Reg. 209/2023]

Part 1 — Definitions and Interpretation

Part 2 — Application for Registration and Review
of Permitted Individuals

Part 3 — Changes to Registered Firm Information

Part 4 — Changes to Registered Individual and Permitted
Individual Information

Part 5 — Due Diligence and Record-Keeping

Part 6 — Transition

Part 7 — Exemption

Form 33-109F1

[am. B.C. Regs. 121/2011, Sch. B, s. 14; 238/2014, App. C, s. 9; 126/2022, Sch. 2, s. 10.]

Notice of End of Individual Registration or Permitted Individual Status

(section 4.2)

WARNING — It is an offence to knowingly give false or misleading information to the regulator or the securities regulatory authority.

CERTIFICATION

I, on behalf of the firm, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where the firm is submitting this form and to any applicable self-regulatory authority (SRO) that

•  I have read this form and understand all matters within this form, including the questions, and

•  to the best of my knowledge and after reasonable inquiry, all of the information provided on this form is true and complete.

NRD format:

[ ]  I, the authorized firm representative, am making this submission under authority delegated by the firm. By checking this box, I certify that the firm

(a) provided me with all of the information on this form, and

(b) makes the certification above.

Non-NRD format:

By signing below, I, on behalf of the firm, make the certification above.

Name of firm .......................................

Name of authorized signing officer or partner ..........................

Title of authorized signing officer or partner .........................

Signature of authorized signing officer or partner .....................

Date signed ................................................

(YYYY/MM/DD)

General instructions

Complete and submit this form to notify the relevant regulator(s) or, in Québec, the securities regulatory authority, or self-regulatory organization (SRO) that a registered individual or permitted individual has left their sponsoring firm or has ceased to act in a registerable activity or as a permitted individual.

As set out in section 1.1 of National Instrument 33-109 Registration Information, "cessation date" means the last day on which an individual had authority to act as a registered individual on behalf of their sponsoring firm or the last day on which an individual was a permitted individual of their sponsoring firm.

How to submit the form

Submit this form at the National Registration Database (NRD) website in NRD format at www.nrd.ca.

If you are relying on the temporary hardship exemption in section 5.1 of National Instrument 31-102 National Registration Database, you may submit this form in a format other than NRD format.

When to submit the form

As set out in paragraph 4.2 (2) (a) of National Instrument 33-109 Registration Information, you must submit the responses to Items 1, 2, 3 and 4 within 15 days of the cessation date.

If you are required to complete Item 5, you must submit those responses within 30 days of the cessation date. If you are submitting the responses to Item 5 in NRD format, after Items 1 to 4 have been submitted at NRD, use the NRD submission type called "Update/Correct Cessation Information" to complete Item 5 of this form.

Item 1 — Former sponsoring firm

1. Name .........................................................................................

2. NRD number .............................................................................

Item 2 — Individual

1. Name .........................................................................................

2. NRD number .............................................................................

Item 3 — Business location of the individual

1. Business location address .............................................................

2. NRD number .............................................................................

Item 4 — Date and reason for cessation

1. Cessation date .......................................

(YYYY/MM/DD)

The above date is the last day on which the individual had authority to act as a registered individual on behalf of the sponsoring firm, or the last day on which the individual was a permitted individual of the sponsoring firm.

2. Reason for cessation (check one):

Item 5 — Details about the cessation

Complete Item 5 except if the individual is deceased. In the space below:

•  state the reason(s) for the cessation and

•  provide details if the answer to any of the following questions is "Yes".

[For NRD format only:]

[ ] This information will be disclosed within 30 days of the cessation date

[ ] Not applicable: individual is deceased

Answer the following questions to the best of the firm's knowledge:

In the past 12 months:

Reasons/Details: ...........................................................................................................................

Item 6

Repealed. [B.C. Reg. 121/2011, Sch. B, s. 14 (f).]

Items 7 and 8

Repealed. [B.C. Reg. 126/2022, Sch. 2, s. 10 (k).]

Schedule A

Repealed. [B.C. Reg. 121/2011, Sch. B, s. 14 (f).]

Form 33-109F2

[am. B.C. Regs. 121/2011, Sch. B, s. 15; 238/2014, App. C, s. 10; 209/2017, s. 4; 126/2022, Sch. 2, s. 11.]

Change or Surrender of Individual Categories

(section 2.2 (2), 2.4, 2.6 (2) or 4.1 (4))

WARNING — It is an offence to knowingly give false or misleading information to the regulator or the securities regulatory authority.

CERTIFICATION

Individual

I, the individual, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where I am submitting this form and to any applicable self-regulatory organization (SRO) that

•  I have read this form and understand all matters within this form, including the questions,

•  I have discussed this form with a branch manager, supervisor, officer or partner of my sponsoring firm and that to the best of my knowledge, the branch manager, supervisor, officer or partner is satisfied that I understand all matters within this form, including the questions,

•  to the best of my knowledge and after reasonable inquiry, all of the information provided on this form is true and complete, and

•  if applicable, I will limit my activities to those allowed by my category of registration and any SRO approval.

I consent to and authorize the collection, directly and indirectly, of personal information by each regulator, securities regulatory authority and SRO and to the use of my personal information as set out in item 6.

Firm

I, on behalf of the firm, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where the firm is submitting this form and to any applicable SRO that

•  the individual identified in this form will be engaged by the sponsoring firm as a registered individual or a permitted individual, and

•  I have, or a branch manager, supervisor, officer or partner has, discussed this form with the individual. To the best of my knowledge, the individual understands all matters within this form, including the questions.

NRD format:

[ ]  I, the authorized firm representative, am making this submission under authority delegated by the firm and the individual identified in this form. By checking this box, I certify that

(a) the firm provided me with all of the information on this form and makes the firm certification above,

(b) the individual provided the firm with all of the information on this form and makes the individual certification above, and

(c) the individual provided the above consent and authorization for the collection and use of the individual's personal information.

Non-NRD format:

Individual

By signing below, I, the individual, make the above individual certification and provide my consent and authorization for the collection, directly and indirectly, and use of my personal information.

Signature of individual ..........................................................

Date signed .......................................

(YYYY/MM/DD)

Firm

By signing below, I, on behalf of the firm, make the firm certification above.

Name of firm ................................................................................................................

Name of authorized signing officer or partner ...............................................................................

Title of authorized signing officer or partner .................................................................................

Signature of authorized signing officer or partner .........................................................................

Date signed .......................................

(YYYY/MM/DD)

General instructions

Complete and submit this form to notify the relevant regulator(s) or, in Québec, the securities regulatory authority, or self-regulatory organization (SRO) that a registered individual or permitted individual seeks to add and/or remove individual registration categories or permitted activities or provide notice of other changes to the information on Schedule C of Form 33-109F4.

Terms

In this form, "you", "your" and "individual" mean the registered individual or permitted individual who is seeking to add and/or remove registration categories or permitted activities.

How to submit this form

Submit this form at the National Registration Database (NRD) website in NRD format at www.nrd.ca.

If you are relying on the temporary hardship exemption in section 5.1 of National Instrument 31-102 National Registration Database, you may submit this form in a format other than NRD format.

Item 1 — Individual

Name of individual .........................................................................................

NRD number of individual .............................................................................

Item 2 — Registration jurisdictions

1. Are you filing this form under the passport system / interface for registration?

Choose "No" if you are registered in

(a) only one jurisdiction of Canada,

(b) more than one jurisdiction of Canada and you are requesting a surrender in a non-principal jurisdiction or jurisdictions, but not in your principal jurisdiction, or

(c) more than one jurisdiction of Canada and you are requesting a change only in your principal jurisdiction.

Yes [  ] No [  ]

Item 3 — Removing categories

What categories are you seeking to remove?

.......................................................................................................................................................

Item 4 — Adding categories

1. Categories

What categories are you seeking to add?

.......................................................................................................................................

2. Professional liability insurance
(Québec mutual fund dealers and Québec scholarship plan dealers)

If you are seeking registration as a representative of a mutual fund dealer or of a scholarship plan dealer in Québec, are you covered by your sponsoring firm's professional liability insurance?

Yes [  ] No [  ]

If "No", state:

The name of your insurer ...............................................................................................

Your policy number .......................................................................................................

3. Relevant securities experience

Do you have securities experience?

Yes [ ] No [ ] N/A [ ]

If you are an individual applying for IIROC approval, select "N/A".

If "Yes", complete Schedule A.

Item 5 — Reason for surrender

If you are seeking to remove a registration category or permitted activity, state the reason for the surrender in the local jurisdiction.

.......................................................................................................................................................

Item 6 — Notice and consent for collection and use of personal information

1. Notice of collection and use of personal information

Your personal information is collected by, or on behalf of, each securities regulatory authority and SRO set out in Schedule B. Any of the securities regulatory authorities or SROs set out in Schedule B may contact governmental or regulatory authorities, private bodies or agencies, individuals, corporations, employers, and other organizations, in Canada and in other countries, for information about you.

This personal information is being collected under the authority of the applicable securities legislation, derivatives legislation (including commodity futures legislation) or both of the securities regulatory authorities and under the SRO rules of an SRO set out in Schedule B. The collection, use and disclosure are done in accordance with applicable freedom of information and privacy legislation.

The principal purpose of this collection by the securities regulatory authorities is to administer, enforce, carry out their duties or exercise their powers under their respective securities legislation, derivatives legislation (including commodity futures legislation) or both, and by the SROs to administer and enforce the rules of the SROs.

The information submitted by you on this form with your consent, or collected indirectly with your authorization, may be collected

•  at any time during your registration or while you are a permitted individual, or

•  at the time the regulator or, in Québec, the securities regulatory authority, or the SRO is informed by your sponsoring firm that you no longer have authority to act on behalf of the sponsoring firm or are not a permitted individual of the sponsoring firm.

If you have any questions about the collection, use and disclosure of this information, contact the securities regulatory authority or SRO in any jurisdiction in which the required information is submitted. See Schedule B for details.

Certain information, such as your name(s) (including aliases, trade names or some past names), your sponsoring firm, and other relevant registration information, will be listed in a publicly available registry of registered individuals and, if applicable, on the Disciplined List.

Certain securities regulatory authorities may provide to or receive from certain entities information under separate provisions of their securities legislation or derivatives legislation (including commodity futures legislation) or both, and SROs may provide or receive information under the rules of the SROs. This consent and notice does not limit the authority, powers, obligations, or rights conferred on any of the securities regulatory authorities by legislation or regulations in effect in their jurisdiction.

2. Consent to collect and use personal information

By submitting this form, you consent to and authorize the collection, directly and indirectly, of personal information by each securities regulatory authority and SRO and to the use of your personal information as set out above.

The personal information that each securities regulatory authority or SRO collects includes the following:

•  the personal information provided in this form;

•  the personal information provided by your sponsoring firm;

•  registration or financial services licensing information;

•  law enforcement records, including police records;

•  credit records;

•  bankruptcy or other insolvency records;

•  employment records and information received from an employer;

•  records and information received from entities you had or have an independent contractor or agency relationship with;

•  personal information available online;

•  records from governmental or regulatory authorities, SROs or professional bodies;

•  records of, and used in, court proceedings, including probation records.

Item 7 and 8

Repealed. [B.C. Reg. 126/2022, Sch. 2, s. 11 (d) and (e).]

Schedule A

Relevant Securities Experience (Item 4)

Instructions:

•  Some registration categories require a specified amount of experience to have been obtained within specified timeframes. Please see National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations or the relevant SRO rules for more information.

•  If you are applying to be an advising representative or an associate advising representative, or with IIROC as a portfolio manager, associate portfolio manager, or supervisor designated to be responsible for the supervision of managed accounts, provide details of the activities you performed for each position in which you gained relevant investment management experience. Such details may include the level of responsibility; value of accounts under direct supervision; number of years of experience in performing securities research and analysis for the purpose of portfolio securities selection, portfolio construction and analysis; type of experience in performing client relationship management; number of years of experience collecting know-your-client information; or number of years of experience conducting suitability assessments.

•  If you are applying as an advising representative limited to client relationship management, indicate this by including the following statement: "Individual seeking registration as CRM AR".

•  For all other categories, provide details of activities that you performed for each position in which you gained relevant securities industry experience.

1. If you are applying

•  to be an advising representative or an associate advising representative of a portfolio manager, describe the relevant investment management experience that you have gained, or

•  for any other category, describe the relevant securities industry experience that you have gained.

For each position in which you gained relevant experience, provide the following information:

(a) the name of the firm or entity with which you gained this experience;

(b) your title;

(c) the start and end dates of this position;

(d) the details of the activities you performed that are relevant for the category of registration that you are applying for;

(e) the percentage of your time in this position that was spent on activities relating to the experience.

.......................................................................................................................................

.......................................................................................................................................

.......................................................................................................................................

2. Indicate the continuing education activities in which you have participated during the last 36 months and that are relevant to the category of registration you are applying for:

.......................................................................................................................................

.......................................................................................................................................

.......................................................................................................................................

Schedule B

Contact Information for Notice and Consent for Collection and Use of Personal Information

Form 33-109F3

[am. B.C. Regs. 121/2011, Sch. B, s. 16; 238/2014, App. C, s. 11; 209/2017, s. 5; 126/2022, Sch. 2, s. 12.]

Business Locations Other Than Head Office

(section 3.2)

WARNING — It is an offence to knowingly give false or misleading information to the regulator or the securities regulatory authority.

CERTIFICATION

I, on behalf of the firm, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where the firm is submitting this form and to any applicable self-regulatory authority (SRO) that

•  I have read this form and understand all matters within this form, including the questions,

•  if the business location specified in this form is a residence, the individual conducting business from that business location has completed a Form 33-109F4 Registration of Individuals and Review of Permitted Individuals, and

•  to the best of my knowledge and after reasonable inquiry, all of the information provided on this form is true and complete.

NRD format:

[ ]  I, the authorized firm representative, am making this submission under authority delegated by the firm.

[ ]  By checking this box, I, the authorized firm representative, certify that

(a) the firm provided me with all of the information on this form, and

(b) the firm makes the certification above.

Non-NRD format:

By signing below, I, on behalf of the firm, make the certification above.

Name of firm .................................................................................................................................

Name of authorized signing officer or partner ...............................................................................

Title of authorized signing officer or partner .................................................................................

Signature of authorized signing officer or partner .........................................................................

Date signed .......................................

(YYYY/MM/DD)

General instructions

Complete and submit this form to notify the relevant regulator(s) or, in Québec, the securities regulatory authority, or self-regulatory organization (SRO) that a business location has opened or closed, or information about a business location has changed.

Check one of the following and complete the entire form:

[  ] Opening this business location

[  ] Closing this business location

[  ] Change to the information previously submitted about this business location. Clearly specify the information that has changed.

How to submit this form

Submit this form at the National Registration Database (NRD) website in NRD format at www.nrd.ca.

If you are relying on the temporary hardship exemption in section 5.1 of National Instrument 31-102 National Registration Database, you may complete and submit this form in a format other than NRD format.

Item 1 — Type of business location

Branch or business location [  ]

Sub-branch (Mutual Fund Dealers Association of Canada members only) [  ]

Item 2 — Supervisor or branch manager

Name of designated supervisor or branch manager ........................................................................

NRD number of the designated supervisor or branch manager ......................................................

Item 3 — Business location information

Business location address ..............................................................................................................

(a post office box is not a valid business location address)

Mailing address (if different from business location address) ........................................................

Telephone number (.....) ...............................

Fax number (.....) ...............................

E-mail address .............................................

Notice regarding a business location that is a residence

For the administration of securities legislation or derivatives legislation, including commodity futures legislation, or both, the regulator or, in Québec, the securities regulatory authority may require access to the business location to review the books, records and documents of the registered firm. If applicable, the SRO may also require access to the business location for the administration of the rules of the SRO.

If the business location specified in this form is a residence, the regulator, securities regulatory authority or SRO may request consent to enter the residence.

If consent is not provided, it may affect the ability of the regulator, securities regulatory authority or SRO to access the books, records or documents of a registered firm and to determine whether securities legislation, derivatives legislation (including commodity futures legislation) or the rules of the SRO are being complied with. As a result, the regulator, securities regulatory authority or SRO may take action if it is unable to access and review the books, records or documents of a registered firm held at the business location.

Items 4 to 6

Repealed. [B.C. Reg. 126/2022, Sch. 2, s. 12 (c) to (e).]

Schedule A

Repealed. [B.C. Reg. 126/2022, Sch. 2, s. 12 (f).]

Form 33-109F4

[am. B.C. Regs. 167/2010; 121/2011, Sch. B, s. 17; 238/2014, App. C, s. 12; 209/2017, ss. 6 and 7; 126/2022, Sch. 2, s. 13.]

Registration of Individuals and Review
of Permitted Individuals

(section 2.2)

WARNING — It is an offence to knowingly give false or misleading information to the regulator or the securities regulatory authority.

CERTIFICATION

Individual

I, the individual, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where I am submitting this form and to any applicable self-regulatory organization (SRO) that

•  I have read this form and understand all matters within this form, including the questions and, for greater certainty, if the business location is a residence, the notice in Item 9,

•  I have discussed this form with a branch manager, supervisor, officer or partner of my sponsoring firm and that to the best of my knowledge, the branch manager, supervisor, officer or partner is satisfied that I understand all matters within this form, including the questions,

•  to the best of my knowledge and after reasonable inquiry, all of the information provided on this form is true and complete, and

•  if applicable, I will limit my activities to those allowed by my category of registration and any SRO approval.

I consent to and authorize the collection, directly and indirectly, of personal information by each regulator, securities regulatory authority and SRO and to the use of my personal information as set out in Item 20.

Firm

I, on behalf of the firm, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where the firm is submitting this form and to any applicable SRO that

•  the individual identified in this form will be engaged by the sponsoring firm as a registered individual or a permitted individual, and

•  I have, or a branch manager, supervisor, officer or partner has, discussed this form with the individual. To the best of my knowledge, the individual understands all matters within this form, including the questions.

NRD format:

[ ]  I, the authorized firm representative, am making this submission under authority delegated by the firm and the individual identified in this form. By checking this box, I certify that

(a) the firm provided me with all of the information on this form and makes the firm certification above,

(b) the individual provided the firm with all of the information on this form and makes the individual certification above, and

(c) the individual provided the above consent and authorization for the collection and use of the individual's personal information.

Non-NRD format:

Individual

By signing below, I, the individual, make the above individual certification and provide my consent and authorization for the collection, directly and indirectly, and use of my personal information.

Signature of individual ..........................................................

Date signed .......................................

(YYYY/MM/DD)

Firm

By signing below, I, on behalf of the firm, make the firm certification above.

Name of firm .................................................................................................................................

Name of authorized signing officer or partner ...............................................................................

Title of authorized signing officer or partner .................................................................................

Signature of authorized signing officer or partner .........................................................................

Date signed .......................................

(YYYY/MM/DD)

General instructions

Complete and submit this form to the relevant regulator(s) or, in Québec, the securities regulatory authority, or self-regulatory organization (SRO) if an individual is seeking

• registration in individual categories, or

• to be reviewed as a permitted individual.

You are only required to submit one form even if you are applying to be registered in several categories. This form is also used if you are seeking to be reviewed as a permitted individual. A post office box is not acceptable as a valid business location address.

Terms

In this form:

"Approved person" means, in respect of a member (Member) of the Investment Industry Regulatory Organization of Canada (IIROC), an individual who is a partner, director, officer, employee or agent of a Member who is approved by IIROC or another Canadian SRO to perform any function required under any IIROC or other Canadian SRO by-law, rule, or policy;

"Canadian Investment Manager designation" means the designation earned through the Canadian investment manager program prepared and administered by CSI Global Education Inc. and so named on the day this Instrument comes into force, and every program that preceded that program, or succeeded that program, that does not have a significantly reduced scope and content when compared to the scope and content of the first-mentioned program;

"CFA Charter" means the charter earned through the Chartered Financial Analyst program prepared and administered by the CFA Institute and so named on the day this Instrument comes into force, and every program that preceded that program, or succeeded that program, that does not have a significantly reduced scope and content when compared to the scope and content of the first-mentioned program;

"Derivatives" means financial instruments, such as futures contracts (including exchange traded contracts), futures options and swaps whose market price, value or payment obligations are derived from, or based on, one or more underlying interests. Derivatives can be in the form of instruments, agreements or securities;

"Major shareholder" and "shareholder" mean a shareholder who, in total, directly or indirectly owns voting securities carrying 10 per cent or more of the votes carried by all outstanding voting securities;

"Sponsoring firm" means the registered firm where you will carry out your duties as a registered or permitted individual; and

"You", "your" and "individual" mean the individual who is seeking registration or the individual who is filing this form as a permitted individual under securities legislation or derivatives legislation or both.

How to submit this form

NRD format

Submit this form at the National Registration Database (NRD) website in NRD format at www.nrd.ca. If you have any questions, contact the compliance, registration or legal department of the sponsoring firm or a legal adviser with securities law experience, or visit the NRD information website at www.nrd-info.ca.

Format other than NRD format

If you are relying on the temporary hardship exemption in section 5.1 of National Instrument 31-102 National Registration Database, you may submit this form in a format other than NRD format.

If you need more space, use a separate sheet of paper. Clearly identify the item and question number. Complete and sign the form, and send it to the relevant regulator(s) or, in Québec, the securities regulatory authority, SRO(s) or similar authority. The number of originally signed copies of the form you are required to submit depends on the province or territory, and on the regulator, the securities regulatory authority or SRO.

To avoid delays in processing this form, be sure to answer all of the questions that apply to you. If you have questions, contact the compliance, registration or legal department of the sponsoring firm or a legal adviser with securities law experience, or visit the NRD information website at www.nrd-info.ca.

Item 1 — Name

1. Legal name

NRD number (if applicable) .....................................

2. Other personal names

Are you currently, or have you ever been, known by any names other than your full legal name above, for example, nicknames or names due to marriage?

Yes [  ] No [  ]

If "Yes", complete Schedule A.

3. Use of other names

Are you currently, or have you ever used, operated under, or carried on business under any name other than the name(s) mentioned above, for example, trade names for sole proprietorships or team names?

Yes [  ] No [  ]

If "Yes", complete Schedule A.

Item 2 — Residential address

Provide all of your residential addresses, including any foreign residential addresses, for the past 10 years.

1. Current and previous residential addresses

......................................................................................................................................
(number, street, city, province, territory or state, country, postal code)

Telephone number ........................................

Lived at this address since (YYYY/MM) ........................................

If you have lived at this address for less than 10 years, complete Schedule B.

2. Mailing address

[  ] Check here if your mailing address is the same as your current residential address provided above. Otherwise, complete the following:

......................................................................................................................................
(number, street, city, province, territory or state, country, postal code)

3. Business e-mail address

.....................................................................................

Item 3 — Personal information

1. Date of birth ........................................

(YYYY/MM/DD)

2. Place of birth ............................................... (city, province, territory or state, country)

3. Gender Female [  ] Male [  ]

4. Eye colour........................

5. Hair colour.......................

6. Height .......... [  ] in. or .......... [  ] cm

7. Weight .......... [  ] lbs. or .......... [  ] kg

Item 4 — Citizenship

1. Citizenship information

What is your country of citizenship?

[  ] Canada

[  ] Other, specify: ......................................................

2. If you are a citizen of a country other than Canada, complete the following for that citizenship.

[  ] Check here if you do not have a valid passport. Otherwise, provide:

Passport number: .............................................

Date of issue: ................................................... (YYYY/MM/DD)

Place of issue: .................................................................. (city, province, territory or state, country)

Item 5 — Registration jurisdictions

1. Are you filing this form under the passport system / interface for registration?

Only choose "No" if:

(a) you are seeking registration only in your principal jurisdiction,

(b) you are seeking review as a permitted individual

and you are not currently registered under securities legislation in any jurisdiction of Canada.

Yes [  ] No [  ]

2. Check each jurisdiction where you are seeking registration or, if you are seeking review as a permitted individual, check each jurisdiction where your sponsoring firm is registered:

[  ] All jurisdictions

[  ] Alberta

[  ] British Columbia

[  ] Manitoba

[  ] New Brunswick

[  ] Newfoundland and Labrador

[  ] Northwest Territories

[  ] Nova Scotia

[  ] Nunavut

[  ] Ontario

[  ] Prince Edward Island

[  ] Québec

[  ] Saskatchewan

[  ] Yukon

Item 6 — Individual categories

1. On Schedule C, check each category for which you are seeking registration as an individual or review as a permitted individual. If you are seeking review as a permitted individual, check each category that describes your position with your sponsoring firm.

2. If you are seeking registration as a representative of a mutual fund dealer or of a scholarship plan dealer in Québec, are you covered by your sponsoring firm's professional liability insurance?

Yes [  ] No [  ]

If "No", state:

The name of your insurer ............................................................................................

Your policy number ...................................................

Item 7 — Address and agent for service

1. Address for service

You must have one address for service in each province or territory where you are submitting this form. A residential address or a business address is acceptable. 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, if applicable ..............................................

Business e-mail address ............................................................................................

2. Agent for service

If you have appointed an agent for service, provide the following information for the agent in each province or territory where you have an agent for service. The address of your agent for service must be the same as the address for service above. If your agent for service is not an individual, provide the name of your contact person.

Name of agent for service: ................................................................

Contact person: .................................................................................
Last name, First name

Item 8 — Proficiency

1. Course, examination or designation information and other education

Complete Schedule E to state each course, examination and designation that

•  is required for the registration categories or SRO approval categories you are applying for, and

•  you have successfully completed or, if you are an IIROC applicant, have been exempted from.

[  ] Check here if you are not required under securities legislation or derivatives legislation (including commodity futures legislation), or the rules of an SRO, to satisfy any course, examination or designation requirements.

2. Student numbers

If you have a student number for a course that you successfully completed with one of the following organizations, provide it below:

CSI Global Education: ......................................................................

IFSE Institute: ...................................................................................

Institute of Canadian Bankers (ICB): ...............................................

CFA Institute: ...................................................................................

Advocis: ............................................................................................

RESP Dealers Association of Canada: ..........................................................................

Other: ............................................................................................................................

3. Exemption refusal

Has any securities regulator, derivatives regulator or SRO refused to grant you an exemption from a course, examination, designation or experience requirement?

Yes [  ] No [  ]

If "Yes", complete Schedule F.

4. Relevant securities experience

If you are an individual applying for IIROC approval, select "N/A".

Do you have relevant securities experience?

Yes [  ] No [  ] N/A [  ]

If "Yes", complete Schedule F.

Item 9 — Location of employment

1. Provide the following information for your new sponsoring firm. If you will be working out of more than one business location, provide the following information for the business location out of which you will be doing most of your business. If you are only filing this form because you are a permitted individual and you are not employed by, or acting as agent for, the sponsoring firm, select "N/A".

NRD location number: ....................................................................................

Unique Identification Number (optional): .......................................................

Business location address: .............................................................................................

(number, street, city, province, territory or state, country, postal code)

Telephone number: (.....) ................................

Fax number: (.....) ..........................................

N/A [  ]

2. If the firm has a foreign head office, and/or you are not a resident of Canada, provide the address for the business location in which you will be conducting most of your business. If you are only filing this form because you are a permitted individual and you are not employed by, or acting as agent for, the sponsoring firm, select "N/A".

Business location address: .............................................................................................

(number, street, city, province, territory or state, country, postal code)

Telephone number: (.....) ..............................

Fax number: (.....) .........................................

N/A [  ]

[The following under #3 "Type of business location", #4 and #5 is for a Format other than NRD format only]

3. Type of business location:

[  ] Head office

[  ] Branch or business location

[  ] Sub-branch (members of the Mutual Fund Dealers Association of Canada only)

4. Name of supervisor or branch manager: ........................................................................

5. [  ] Check here if the mailing address of the business location is the same as the business location address provided above. Otherwise, complete the following:

Mailing address: ...........................................................................................................

(number, street, city, province, territory or state, country, postal code)

6. Notice regarding a business location that is a residence

For the administration of securities legislation or derivatives legislation, including commodity futures legislation, or both, the regulator or, in Québec, the securities regulatory authority may require access to the business location to review the books, records and documents of the registered firm. If applicable, the SRO may also require access to the business location for the administration of the rules of the SRO.

If the business location specified in this form is a residence, the regulator, securities regulatory authority or SRO may request consent to enter the residence.

If consent is not provided, it may affect the ability of the regulator, securities regulatory authority or SRO to access the books, records or documents of a registered firm and to determine whether securities legislation, derivatives legislation (including commodity futures legislation) or the rules of the SRO are being complied with. As a result, the regulator, securities regulatory authority or SRO may take action if it is unable to access and review the books, records or documents of a registered firm held at the business location.

Item 10 — Reportable activities

1. Activities with your sponsoring firm

Instructions: Describe all of your roles and responsibilities with your sponsoring firm, whether these roles and responsibilities are securities-related or not (e.g., sale of securities, review of marketing materials, IT help desk, negotiation of employment contracts, sales of banking and insurance products and services). Include any other information about your position with your sponsoring firm that is relevant for the regulator or, in Québec, the securities regulatory authority to know (e.g., if your role is specialized). For example, if you are applying as an advising representative limited to client relationship management, indicate this by including the following statement in Schedule G: "Individual is seeking registration as CRM AR."

Complete a Schedule G with respect to your roles and responsibilities with your sponsoring firm.

2. Reportable outside activities

Instructions: Consider all of the activities that you participate in outside of your sponsoring firm, whether or not you receive compensation for such activities and whether or not any such activity is business-related. Activities performed for an affiliated entity are considered activities outside of your sponsoring firm. If any of the categories below describes one or more activities that you participate in, complete a separate Schedule G for each activity or entity. If multiple activities are performed for one entity, complete a single Schedule G identifying all the activities performed.

Uncompensated activities that do not fall within Categories 1 to 5 (i.e., generally activities that do not involve securities or financial services and are not a position of influence, such as being a little league soccer coach) are not reportable.

Category 1 — Activities with another registered firm

Instructions: Report activities with registered firms, other than your sponsoring firm. All activities in this category are reportable, whether or not you receive compensation for such activities. Major shareholder means a shareholder who, in total, directly or indirectly owns voting securities carrying 10 percent or more of the votes carried by all outstanding voting securities.

If you are a director, officer, employee, contractor, consultant, agent or service provider of a registered firm other than your sponsoring firm, or are in any other equivalent position with or for that registered firm, or are a major shareholder or partner of that registered firm, complete a separate Schedule G for the registered firm.

Category 2 — Activities with an entity that receives compensation from a registered firm

If you are a director, officer, employee, contractor, consultant or agent of a specified entity, or are in any other equivalent position with or for a specified entity, or are a shareholder or partner of a specified entity, complete a separate Schedule G for the specified entity.

For the purposes of this category, "specified entity" means an entity that receives compensation from a registered firm for activities that you provide for your sponsoring firm or another registered firm.

Category 3 — Other securities-related activities

Instructions: All activities in this category are reportable, whether or not you receive compensation for such activities. Charitable or other fundraising activities that do not involve the issuance of securities or derivatives are not reportable.

If you have been at any time in the last 7 years directly involved in raising money for an entity through the issuance of securities or derivatives or promoting the sale of an entity's securities or derivatives outside of your activities with your sponsoring firm or another registered firm, complete a separate Schedule G for each entity for which you performed these activities.

Directors and officers of reporting issuers and of entities that have been at any time in the last 7 years raising money through the issuance of securities or derivatives are considered to be directly involved in raising money for that entity.

Category 4 — Provision of financial or finance-related services

Instructions: All activities in this category are reportable, whether or not you receive compensation for such activities. For example, volunteer activities pertaining to your securities or financial services knowledge must be reported under this category. Also report if you are the owner or management of an entity that provides these services. Major shareholder means a shareholder who, in total, directly or indirectly owns voting securities carrying 10% or more of the votes carried by all outstanding voting securities.

Complete a separate Schedule G for each activity, as applicable, if you

•  sell or negotiate insurance, including being an insurance broker or agent,

•  provide loan or deposit or other banking products and services,

•  carry on a money service business, including exchanging one type of currency for another, transferring money from one person to another, or issuing or redeeming money orders, traveller's cheques or anything similar,

•  facilitate or administer mortgages, including acting as a mortgage broker, agent or administrator,

•  prepare tax returns or provide tax advice,

•  help create programs for persons to meet their long-term financial goals, including providing financial planning (including estate planning) or financial advice,

•  provide corporate finance services, including services provided in the capacity of a comptroller, treasurer and chief financial officer,

•  advise persons under financial stress on credit/debt restructuring,

•  are a pension consultant,

•  provide advice on mergers and acquisitions,

•  provide accounting or bookkeeping services,

•  provide oversight or independent review or expert opinion on the management of an entity's financial assets,

•  lend money or accept deposits of money (e.g., alternative financing, non-bank financial institution), or

•  provide other financial or finance-related services not identified above.

Also complete a separate Schedule G for each activity, as applicable, if you are a director or officer, or are in any other equivalent position with or for, or are a major shareholder or active partner of, an entity that provides one or more of the services in the above list.

Category 5 — Positions of influence

Instructions: All positions of influence (e.g., medical doctor, leader in a religious organization) are reportable, whether or not you receive compensation for such activities. Guidance: see also section 13.4.3 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Complete a separate Schedule G for each position of influence that you are in.

Item 11 — Previous employment and other activities

On Schedule H, complete your history of employment and other activities for the past 10 years.

Item 12 — Resignations and terminations

Instructions: Disclose all allegations against you that existed at the time of your resignation or termination. The allegation does not need to be the reason for or cause of your resignation or termination. Sales targets are not considered a standard of conduct of a sponsoring firm.

Have you ever resigned or been terminated from a position or contract when, at the time of your resignation or termination, there existed an allegation that you:

1. Contravened any statutes, regulations, orders of a court or regulatory body, rules or bylaws or failed to meet any standard of conduct of a sponsoring firm or of any professional body?

Yes [  ] No [  ]

If "Yes", complete Schedule I, Item 12.1.

2. Failed to appropriately supervise compliance with any statutes, regulations, orders of a court or regulatory body, rules or bylaws or with any standard of conduct of a sponsoring firm or of any professional body?

Yes [  ] No [  ]

If "Yes", complete Schedule I, Item 12.2.

3. Committed fraud or the wrongful taking of property, including theft?

Yes [  ] No [  ]

If "Yes", complete Schedule I, Item 12.3.

Item 13 — Regulatory disclosure

The questions below relate to any jurisdiction of Canada and any foreign jurisdiction.

1. Securities and derivatives regulation

(a) Other than a registration or permitted individual status that has been recorded under this NRD number, are you now, or have you ever been, registered or licensed with any securities regulator or derivatives regulator or both to trade in or advise on securities or derivatives or both?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.1 (a).

(b) Have you ever been refused registration or a licence to trade in or advise on securities or derivatives or both?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.1 (b).

(c) Have you ever been denied the benefit of any exemption from registration provided in any securities or derivatives or both legislation or rules, other than what was disclosed in Item 8.3 of this form?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.1 (c).

(d) Are you now, or have you ever been subject to any disciplinary proceedings or any order resulting from disciplinary proceedings under any securities legislation or derivatives legislation or both?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.1 (d).

2. SRO regulation

(a) Other than an approval that has been recorded under this NRD number, are you now, or have you ever been, an approved person of an SRO or similar organization?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.2 (a).

(b) Have you ever been refused approved person status by an SRO or similar organization?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.2 (b).

(c) Are you now, or have you ever been, subject to any disciplinary proceedings conducted by any SRO or similar organization?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.2 (c).

3. Non-securities regulation

Instructions: Only disclose registration or licences to deal with the public in any capacity.

(a) Are you now, or have you ever 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 derivatives or both (e.g. insurance, real estate, accountant, lawyer, teacher, medical doctor, mortgage broker or agent)?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.3 (a).

(b) Have you ever been refused registration or a licence under any legislation relating to your activities unrelated to securities or derivatives?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.3 (b).

(c) Are you now, or have you ever been, a subject of any disciplinary actions conducted under any legislation relating to your activities unrelated to securities or derivatives?

Yes [  ] No [  ]

If "Yes", complete Schedule J, Item 13.3 (c).

Item 14 — Criminal disclosure

You must disclose all offences, including:

•  a criminal offence under the laws of Canada such as the Criminal Code (Canada), the Income Tax Act (Canada), the Competition Act (Canada), the Immigration and Refugee Protection Act (Canada) and the Controlled Drugs and Substances Act (Canada), even if

•  a record suspension has been ordered under the Criminal Records Act (Canada), or

•  you have been granted an absolute or conditional discharge under the Criminal Code (Canada),

•  a criminal offence under the laws of any foreign jurisdiction such as U.S. federal and state criminal offences, and

•  a criminal offence, with respect to questions 14.2 and 14.4,

•  of which you or any entity when you were a partner, director, officer or major shareholder of that entity has been found guilty, or

•  for which you or any entity when you were a partner, director, officer or major shareholder of that entity has participated in the Alternative Measures Program, a diversion program, or any alternative resolution program within the previous 3 years, even if a record suspension has been ordered under the Criminal Records Act (Canada).

You are not required to disclose:

•  charges for summary conviction offences that have been stayed for six months or more,

•  charges for indictable offences that have been stayed for a year or more,

•  offences under the Youth Criminal Justice Act (Canada), and

•  speeding or parking violations.

Subject to the exceptions above:

1. Are there any outstanding or stayed charges against you alleging a criminal offence that was committed?

Yes [  ] No [  ]

If "Yes", complete Schedule K, Item 14.1.

2. Have you ever been found guilty, pleaded no contest to, or been granted an absolute or conditional discharge from any criminal offence that was committed?

Yes [  ] No [  ]

If "Yes", complete Schedule K, Item 14.2.

3. To the best of your knowledge, are there any outstanding or stayed charges against any entity of which you were, at the time the criminal offence was alleged to have taken place, a partner, director, officer or major shareholder?

Yes [  ] No [  ]

If "Yes", complete Schedule K, Item 14.3.

4. To the best of your knowledge, has any entity, when you were a partner, officer, director or major shareholder, ever been found guilty, pleaded no contest to or been granted an absolute or conditional discharge from a criminal offence that was committed?

Yes [  ] No [  ]

If "Yes", complete Schedule K, Item 14.4.

Item 15 — Civil disclosure

The questions below relate to any jurisdiction of Canada and any foreign jurisdiction.

1. Are there currently any outstanding civil actions alleging fraud, theft, deceit, misrepresentation or similar misconduct against you or an entity where you are or were a partner, director, officer or major shareholder?

Yes [  ] No [  ]

If "Yes", complete Schedule L, Item 15.1.

2. Have you or an entity where you are or were a partner, director, officer or major shareholder ever been a defendant or respondent in any civil proceeding in which fraud, theft, deceit, misrepresentation or similar misconduct is, or was, successfully established in a judgment?

Yes [  ] No [  ]

If "Yes", complete Schedule L, Item 15.2.

Item 16 — Financial disclosure

1. Bankruptcies, insolvencies, consumer proposals and creditor arrangements

Instructions: You must provide the following information no matter when the event occurred (even if it was longer than 7 years ago).

The information is required to be reported even if you or the entity has been discharged or released from bankruptcy.

Under the laws of any jurisdiction of Canada or any foreign jurisdiction, have any of the following events ever occurred to you or to any entity when you were a partner, director, officer or major shareholder of the entity:

(a) had a petition in bankruptcy issued or made a voluntary assignment into bankruptcy or any similar proceeding (no matter when it occurred, even if it was longer than 7 years ago, and even if you or the entity have been discharged or released from bankruptcy)?

Yes [  ] No [  ]

If "Yes", complete Schedule M, Item 16.1 (a).

(b) a proposal, including a consumer proposal, under any legislation relating to bankruptcy or insolvency or any similar proceeding?

Yes [  ] No [  ]

If "Yes", complete Schedule M, Item 16.1 (b).

(c) proceedings under any legislation relating to the winding up or dissolution of the entity, or under the Companies' Creditors Arrangement Act (Canada)?

Yes [  ] No [  ]

If "Yes", complete Schedule M, Item 16.1 (c).

(d) any proceedings, arrangement or compromise with creditors?

Yes [  ] No [  ]

If "Yes", complete Schedule M, Item 16.1 (d).

2. Debt obligations

During the past 10 years

•  have you failed to meet a financial obligation of $10,000 or more as it came due, or

•  to the best of your knowledge, has any entity, while you were a partner, director, officer or major shareholder of that entity, failed to meet any financial obligation of $10,000 or more as it came due?

Yes [  ] No [  ]

If "Yes", complete Schedule M, Item 16.2.

3. Surety bond or fidelity bond

Have you ever been refused for a surety or fidelity bond?

Yes [  ] No [  ]

If "Yes", complete Schedule M, Item 16.3.

4. Garnishments, seizure in the hands of third persons, unsatisfied judgments or directions to pay

Has any governmental or regulatory authority or court, in any jurisdiction, ever issued any of the following

•  against you regarding your indebtedness, or

•  to the best of your knowledge, against an entity regarding the entity's indebtedness incurred at the time you were a partner, director, officer or major shareholder of the entity:

If "Yes", complete Schedule M, Item 16.4.

Item 17 — Ownership of securities and derivatives firms

Are you now, or have you ever been, a partner or major shareholder of any firm (including your sponsoring firm) whose business is trading in or advising on securities or derivatives or both?

Yes [  ] No [  ]

If "Yes", complete Schedule N.

Item 18 — Agent for service

By submitting this form, you certify that in each jurisdiction of Canada where you have appointed an agent for service, you have completed the appointment of agent for service required in that jurisdiction.

Item 19 — Submission to jurisdiction

By submitting this form, you agree to be subject to the securities legislation or derivatives legislation or both of each jurisdiction of Canada, and to the by-laws, regulations, rules, rulings and policies (collectively referred to as "rules" in this form) of the SROs to which you have submitted this form. This includes the jurisdiction of any tribunals or any proceedings that relate to your activities as a registrant or a partner, director or officer of a registrant under that securities legislation or derivatives legislation or both or as an Approved Person under SRO rules.

Item 20 — Notice and consent for collection and use of personal information

1. Notice of collection and use of personal information

Your personal information is collected by, or on behalf of, each securities regulatory authority and SRO set out in Schedule O. Any of the securities regulatory authorities or SROs set out in Schedule O may contact governmental or regulatory authorities, private bodies or agencies, individuals, corporations, employers, and other organizations, in Canada and in other countries, for information about you.

This personal information is being collected under the authority of the applicable securities legislation, derivatives legislation (including commodity futures legislation) or both of the securities regulatory authorities and under the SRO rules of an SRO set out in Schedule O. The collection, use and disclosure are done in accordance with applicable freedom of information and privacy legislation.

The principal purpose of this collection by the securities regulatory authorities is to administer, enforce, carry out their duties or exercise their powers under their respective securities legislation, derivatives legislation (including commodity futures legislation) or both, and by the SROs to administer and enforce the rules of the SROs.

The information submitted by you in this form with your consent, or collected indirectly with your authorization, may be collected

•  at the time of your application,

•  at any time during your registration or while you are a permitted individual, or

•  at the time the regulator or, in Québec, the securities regulatory authority, or the SRO is informed by your sponsoring firm that you no longer have authority to act on behalf of the sponsoring firm or are not a permitted individual of the sponsoring firm.

If you have any questions about the collection, use and disclosure of this information, contact the securities regulatory authority or SRO in any jurisdiction in which the required information is submitted. See Schedule O for details.

Certain information, such as your name(s) (including aliases, trade names or some past names), your sponsoring firm, and other relevant registration information, will be listed in a publicly available registry of registered individuals and, if applicable, on the Disciplined List.

Certain securities regulatory authorities may provide to or receive from certain entities information under separate provisions of their securities legislation or derivatives legislation (including commodity futures legislation) or both, and SROs may provide or receive information under the rules of the SROs. This consent and notice does not limit the authority, powers, obligations, or rights conferred on any of the securities regulatory authorities by legislation or regulations in effect in their jurisdiction.

2. Consent to collect and use personal information

By submitting this form, you consent to and authorize the collection, directly and indirectly, of personal information by each securities regulatory authority and SRO and to the use of your personal information as set out above.

The personal information that each securities regulatory authority or SRO collects includes the following:

•  the personal information provided in this form;

•  the personal information provided by your sponsoring firm;

•  registration or financial services licensing information;

•  law enforcement records, including police records;

•  credit records;

•  bankruptcy or other insolvency records;

•  employment records and information received from an employer;

•  records and information received from entities you had or have an independent contractor or agency relationship with;

•  personal information available online;

•  records from governmental or regulatory authorities, SROs or professional bodies;

•  records of, and used in, court proceedings, including probation records.

Items 21 and 22

Repealed. [B.C. Reg. 126/2022, Sch. 2, s. 13 (r) and (s).]

Schedule A

Names (Item 1)

Item 1.2 — Other personal names

Name 1:

Provide the reasons for the use of this name (for example, marriage, divorce, court order, commonly used name or nickname):
.......................................................................................................................................................

Name 2:

Provide the reasons for the use of this name (for example, marriage, divorce, court order, commonly used name or nickname):
.......................................................................................................................................................

Name 3:

Provide the reasons for the use of this name (for example, marriage, divorce, court order, commonly used name or nickname):
.......................................................................................................................................................

Item 1.3 — Use of other names

Name 1:

Name: ..................................................................................................................

Provide the reasons for the use of this other name (for example, trade name or team name):
.......................................................................................................................................................

If this other name is or was used in connection with any sponsoring firm, did the sponsoring firm approve the use of the name?

Yes [  ] No [  ] N/A [  ]

Name 2:

Name: ..................................................................................................................

Provide the reasons for the use of this other name (for example, trade name or team name): ........................................................................................

If this other name is or was used in connection with any sponsoring firm, did the sponsoring firm approve the use of the name?

Yes [  ] No [  ] N/A [  ]

Name 3:

Name: ..................................................................................................................

Provide the reasons for the use of this other name (for example, trade name or team name): ...................................................................................................

If this other name is or was used in connection with any sponsoring firm, did the sponsoring firm approve the use of the name?

Yes [  ] No [  ] N/A [  ]

Schedule B

Residential Address (Item 2)

Item 2.1 — Current and previous residential addresses

If you have lived at your current address for less than 10 years, list all previous addresses for the past 10 years.

You do not have to include a postal code or ZIP code, or a telephone number for any previous address.

Address 1:

Address 2:

Address 3:

Schedule C

Individual Categories (Item 6)

Check each category for which you are seeking registration, approval or review as a permitted individual.

Categories common to all jurisdictions under securities legislation

Firm categories [Format other than NRD format only]

[  ] Investment Dealer

[  ] Mutual Fund Dealer

[  ] Scholarship Plan Dealer

[  ] Exempt Market Dealer

[  ] Restricted Dealer

[  ] Portfolio Manager

[  ] Restricted Portfolio Manager

[  ] Investment Fund Manager

Individual categories and permitted activities

[  ] Dealing Representative

[  ] Advising Representative

[  ] Associate Advising Representative

[  ] Ultimate Designated Person

[  ] Chief Compliance Officer

[  ] Permitted Individual as described in paragraph (c) of the definition of "permitted individual" in section 1.1 of National Instrument 33-109 Registration Information

[  ] Officer — Specify title:

[  ] Director

[  ] Partner

[  ] Shareholder

[  ] Branch Manager (MFDA members only)

[  ] IIROC approval only

IIROC

Approval categories

[  ] Executive

[  ] Director (Industry)

[  ] Director (Non-Industry)

[  ] Supervisor

[  ] Investor

[  ] Registered Representative

[  ] Investment Representative

[  ] Portfolio Manager

[  ] Associate Portfolio Manager

[  ] Trader

Additional approval categories

[  ] Chief Compliance Officer

[  ] Chief Financial Officer

[  ] Ultimate Designated Person

Products

[  ] Non-Trading

[  ] Securities

[  ] Options

[  ] Futures Contracts and Futures Contract Options

[  ] Mutual Funds only

Customer type

[  ] Retail

[  ] Institutional

[  ] Not Applicable

Portfolio management

[  ] Portfolio Management

Categories under local commodity futures and derivatives legislation

Ontario

Firm categories

[  ] Commodity Trading Adviser

[  ] Commodity Trading Counsel

[  ] Commodity Trading Manager

[  ] Futures Commission Merchant

Individual categories and permitted activities

[  ] Advising Representative

[  ] Salesperson

[  ] Branch Manager

[  ] Officer — Specify title:

[  ] Director

[  ] Partner

[  ] Shareholder

[  ] IIROC approval only

Manitoba

Firm categories

[  ] Dealer (Merchant)

[  ] Dealer (Futures Commission Merchant)

[  ] Dealer (Floor Broker)

[  ] Adviser

[  ] Local

Individual categories and permitted activities

[  ] Floor Broker

[  ] Salesperson

[  ] Branch Manager

[  ] Adviser

[  ] Officer — Specify title:

[  ] Director

[  ] Partner

[  ] Futures Contracts Portfolio Manager

[  ] Associate Futures Contracts Portfolio Manager

[  ] IIROC approval only

[  ] Local

Québec

Firm categories

[  ] Derivatives Dealer

[  ] Derivatives Portfolio Manager

Individual categories and permitted activities

[  ] Derivatives Dealing Representative

[  ] Derivatives Advising Representative

[  ] Derivatives Associate Advising Representative

Schedule D

Address and Agent for Service (Item 7)

Item 7.1 — Address for service

You must have one address for service in each province or territory in which you are now, or are seeking to become, a registered individual or permitted 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 (.....) ...........................

Business e-mail address: ......................................................................................

Item 7.2 — Agent for service

If you have appointed an agent for service, provide the following information about 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)

Item 8.1 — Course, examination or designation information and other education

Instructions: Please see Division 2 [Education and experience requirements] in Part 3 [Registration requirements — individuals] of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations for the education and experience requirements for the categories that you are seeking to be registered in or the relevant SRO rules for the SRO approval categories.

Below, state each course, examination and designation that:

•  is required for the registration categories or SRO approval categories you are applying for, and

•  you have successfully completed.

* For IIROC applicants only — If applicable, please indicate the date of any exemption granted for any course, examination, designation or other education required for approval.

If you have listed the CFA Charter in Item 8.1, please indicate by checking "Yes" below if you are a current member of the CFA Institute permitted to use this charter.

Yes [  ] No [  ]

If "No", please explain why you no longer hold this designation:

.......................................................................................................................................................

If you have listed the Canadian Investment Manager Designation in Item 8.1, please indicate by checking "Yes" below if you are currently permitted to use this designation.

Yes [  ] No [  ]

If "No", please explain why you no longer hold this designation:

.......................................................................................................................................................

Schedule F

Proficiency (Items 8.3 and 8.4)

Item 8.3 — Exemption refusal

Complete the following for each exemption that was refused.

1. Which securities regulator, derivatives regulator or SRO refused to grant the exemption?

.......................................................................................................................................

State the name of the course, examination, designation or experience requirement:

.......................................................................................................................................

State the reason given for not being granted the exemption:

.......................................................................................................................................

Date exemption refused: ....................................................... (YYYY/MM/DD)

2. Which securities regulator, derivatives regulator or SRO refused to grant the exemption?

.......................................................................................................................................

State the name of the course, examination, designation or experience requirement:

.......................................................................................................................................

State the reason given for not being granted the exemption:

.......................................................................................................................................

Date exemption refused: ....................................................... (YYYY/MM/DD)

3. Which securities regulator, derivatives regulator or SRO refused to grant the exemption?

.......................................................................................................................................

State the name of the course, examination, designation or experience requirement:

.......................................................................................................................................

State the reason given for not being granted the exemption:

.......................................................................................................................................

Date exemption refused: ....................................................... (YYYY/MM/DD)

Item 8.4 — Relevant securities experience

Instructions:

•  Some registration categories require a specified amount of experience to have been obtained within specified timeframes. Please see National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations or the relevant SRO rules for more information.

•  If you are applying to be an advising representative or an associate advising representative, or with IIROC as a portfolio manager, associate portfolio manager, or supervisor designated to be responsible for the supervision of managed accounts, provide details of the activities you performed for each position in which you gained relevant investment management experience. Such details may include the level of responsibility; value of accounts under direct supervision; number of years of experience in performing securities research and analysis for the purpose of portfolio securities selection, portfolio construction and analysis; type of experience in performing client relationship management; number of years of experience collecting know-your-client information; or number of years of experience conducting suitability assessments.

•  If you are applying as an advising representative limited to client relationship management, indicate this by including the following statement: "Individual seeking registration as CRM AR".

•  For all other categories, provide details of activities that you performed for each position in which you gained relevant securities industry experience.

1. If you are applying

•  to be an advising representative or an associate advising representative of a portfolio manager, describe the relevant investment management experience that you have gained, or

•  for any other category, describe the relevant securities industry experience that you have gained.

For each position in which you gained relevant experience, provide the following information:

(a) the name of the firm or entity with which you gained this experience;

(b) your title;

(c) the start and end dates of this position;

(d) the details of the activities you performed that are relevant for the category of registration that you are applying for;

(e) the percentage of your time in this position that was spent on activities relating to the experience.

.......................................................................................................................................

.......................................................................................................................................

.......................................................................................................................................

2. Indicate the continuing education activities in which you have participated during the last 36 months and that are relevant to the category of registration you are applying for:

.......................................................................................................................................

.......................................................................................................................................

.......................................................................................................................................

Schedule G

Reportable Activities (Item 10)

1. Start date .................................................................

(YYYY/MM/DD)

2. Sponsoring firm or other entity information

[  ] Check here if the reportable activity is with your sponsoring firm.

If the reportable activity is with your sponsoring firm, you are not required to indicate the firm's name and address but are required to provide the name and title of your immediate supervisor. For all other types of reportable activity, enter all of the information below:

Name of business or employer: .....................................................................................

Address of business or employer: ..................................................................................

(number, street, city, province, territory or state, country)

Name and title of your immediate supervisor: ...............................................................

3. Description of the reportable activity and your roles and responsibilities

Instructions: If you are completing this schedule in relation to your activities with your sponsoring firm, for (e) below, provide the title(s) you will use once registered, and if you are already registered, provide the title(s) you use as of the date of this filing.

(a) Describe the entity that you carry on the activity with or for, including the nature of the entity's business.

(b) Is the entity listed on an exchange?

(c) Describe your relationship with the entity.

(d) Describe all of your roles and responsibilities relating to the activity.

.......................................................................................................................................

(e) Provide all business title(s) and professional designation(s) you use for the activity.

.......................................................................................................................................

4. Number of work hours per week

How many hours per week do you spend on this activity? ..................

5. Conflicts of interest

Instructions: Complete this section if you have a reportable activity outside your sponsoring firm. Do not complete this section if your reportable activity is solely with your sponsoring firm.

Take into consideration existing and reasonably foreseeable material conflicts of interest and existing and potential client confusion.

(a) Does the activity give rise to any material conflicts of interest between the client and the sponsoring firm or you? Does the activity give rise to client confusion? If no material conflicts of interest or client confusion are expected, explain why.

...............................................................................................................................

...............................................................................................................................

...............................................................................................................................

(b) Describe (i) the material conflicts of interest, and (ii) how these conflicts will be addressed in the best interest of the client.

...............................................................................................................................

(c) Describe (i) the client confusion, and (ii) how the client confusion will be addressed.

...............................................................................................................................

...............................................................................................................................

...............................................................................................................................

(d) Does your sponsoring firm and the entity have procedures for identifying and addressing material conflicts of interest? If so, confirm you are complying with both sets of procedures.

...............................................................................................................................

(e) State the name and title of the individual at your sponsoring firm who has reviewed and approved the activity.

...............................................................................................................................

...............................................................................................................................

...............................................................................................................................

Schedule H

Previous Employment and Other Activities (Item 11)

Provide the following information for each of your employment and other activities in the past 10 years. Account for all of your time, including full-time and part-time employment, self-employment or military service. Include your status for each, such as unemployed, full-time student, or other similar statuses. Do not include short-term employment of four months or less while a student, unless it was in the securities, derivatives or financial industry.

In addition to the information required in the paragraph above, if you were employed or had business activities in the securities or derivatives industry or both during and before the 10-year period, disclose all your securities and derivatives or both employment or business activities (both before and during the 10-year period).

[  ] Unemployed

[  ] Full-time student

[  ] Employed or self-employed

From: .................................................

(YYYY/MM)

To: .................................................

(YYYY/MM)

Complete the following only if you are, or were, employed or self-employed during this period.

Name of business or employer:

.......................................................................................................................................................

Address of business or employer:

.......................................................................................................................................................
(number, street, city, province, territory or state, country)

Name and title of immediate supervisor, if applicable:

.......................................................................................................................................................

Describe the firm's business, your position, duties and your relationship to the firm.

Reason why you left the firm:

.......................................................................................................................................................

.......................................................................................................................................................

.......................................................................................................................................................

Schedule I

Resignations and Terminations (Item 12)

Item 12.1

For each allegation of contravention of any statute, regulation, order of a court or regulatory body, rule or bylaw or failure to meet any standard of conduct of a sponsoring firm or of any professional body, state 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 ceased to carry on duties, (4) the circumstances relating to your resignation or termination, (5) details of the allegation (regardless of whether the allegation caused or contributed to your resignation or termination), including the statutes, regulations, orders, rules or bylaws allegedly contravened or standards of conduct allegedly not met, (6) details of how the allegation was addressed, and (7) any details of the resignation, termination, or allegation relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................................

Item 12.2

For each allegation of failure to supervise compliance with any statute, regulation, order of a court or regulatory body, rule or bylaw or with any standard of conduct of a sponsoring firm or of any professional body, state 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 ceased to carry on duties, (4) the circumstances relating to your resignation or termination, (5) details of the allegation of failure to supervise (regardless of whether the allegation caused or contributed to your resignation or termination), (6) details of how the allegation was addressed, and (7) any details of the resignation, termination, or allegation relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................................

Item 12.3

For each allegation that you committed fraud or the wrongful taking of property, including theft, state 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 ceased to carry on duties, (4) the circumstances relating to your resignation or termination, (5) details of the allegation (regardless of whether the allegation caused or contributed to your resignation or termination), (6) details of how the allegation was addressed, and (7) any details of the resignation, termination, or allegation relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................................

Schedule J

Regulatory Disclosure (Item 13)

Item 13.1 — Securities and derivatives regulation

(a) For each registration or licence, state below (1) the name of the firm, (2) the securities or derivatives regulator with which you are, or were, registered or licensed, (3) the type or category of registration or licence, and (4) the period that you held the registration or licence.

.......................................................................................................................................

(b) For each registration or licence refused, state below (1) the name of the firm, (2) the securities or derivatives regulator 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.

.......................................................................................................................................

(c) For each exemption from registration denied or licence refused, other than what was disclosed in Item 8.3 of this form, state below (1) the party that was refused the exemption from registration or licence, (2) the securities or derivatives regulator that refused the exemption from registration or licence, (3) the type or category or registration or licence refused, (4) the date of the refusal, and (5) the reasons for the refusal.

.......................................................................................................................................

(d) For each order or disciplinary proceeding, state below (1) the name of the firm, (2) the securities or derivatives regulator that issued the order or is conducting or conducted 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), (6) whether you are or were a partner, director, officer or major shareholder of the firm and named individually in the order or disciplinary proceeding, and (7) any other relevant details.

.......................................................................................................................................

Item 13.2 — SRO regulation

(a) For each approval, state below (1) the name of the firm, (2) the SRO with which you are or were an approved person, (3) the categories of approval, and (4) the period that you held the approval.

.......................................................................................................................................

(b) For each approval refused, state below (1) the name of the firm, (2) the SRO that refused the approval, (3) the category of approval refused, (4) the date of the refusal, and (5) the reasons for the refusal.

.......................................................................................................................................

(c) For each order or disciplinary proceeding, state below (1) the name of the firm, (2) the SRO 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, (6) whether you are or were a partner, director, officer or major shareholder of the firm and named individually in the order or disciplinary proceeding, and (7) any details of the order or disciplinary proceeding relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................

Item 13.3 — Non-securities regulation

(a) For each registration or licence, state below (1) the party who is, or was, registered or licensed, (2) if applicable, the employer or entity for whom you performed the registerable or licensable activity, (3) the period that the party held the registration or licence, (4) the type or category of registration or licence, (5) with which regulatory authority, or under what legislation, the party is, or was, registered or licensed, and (6) the licence number.

.......................................................................................................................................

(b) For each registration or licence refused, state below (1) the party that was refused registration or licensing, (2) if applicable, the employer or entity for whom you performed the registerable or licensable activity, (3) with which regulatory authority, or under what legislation, the registration or licence was refused, (4) the type or category of registration or licence refused, (5) the date of the refusal, and (6) 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, (6) whether you are or were a partner, director, officer or major shareholder of the entity and named individually in the order or disciplinary proceeding, and (7) any details of the order or disciplinary proceeding relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................

Schedule K

Criminal Disclosure (Item 14)

Item 14.1

For each charge, state below (1) the type of charge, (2) the date of the charge, (3) any trial or appeal dates, and (4) the court location.

.......................................................................................................................................................

Item 14.2

For each finding of guilty, pleading no contest to, or granting of an absolute or conditional discharge from a criminal offence, state below (1) the offence, (2) the date found guilty, and (3) the disposition (any penalty or fine and the date any fine was paid).

.......................................................................................................................................................

Item 14.3

For each charge, state below (1) the name of the entity, (2) the type of charge, (3) the date of the charge, (4) any trial or appeal dates, and (5) the court location.

.......................................................................................................................................................

Item 14.4

For each finding of guilty, pleading no contest to, or granting of an absolute or conditional discharge from a criminal offence, state below (1) the name of the entity, (2) the offence, (3) the date of the conviction, and (4) the disposition (any penalty or fine and the date any fine was paid).

.......................................................................................................................................................

Schedule L

Civil Disclosure (Item 15)

Item 15.1

For each outstanding civil proceeding, state below (1) the dates the notice of civil claim and response to civil claim were filed, (2) the name of each plaintiff in the proceeding, (3) whether the proceeding is pending or on appeal, (4) whether the proceeding was against an entity where you are, or were, a partner, director, officer or major shareholder and whether you have been named individually in the allegations, and (5) the jurisdiction where the action is being pursued.

.......................................................................................................................................................

Item 15.2

For each civil proceeding, state below (1) the dates the notice of civil claim and response to civil claim were filed, (2) the name of each plaintiff in the proceeding, (3) the jurisdiction where the action was pursued, (4) whether the proceeding was about an entity where you are, or were, a partner, director, officer or major shareholder and whether you have been named individually in the allegations, and (5) a summary of any disposition or any settlement over $10,000. You must disclose any actions settled without admission of liability.

.......................................................................................................................................................

Schedule M

Financial Disclosure (Item 16)

Item 16.1 — Bankruptcies, insolvencies, consumer proposals and creditor arrangements

Instructions: Proposals includes consumer proposals.

(a) For each event, state below (1) the date of the petition or voluntary assignment into bankruptcy or similar proceeding, (2) the person or entity about whom this disclosure is being made, (3) any amounts currently owing, (4) the creditors, (5) the status of the matter, (6) a summary of any disposition or settlement, (7) the date of discharge or release, if applicable, and (8) any details of the petition or voluntary assignment into bankruptcy or similar proceeding relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................

(b) For each event, state below (1) the date of the proposal, (2) the person or firm about whom this disclosure is being made, (3) any amounts currently owing, (4) the creditors, (5) the status of the matter, (6) a summary of any disposition or settlement, and (7) any details of the proposal relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................

(c) For each event, state below (1) the date of the proceeding, (2) the person or entity about whom this disclosure is being made, (3) any amounts currently owing, (4) the creditors, (5) the status of the matter, (6) a summary of any disposition or settlement, and (7) any details of the proceeding relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................

(d) For each proceeding, arrangement or compromise with creditors, state below (1) the date of the proceeding, arrangement or compromise, (2) the person or entity about whom this disclosure is being made, (3) any amounts currently owing, (4) the creditors, (5) the status of the matter, (6) a summary of any disposition or settlement, and (7) any details of the proceeding, arrangement or compromise relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................

Item 16.2 — Debt obligation

For each event, state below (1) the person or entity that failed to meet its financial obligation, (2) the amount that was owing at the time the person or entity failed to meet its financial obligation, (3) the person or entity 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 details of the debt obligation relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable, including why the obligation has not been met or satisfied.

.......................................................................................................................................................

Item 16.3 — Surety bond or fidelity bond

For each bond refused, state 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.

.......................................................................................................................................................

Item 16.4 — Garnishments, seizure in the hands of third persons, unsatisfied judgments or directions to pay

For each garnishment, seizure in the hands of third persons, unsatisfied judgment or direction to pay regarding your indebtedness or the indebtedness of an entity incurred at the time you were a partner, director, officer or major shareholder, indicate below (1) the amount that was owing at the time the garnishment, seizure in the hands of third persons, judgment or direction to pay was rendered, (2) the person or entity 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) why the indebtedness has not been met or satisfied, (5) the percentage of earnings to be garnished or seized in the hands of third persons or the amount to be paid, (6) any amounts currently owing, and (7) any details of the garnishment, seizure in the hands of third persons, unsatisfied judgment or direction to pay relevant to the determination of your suitability for registration or whether your registration is otherwise objectionable.

.......................................................................................................................................................

Schedule N

Ownership of Securities and Derivatives Firms (Item 17)

Name of firm (whose business is trading in or advising on securities or derivatives, or both):

.......................................................................................................................................................

What is your relationship to the firm? Partner [  ] Major shareholder [  ]

Provide the following information:

(a) State the number, value, class and percentage of securities, or the amount of partnership interest you own or propose to acquire when you are registered or approved as a result of the review of this form. If acquiring shares when you are so approved or registered, state the source (for example, treasury shares, or if upon transfer, state name of transferor).

.......................................................................................................................................

(b) State the market value (approximate, if necessary) of any 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:

.......................................................................................................................................

(c) If another person or entity has provided you with funds to invest in the firm, provide the name of the person or entity and state the relationship between you and that person or entity:

.......................................................................................................................................

(d) Is the payment of the funds to be invested (or proposed to be invested) guaranteed directly or indirectly by any person or entity?

Yes [  ] No [  ]

If "Yes", provide the name of the person or entity and state the relationship between you and that person or entity:

.......................................................................................................................................

(e) Have you directly or indirectly given up any rights relating to these securities or this partnership interest, or do you, when you are registered or approved as a result of the review of this form, intend to give up any of these rights (including by hypothecation, pledging or depositing as collateral the securities or partnership interest with any entity or person)?

Yes [  ] No [  ]

If "Yes", provide the name of the person or entity, state the relationship between you and that person or entity and describe the rights that have been or will be given up:

.......................................................................................................................................

(f) Is a person other than you the beneficial owner of the shares, bonds, debentures, partnership units or notes held by you?

Yes [  ] No [  ]

If "Yes", complete (g), (h) and (i).

(g) Name of beneficial owner:

(h) Residential address:

.......................................................................................................................................
(number, street, city, province, territory or state, country, postal code)

(i) Occupation:

.......................................................................................................................................

Schedule O

Contact Information for Notice and Consent for Collection and Use of Personal Information

Form 33-109F5

[am. B.C. Regs. 121/2011, Sch. B, s. 18; 238/2014, App. C, s. 13; 209/2017, s. 8; 126/2022, Sch. 2, s. 14.]

Change of Registration Information

(sections 3.1 and 4.1)

WARNING — It is an offence to knowingly give false or misleading information to the regulator or the securities regulatory authority.

CERTIFICATION

1. Form 33-109F4: Use the following certification when making changes to Form 33-109F4:

Individual

I, the individual, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where I am submitting this form and to any applicable self-regulatory organization (SRO) that

•  I have read this form,

•  I have read Form 33-109F4 and understand all matters within this form, including its questions and, for greater certainty, if the business location is a residence, the notice in Item 9,

•  I have discussed Form 33-109F4 with a branch manager, supervisor, officer or partner of my sponsoring firm and that to the best of my knowledge, the branch manager, supervisor, officer or partner is satisfied that I understand all matters within Form 33-109F4, including the questions,

•  to the best of my knowledge and after reasonable inquiry, all of the information provided on this form is true and complete, including information required to be disclosed by Form 33-109F4 that I am not changing with this form, and

•  if applicable, I will limit my activities to those allowed by my category of registration and any SRO approval.

I consent to and authorize the collection, directly and indirectly, of personal information by each regulator, securities regulatory authority and SRO and to the use of my personal information as set out in Item 3.

Firm

I, on behalf of the firm, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where the firm is submitting this form and to any applicable SRO that

•  the individual identified in this form will be engaged by the sponsoring firm as a registered individual or a permitted individual, and

•  I have, or a branch manager, supervisor, officer or partner has, discussed Form 33-109F4 with the individual. To the best of my knowledge, the individual understands all matters within Form 33-109F4, including the questions.

NRD format:

[ ] I, the authorized firm representative, am making this submission under authority delegated by the firm and the individual identified in this form. By checking this box, I certify that

(a) the firm provided me with all of the information on this form and makes the firm certification above,

(b) the individual provided the firm with all of the information on this form and makes the individual certification above, and

(c) the individual provided the above consent and authorization for the collection and use of the individual's personal information.

Non-NRD format:

Individual

By signing below, I, the individual, make the above individual certification and provide my consent and authorization for the collection, directly and indirectly, and use of my personal information.

Signature of individual ..........................................................

Date signed .......................................

(YYYY/MM/DD)

Firm

By signing below, I, on behalf of the firm, make the firm certification above.

Name of firm .................................................................................................................

Name of authorized signing officer or partner ...............................................................

Title of authorized signing officer or partner .................................................................

Signature of authorized signing officer or partner .........................................................

Date signed .......................................

(YYYY/MM/DD)

2. Form 33-109F6: Use the following certification when making changes to Form 33-109F6:

By signing below, I, on behalf of the firm, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where the firm is submitting this form and to any applicable SRO that

•  I have read this form and understand all matters within this form, including the questions, and to the best of my knowledge and after reasonable inquiry, all of the information provided on this form is true and complete.

Name of firm .................................................................................................................

Name of authorized signing officer or partner .................................................................

Title of authorized signing officer or partner ...............................................................

Signature of authorized signing officer or partner .........................................................

Date signed .......................................

(YYYY/MM/DD)

General instructions

Complete and submit this form to notify the relevant regulator(s) or, in Québec, the securities regulatory authority, or self-regulatory organization (SRO) of changes to information in the following forms:

•  Form 33-109F6, except for the changes set out in section 3.1 of National Instrument 33-109, or

•  Form 33-109F4.

How to submit this form

To report changes to information in a Form 33-109F4, submit this form at the National Registration Database website in NRD format at www.nrd.ca.

Submit this form in a format other than NRD format to report changes to information in a:

(a) Form 33-109F6, or

(b) Form 33-109F4, if the individual is relying on the temporary hardship exemption in section 5.1 of National Instrument 31-102 National Registration Database.

Name of firm .................................................................................................................................

Registration categories ..................................................................................................................

NRD number (firm) ......................................................

Item 1 — Type of form

Check the form that is being updated:

[  ] Form 33-109F6

If submitting changes to Form 33-109F6, please attach a blackline of the amended sections of the form,

[  ] Form 33-109F4 Name of individual ...........................................................................

Item 2 — Details of change

Provide the item number and details for each change to the form selected above:

Item number .............. Details ....................................................................................................

Effective date of change ........................................... (YYYY/MM/DD)

Item 3 — Notice and consent for collection and use of personal information

1. Notice of collection and use of personal information

Your personal information is collected by, or on behalf of, each securities regulatory authority and SRO set out in Schedule A. Any of the securities regulatory authorities or SROs set out in Schedule A may contact governmental or regulatory authorities, private bodies or agencies, individuals, corporations, employers, and other organizations, in Canada and in other countries, for information about you.

This personal information is being collected under the authority of the applicable securities legislation, derivatives legislation (including commodity futures legislation) or both of the securities regulatory authorities and under the SRO rules of an SRO set out in Schedule A. The collection, use and disclosure are done in accordance with applicable freedom of information and privacy legislation.

The principal purpose of this collection by the securities regulatory authorities is to administer, enforce, carry out their duties or exercise their powers under their respective securities legislation, derivatives legislation (including commodity futures legislation) or both, and by the SROs to administer and enforce the rules of the SROs.

The information submitted by you in this form with your consent, or collected indirectly with your authorization, may be collected

•  at any time during your registration or while you are a permitted individual, or

•  at the time the regulator or, in Québec, the securities regulatory authority, or the SRO is informed by your sponsoring firm that you no longer have authority to act on behalf of the sponsoring firm or are not a permitted individual of the sponsoring firm.

If you have any questions about the collection, use and disclosure of this information, contact the securities regulatory authority or SRO in any jurisdiction in which the required information is submitted. See Schedule A for details.

Certain information, such as your name(s) (including aliases, trade names or some past names), your sponsoring firm, and other relevant registration information, will be listed in a publicly available registry of registered individuals and, if applicable, on the Disciplined List.

Certain securities regulatory authorities may provide to or receive from certain entities information under separate provisions of their securities legislation or derivatives legislation (including commodity futures legislation) or both, and SROs may provide or receive information under the rules of the SROs. This consent and notice does not limit the authority, powers, obligations or rights conferred on any of the securities regulatory authorities by legislation or regulations in effect in their jurisdiction.

2. Consent to collect and use personal information

By submitting this form, you consent to and authorize the collection, directly and indirectly, of personal information by each securities regulatory authority and SRO and to the use of your personal information as set out above.

The personal information that each securities regulatory authority or SRO collects includes the following:

•  the personal information provided in this form;

•  the personal information provided by your sponsoring firm;

•  registration or financial services licensing information;

•  law enforcement records, including police records;

•  credit records;

•  bankruptcy or other insolvency records;

•  employment records and information received from an employer;

•  records and information received from entities you had or have an independent contractor or agency relationship with;

•  personal information available online;

•  records from governmental or regulatory authorities, SROs or professional bodies;

•  records of, and used in, court proceedings, including probation records.

Items 4 and 5

Repealed. [B.C. Reg. 126/2022, Sch. 2, s. 14 (c) and (d).]

Schedule A

Contact Information for Notice and Consent for Collection and Use of Personal Information

Form 33-109F6

[am. B.C. Regs. 382/2010, s. (c); 121/2011, Sch. B, s. 19; 179/2013, s. (b); 176/2014, Sch. F, s. 1 (d); 238/2014, App. C, s. 14; 209/2017, ss. 9 to 11; 111/2018, Sch. B, s. 2; 126/2022, Sch. 2, s. 15; 209/2023, Sch. C, s. 2.]

Firm Registration

Schedule A

Contact Information for Notice of Collection and Use of Personal Information

Schedule B

Submission to Jurisdiction and Appointment
of Agent for Service

1. Name of person or company (the "Firm"):

2. Jurisdiction of incorporation of the person or company:

3. Name of agent for service of process (the "Agent for Service"):

4. Address for service of process on the Agent for Service:

Phone number of the Agent for Service: ..................................................................

5. The Firm designates and appoints the Agent for Service at the address stated above as its agent upon whom may be served a notice, pleading, subpoena, summons or other process in any action, investigation or administrative, criminal, quasi-criminal or other proceeding (a "Proceeding") arising out of or relating to or concerning the Firm's activities in the local jurisdiction and irrevocably waives any right to raise as a defense in any such proceeding any alleged lack of jurisdiction to bring such Proceeding.

6. The Firm irrevocably and unconditionally submits to the non-exclusive jurisdiction of the judicial, quasi-judicial and administrative tribunals of the local jurisdiction and any administrative proceeding in the local jurisdiction, in any proceeding arising out of or related to or concerning the Firm's activities in the local jurisdiction.

7. Until six years after the Firm ceases to be registered, the Firm must file a new executed Submission to jurisdiction and appointment of agent for service in this form

(a) no later than the 15th day after the date this Submission to jurisdiction and appointment of agent for service is terminated, and

(b) no later than the 15th day after any change in the name or address of the Agent for Service.

8. This Submission to jurisdiction and appointment of agent for service is governed by and construed in accordance with the laws of the local jurisdiction.

Dated: ..................................................................

..............................................................................
(Signature of the Firm or authorized signatory)

.............................................................................
(Name and Title of authorized signatory)

Acceptance

The undersigned accepts the appointment as Agent for Service of (Insert name of the Firm) under the terms and conditions of the foregoing Submission to jurisdiction and appointment of agent for service.

Dated: ..............................................................................

.........................................................................................
(Signature of Agent for Service or authorized signatory)

.........................................................................................
(Name and Title of authorized signatory)

Schedule C

Form 31-103F1 Calculation of Excess Working Capital

.........................................................................

Firm Name

Capital Calculation

(as at ...................................... with comparative figures as at .........................................)

Notes:

Form 31-103F1 Calculation of Excess Working Capital must be prepared using the accounting principles that you use to prepare your financial statements in accordance with National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards. Section 12.1 of Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations provides further guidance in respect of these accounting principles.

Line 5. Related-party Debt — Refer to the Handbook for the definition of "related party" for publicly accountable enterprises. The firm is required to deliver a copy of the executed subordination agreement to the regulator or, in Québec, the securities regulatory authority on the earlier of (a) 10 days after the date the agreement is executed or (b) the date an amount subordinated by the agreement is excluded from its calculation of excess working capital on Form 31-103F1 Calculation of Excess Working Capital. The firm must notify the regulator or, in Québec, the securities regulatory authority, 10 days before it repays the loan (in whole or in part), or terminates the subordination agreement. See section 12.2 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Line 8. Minimum Capital — The amount on this line must be not less than (a) $25,000 for an adviser and (b) $50,000 for a dealer. For an investment fund manager, the amount must be not less than $100,000 unless subsection 12.1 (4) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations applies.

Line 9. Market Risk — The amount on this line must be calculated according to the instructions set out in Schedule 1 to Form 31-103F1 Calculation of Excess Working Capital. A schedule supporting the calculation of any amounts included in Line 9 as market risk should be provided to the regulator or, in Québec, the securities regulatory authority in conjunction with the submission of Form 31-103F1 Calculation of Excess Working Capital.

Line 11. Guarantees — If the registered firm is guaranteeing the liability of another party, the total amount of the guarantee must be included in the capital calculation. If the amount of a guarantee is included in the firm's statement of financial position as a current liability and is reflected in Line 4, do not include the amount of the guarantee on Line 11.

Line 12. Unresolved Differences — Any unresolved differences that could result in a loss from either firm or client assets must be included in the capital calculation. The examples below provide guidance as to how to calculate unresolved differences:

(i) If there is an unresolved difference relating to client securities, the amount to be reported on Line 12 will be equal to the fair value of the client securities that are short, plus the applicable margin rate for those securities.

(ii) If there is an unresolved difference relating to the registrant's investments, the amount to be reported on Line 12 will be equal to the fair value of the investments (securities) that are short.

(iii) If there is an unresolved difference relating to cash, the amount to be reported on Line 12 will be equal to the amount of the shortfall in cash.

Please refer to section 12.1 of Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations for further guidance on how to prepare and file Form 31-103F1 Calculation of Excess Working Capital.

Schedule 1 of Form 31-103F1 Calculation of Excess Working Capital

(calculating Line 9 [market risk])

For purposes of completing this form:

(1) "Fair value" means the value of a security determined in accordance with Canadian GAAP applicable to publicly accountable enterprises.

(2) For each security whose value is included in Line 1, Current Assets, multiply the fair value of the security by the margin rate for that security set out below. Add up the resulting amounts for all of the securities you hold. The total is the "market risk" to be entered on Line 9.

(a) Bonds, Debentures, Treasury Bills and Notes

(b) Bank Paper

(c) Acceptable Foreign Bank Paper

(d) Mutual Funds

(e) Stocks

(f) Mortgages

(g) For all other securities — 100% of fair value.

Form 33-109F7

[am. B.C. Regs. 121/2011, Sch. B, s. 21; 238/2014, App. C, s. 15; 209/2017, ss. 12 to 14; 126/2022, Sch. 2, s. 16.]

Reinstatement of Registered Individuals
and Permitted Individuals

(sections 2.3 and 2.5 (2))

WARNING — It is an offence to knowingly give false or misleading information to the regulator or the securities regulatory authority.

CERTIFICATION

Individual

I, the individual, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where I am submitting this form and to any applicable self-regulatory organization (SRO) that

•  I have read this form and understand all matters within this form, including the questions and, for greater certainty, if the business location is a residence, the notice in Item 5,

•  I have discussed this form with a branch manager, supervisor, officer or partner of my sponsoring firm and that to the best of my knowledge, the branch manager, supervisor, officer or partner is satisfied that I understand all matters within this form, including the questions,

•  to the best of my knowledge and after reasonable inquiry, all of the information provided on this form is true and complete,

•  if applicable, I will limit my activities to those allowed by my category of registration and any SRO approval, and

•  the new sponsoring firm understands that if my registration was subject to any terms and conditions that were unsatisfied when I left my former sponsoring firm, those terms and conditions remain in effect and the new sponsoring firm agrees to assume any ongoing obligations that applied to the former sponsoring firm in respect of my registration under those terms and conditions.

I consent to and authorize the collection, directly and indirectly, of personal information by each regulator, securities regulatory authority and SRO and to the use of my personal information as set out in Item 10.

Firm

I, on behalf of the firm, certify to the regulator or, in Québec, the securities regulatory authority in each jurisdiction where the firm is submitting this form and to any applicable SRO that

•  the individual identified in this form will be engaged by the new sponsoring firm as a registered individual or a permitted individual,

•  I have, or a branch manager, supervisor, officer or partner has, discussed this form with the individual. To the best of my knowledge, the individual understands all matters within this form, including the questions, and

•  the new sponsoring firm understands that if the individual's registration was subject to any undischarged terms and conditions when the individual left the individual's former sponsoring firm, those terms and conditions remain in effect and agrees to assume any ongoing obligations that apply to the former sponsoring firm in respect of the individual under those terms and conditions.

NRD format:

[ ]  I, the authorized firm representative, am making this submission under authority delegated by the firm and the individual identified in this form. By checking this box, I certify that

(a) the firm provided me with all of the information on this form and makes the firm certification above,

(b) the individual provided the firm with all of the information on this form and makes the individual certification above, and

(c) the individual provided the above consent and authorization for the collection and use of the individual's personal information.

Non-NRD format:

Individual

By signing below, I, the individual, make the above individual certification and provide my consent and authorization for the collection, directly and indirectly, and use of my personal information.

Signature of individual ..........................................................

Date signed .......................................

(YYYY/MM/DD)

Firm

By signing below, I, on behalf of the firm, make the firm certification above.

Name of firm .................................................................................................................................

Name of authorized signing officer or partner ..............................................................................

Title of authorized signing officer or partner ................................................................................

Signature of authorized signing officer or partner .........................................................................

Date signed .......................................

(YYYY/MM/DD)

General Instructions

Complete and submit this form to the relevant regulator(s) or, in Québec, the securities regulatory authority, or self-regulatory organization (SRO) if

•  an individual has left a sponsoring firm and is seeking to reinstate the individual's registration in one or more of the same categories or reinstate the same status of permitted individual as before with a new sponsoring firm, and

•  the new sponsoring firm is registered in the same category of registration in which the individual's former sponsoring firm was registered.

You only need to complete and submit one form regardless of the number of registration categories or permitted individual statuses you are seeking to be reinstated in.

An individual may reinstate the individual's registration or permitted individual status by submitting this form. This form must not be used unless all of the following apply:

1.  this form is submitted on or before the 90th day after the cessation date of the individual's employment, partnership or agency relationship with the individual's former sponsoring firm;

2.  the information in the individual's Form 33-109F4 was up-to-date as of the cessation date of the individual's employment, partnership or agency relationship with the individual's former sponsoring firm;

3.  if this form is submitted on or after June 6, 2023, on the date this form is submitted, the individual's information in the National Registration Database does not state "there is no response to this question" for any item of the individual's Form 33-109F4;

4.  there have been no changes to the information previously submitted in respect of the following items of the individual's Form 33-109F4 since the individual left the individual's former sponsoring firm:

•  Item 13 (Regulatory disclosure), other than changes to Item 13.3 (a);

•  Item 14 (Criminal disclosure);

•  Item 15 (Civil disclosure);

•  Item 16 (Financial disclosure);

5.  at the time of cessation with the individual's former sponsoring firm, there were no allegations against the individual, in Canada or in any foreign jurisdiction, relevant to an assessment of whether the individual is not suitable for registration or the registration is objectionable, including, for greater certainty, an allegation against the individual of any of the following:

•  a crime;

•  a contravention of any statute, regulation, or order of a court or regulatory body;

•  a contravention of any rule or bylaw of an SRO, of a professional body, or of a similar organization;

•  a failure to meet any standard of conduct of the sponsoring firm or of any professional body.

If you do not meet all of the above conditions, then you must apply for reinstatement by completing on NRD a Form 33-109F4 by making the NRD submission entitled "Reactivation of Registration".

Terms

In this form, "you", "your" and "individual" means the individual who is seeking to reinstate their registration or their status as permitted individual.

"former sponsoring firm" means the registered firm where you most recently carried out duties as a registered or permitted individual.

"major shareholder" and "shareholder" mean a shareholder who, in total, directly or indirectly owns voting securities carrying 10 per cent or more of the votes carried by all outstanding voting securities.

"new sponsoring firm" means the registered firm where you will begin carrying out duties as a registered or permitted individual when your registration or permitted individual status is reinstated.

Several terms used in this form are defined in the Form 33-109F4 Registration of Individuals and Review of Permitted Individuals that you submitted when you first became registered.

How to submit this form

NRD format

Submit this form at the National Registration Database (NRD) website in NRD format at www.nrd.ca. If you have any questions, contact the compliance, registration or legal department of the new sponsoring firm or a legal adviser with securities law experience, or visit the NRD information website at www.nrd-info.ca.

Format other than NRD format

If you are relying on the temporary hardship exemption in section 5.1 of National Instrument 31-102 National Registration Database, you may submit this form in a format other than NRD format.

If you need more space, use a separate sheet of paper. Clearly identify the Item and question number. Complete and sign the form, and send it to the relevant regulator(s) or, in Québec, the securities regulatory authority, SRO(s) or similar authority. The number of originally signed copies of the form you are required to submit depends on the province or territory, and on the regulator, the securities regulatory authority or SRO.

To avoid delays in processing this form, be sure to answer all of the items that apply to you. If you have questions, contact the compliance, registration or legal department of the new sponsoring firm or a legal adviser with securities law experience, or visit the National Registration Database information website at www.nrd-info.ca.

Item 1 — Name

1. NRD number: ............................................................................

2. Legal name

3. Date of birth (YYYY/MM/DD):

4. Use of other names

Are you currently using, or have you ever used, operated under, or carried on business under, a name other than the name(s) mentioned above (for example, trade names for sole proprietorships or team names)?

Yes [  ] No [  ]

If "Yes", complete Schedule A.

Item 2 — Number of jurisdictions

1. Are you seeking to reinstate your registration or permitted individual status in more than one jurisdiction of Canada?

Yes [  ] No [  ]

2. Check each province or territory in which you are seeking reinstatement of registration or, if you are seeking reinstatement as a permitted individual, check each province or territory where your sponsoring firm is registered:

[  ] All jurisdictions
 

[  ] Alberta

[  ] British Columbia

[  ] Manitoba

[  ] New Brunswick

[  ] Newfoundland and Labrador

[  ] Northwest Territories

[  ] Nova Scotia

[  ] Nunavut

[  ] Ontario

[  ] Prince Edward Island

[  ] Québec

[  ] Saskatchewan

[  ] Yukon

Item 3 — Individual categories

1. On Schedule B, check each category for which you are seeking to reinstate your registration or permitted individual status. If you are seeking reinstatement of status as a permitted individual, check each category that describes your position with your new sponsoring firm.

2. If you are seeking reinstatement as a representative of a mutual fund dealer or of a scholarship plan dealer in Québec, are you covered by your new sponsoring firm's professional liability insurance?

Yes [  ] No [  ]

If "No", state:

The name of your insurer ............................................................................................

Your policy number ..............................................

Item 4 — Address and agent for service

1. Address for service

You must have one address for service in each province or territory where you are submitting this form. A residential or business address is acceptable. A post office box is not acceptable. Complete Schedule C for each additional address for service you are providing.

Address for service: ...................................................................................................... (number, street, city, province or territory, postal code)

Telephone number ................................ Fax number, if applicable ............................

Business e-mail address ................................................................................................

2. Agent for service

If you have appointed an agent for service, provide the following information for the agent in each province or territory where you have an agent for service. The address of your agent for service must be the same as the address for service above. If your agent for service is not an individual, provide the name of your contact person.

Name of agent for service: ...................................................................

Contact person: ..............................................
Last name, First name

Item 5 — Location of employment

1. Provide the following information for your new sponsoring firm. If you will be working out of more than one business location, provide the following information for the business location out of which you will be doing most of your business. If you are only filing this form because you are a permitted individual and are not employed by, or acting as agent for, the sponsoring firm, select "N/A".

Unique Identification Number (optional): ..........................................

NRD location number: ..........................................

Business location address: ............................................................................................

(number, street, city, province, territory or state, country, postal code)

Telephone number: (.....) ............................. Fax number: (.....) .............................

N/A [  ]

2. If the new sponsoring firm has a foreign head office, and/or you are not a resident of Canada, provide the address for the business location in which you will be conducting most of your business. If you are only filing this form because you are a permitted individual and are not employed by, or acting as agent for, the sponsoring firm, select "N/A".

Business location address: ............................................................................................

(number, street, city, province, territory or state, country, postal code)

Telephone number: (.....) ........................ Fax number: (.....) ........................

N/A [  ]

[The following under #3 "Type of business location", #4 and #5 is for a Format other than NRD format only]

3. Type of business location:

[  ] Head office

[  ] Branch or business location

[  ] Sub-branch (Mutual Fund Dealers Association of Canada members only)

4. Name of supervisor or branch manager: ........................................................................

5. [  ] Check here if the mailing address of the business location is the same as the business location address provided above. Otherwise, complete the following:

Mailing address: ...........................................................................................................

(number, street, city, province, territory or state, country, postal code)

6. Notice regarding a business location that is a residence

For the administration of securities legislation or derivatives legislation, including commodity futures legislation, or both, the regulator or, in Québec, the securities regulatory authority may require access to the business location to review the books, records and documents of the registered firm. If applicable, the SRO may also require access to the business location for the administration of the rules of the SRO.

If the business location specified in this form is a residence, the regulator, securities regulatory authority or SRO may request consent to enter the residence.

If consent is not provided, it may affect the ability of the regulator, securities regulatory authority or SRO to access the books, records or documents of a registered firm and to determine whether securities legislation, derivatives legislation (including commodity futures legislation) or the rules of the SRO are being complied with. As a result, the regulator, securities regulatory authority or SRO may take action if it is unable to access and review the books, records or documents of a registered firm held at the business location.

Item 6 — Previous employment

Provide the following information for your former sponsoring firm.

Name: ...............................................................................................................

Date on which you were no longer authorized to act on behalf of your former sponsoring firm as a registered individual or permitted individual: .......................................... (YYYY/MM/DD)

The reason why you left your former sponsoring firm:

.......................................................................................................................................................

Item 7 — Reportable activities

Name of your new sponsoring firm: ..............................................................................................

1. Activities with your sponsoring firm

Instructions: Describe all of your roles and responsibilities with your sponsoring firm, whether these roles and responsibilities are securities-related or not (e.g., sale of securities, review of marketing materials, IT help desk, negotiation of employment contracts, sales of banking and insurance products and services). Include any other information about your position with your sponsoring firm that is relevant for the regulator or, in Québec, the securities regulatory authority to know (e.g., if your role is specialized). For example, if you are applying as an advising representative limited to client relationship management, indicate this by including the following statement in Schedule D: "Individual is seeking registration as CRM AR."

Complete a Schedule D with respect to your roles and responsibilities with your sponsoring firm.

2. Reportable outside activities

Instructions: Consider all of the activities that you participate in outside of your sponsoring firm, whether or not you receive compensation for such activities and whether or not any such activity is business-related. Activities performed for an affiliated entity are considered activities outside of your sponsoring firm. If any of the categories below describes one or more activities that you participate in, complete a separate Schedule D for each activity or entity. If multiple activities are performed for one entity, complete a single Schedule D identifying all the activities performed.

Uncompensated activities that do not fall within Categories 1 to 5 (i.e., generally activities that do not involve securities or financial services and are not a position of influence, such as being a little league soccer coach) are not reportable.

Category 1 — Activities with another registered firm

Instructions: Report activities with registered firms, other than your sponsoring firm. All activities in this category are reportable, whether or not you receive compensation for such activities. Major shareholder means a shareholder who, in total, directly or indirectly owns voting securities carrying 10 percent or more of the votes carried by all outstanding voting securities.

If you are a director, officer, employee, contractor, consultant, agent, or service provider of a registered firm other than your sponsoring firm, or are in any other equivalent position with or for that registered firm, or are a major shareholder or partner of that registered firm, complete a separate Schedule D for the registered firm.

Category 2 — Activities with an entity that receives compensation from a registered firm

If you are a director, officer, employee, contractor, consultant, or agent of a specified entity, or are in any other equivalent position with or for a specified entity, or are a shareholder or partner of a specified entity, complete a separate Schedule D for the specified entity.

For the purposes of this category, "specified entity" means an entity that receives compensation from a registered firm for activities that you provide for your sponsoring firm or another registered firm.

Category 3 — Other securities-related activities

Instructions: All activities in this category are reportable, whether or not you receive compensation for such activities. Charitable or other fundraising activities that do not involve the issuance of securities or derivatives are not reportable.

If you have been at any time in the last 7 years directly involved in raising money for an entity through the issuance of securities or derivatives or promoting the sale of an entity's securities or derivatives outside of your activities with your sponsoring firm or another registered firm, complete a separate Schedule D for each entity for which you performed these activities.

Directors and officers of reporting issuers and of entities that have been at any time in the last 7 years raising money through the issuance of securities or derivatives are considered to be directly involved in raising money for that entity.

Category 4 — Provision of financial or finance-related services

Instructions: All activities in this category are reportable, whether or not you receive compensation for such activities. For example, volunteer activities pertaining to your securities or financial services knowledge must be reported under this category. Also report if you are the owner or management of an entity that provides these services. Major shareholder means a shareholder who, in total, directly or indirectly owns voting securities carrying 10 percent or more of the votes carried by all outstanding voting securities.

Complete a separate Schedule D for each activity, as applicable, if you

•  sell or negotiate insurance, including being an insurance broker or agent,

•  provide loan or deposit or other banking products and services,

•  carry on a money service business, including exchanging one type of currency for another, transferring money from one person to another, or issuing or redeeming money orders, traveller's cheques or anything similar,

•  facilitate or administer mortgages, including acting as a mortgage broker, agent or administrator,

•  prepare tax returns or provide tax advice,

•  help create programs for persons to meet their long-term financial goals, including providing financial planning (including estate planning) or financial advice,

•  provide corporate finance services, including services provided in the capacity of a comptroller, treasurer and chief financial officer,

•  advise persons under financial stress on credit/debt restructuring,

•  are a pension consultant,

•  provide advice on mergers and acquisitions,

•  provide accounting or bookkeeping services,

•  provide oversight or independent review or expert opinion on the management of an entity's financial assets,

•  lend money or accept deposits of money (e.g., alternative financing, non-bank financial institutions), or

•  provide other financial or finance-related services not identified above.

Also complete a separate Schedule D for each activity, as applicable, if you are a director or officer, or are in any other equivalent position with or for, or are a major shareholder or active partner of, an entity that provides one or more of the services in the above list.

Category 5 — Positions of influence

Instructions: All positions of influence (e.g., medical doctor, leader in a religious organization) are reportable, whether or not you receive compensation for such activities. Guidance: see also section 13.4.3 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and the Companion Policy to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.

Complete a separate Schedule D for each position of influence that you are in.

Item 8 — Ownership of securities in new sponsoring firm

Are you a partner or major shareholder of your new sponsoring firm?

Yes [  ] No [  ]

If "Yes", complete Schedule E.

Item 9 — Confirm permanent record

1. Check the appropriate box to indicate that, since leaving your former sponsoring firm, there has been a change to any information previously submitted for the items of your Form 33-109F4 that are listed below.

[  ] Regulatory disclosure (Item 13, other than changes to Item 13.3 (a))

[  ] Criminal disclosure (Item 14)

[  ] Civil disclosure (Item 15)

[  ] Financial disclosure (Item 16)

2. Check the box below — I am eligible to file this Form 33-109F7 — only if you satisfy all of the following conditions:

(a) the information in your Form 33-109F4 was up-to-date when you left your sponsoring firm;

(b) there are no changes to any of the disclosure items under Item 9.1 above;

(c) if this form is submitted on or after June 6, 2023, on the date this form is submitted, your information in the National Registration Database does not state "there is no response to this question" for any item of Form 33-109F4;

(d) at the time of cessation with your former sponsoring firm, there was no allegation against you, in Canada or in any foreign jurisdiction, relevant to an assessment of whether you are not suitable for registration or your registration is objectionable, including, for greater certainty, any allegations against you of

•  a crime,

•  a contravention of any statute, or regulation, or order of a court or regulatory body,

•  a contravention of any rule or bylaw of an SRO, or a professional body, or of a similar organization, or

•  a failure to meet any standard of conduct of the sponsoring firm or of any professional body.

If you do not meet the above conditions for selecting the box 'I am eligible to file this Form 33-109F7', then you must apply for reinstatement by completing on NRD a Form 33-109F4 by making the NRD submission entitled "Reactivation of Registration". If you are submitting a Form 33-109F4 in a format other than NRD format you must complete the entire form.

[  ] I am eligible to file this Form 33-109F7.

Item 10 — Submission to jurisdiction and notice and consent for collection and use of personal information

1. Submission to jurisdiction

By submitting this form, you agree to be subject to the securities legislation or derivatives legislation (including commodity futures legislation) or both of each jurisdiction of Canada, and to the bylaws, regulations, rules, rulings and policies (collectively referred to as "rules" in this form) of the SROs to which you have submitted this form. This includes the jurisdiction of any tribunals or any proceedings that relate to your activities as a registrant or a partner, director or officer of a registrant under that securities legislation or derivatives legislation or both or as an approved person under SRO rules.

2. Notice of collection and use of personal information

Your personal information is collected by, or on behalf of, each securities regulatory authority and SRO set out in Schedule F. Any of the securities regulatory authorities or SROs set out in Schedule F may contact governmental or regulatory authorities, private bodies or agencies, individuals, corporations, employers, and other organizations, in Canada and in other countries, for information about you.

This personal information is being collected under the authority of the applicable securities legislation, derivatives legislation (including commodity futures legislation) or both of the securities regulatory authorities and under the SRO rules of an SRO set out in Schedule F. The collection, use and disclosure are done in accordance with applicable freedom of information and privacy legislation.

The principal purpose of this collection by the securities regulatory authorities is to administer, enforce, carry out their duties or exercise their powers under their respective securities legislation, derivatives legislation (including commodity futures legislation) or both, and by the SROs to administer and enforce the rules of the SROs.

The information submitted by you in this form with your consent, or collected indirectly with your authorization, may be collected

•  at the time of your application,

•  at any time during your registration or while you are a permitted individual, or

•  at the time the regulator or, in Québec, the securities regulatory authority, or the SRO is informed by your sponsoring firm that you no longer have authority to act on behalf of the sponsoring firm or are not a permitted individual of the sponsoring firm.

If you have any questions about the collection, use and disclosure of this information, contact the securities regulatory authority or SRO in any jurisdiction in which the required information is submitted. See Schedule F for details.

Certain information, such as your name(s) (including aliases, trade names or some past names), your sponsoring firm, and other relevant registration information, will be listed in a publicly available registry of registered individuals and, if applicable, on the Disciplined List.

Certain securities regulatory authorities may provide to or receive from certain entities information under separate provisions of their securities legislation or derivatives legislation (including commodity futures legislation) or both, and SROs may provide or receive information under the rules of the SROs. This consent and notice does not limit the authority, powers, obligations or rights conferred on any of the securities regulatory authorities by legislation or regulations in effect in their jurisdiction.

3. Consent to collect and use personal information

By submitting this form, you consent to and authorize the collection, directly and indirectly, of personal information by each securities regulatory authority and SRO and to the use of your personal information as set out above.

The personal information that each securities regulatory authority or SRO collects includes the following:

•  the personal information provided in this form;

•  the personal information provided by your sponsoring firm;

•  registration or financial services licensing information;

•  law enforcement records, including police records;

•  credit records;

•  bankruptcy or other insolvency records;

•  employment records and information received from an employer;

•  records and information received from entities you had or have an independent contractor or agency relationship with;

•  personal information available online;

•  records from governmental or regulatory authorities, SROs or professional bodies;

•  records of, and used in, court proceedings, including probation records.

Items 11 and 12

Repealed. [B.C. Reg. 126/2022, Sch. 2, s. 16 (h) and (i).]

Schedule A

Use of Other Names (Item 1.4)

Item 1.4 — Use of other names

Name 1:

Name: .....................................................................................

Provide the reasons for the use of this other name (for example, trade name or team name):

If this other name is or was used in connection with any sponsoring firm, did the sponsoring firm approve the use of the name?

Yes [  ] No [  ]

Name 2:

Name: .....................................................................................

Provide the reasons for the use of this other name (for example, trade name or team name):

If this other name is or was used in connection with any sponsoring firm, did the sponsoring firm approve the use of the name?

Yes [  ] No [  ]

Name 3:

Name: .....................................................................................

Provide the reasons for the use of this other name (for example, trade name or team name):

If this other name is or was used in connection with any sponsoring firm, did the sponsoring firm approve the use of the name?

Yes [  ] No [  ]

Schedule B

Individual Categories (Item 3)

Categories common to all jurisdictions under securities legislation

Firm categories [Format other than NRD format only]

[  ] Investment Dealer

[  ] Mutual Fund Dealer

[  ] Scholarship Plan Dealer

[  ] Exempt Market Dealer

[  ] Restricted Dealer

[  ] Portfolio Manager

[  ] Restricted Portfolio Manager

[  ] Investment Fund Manager

Individual categories and permitted activities

[  ] Dealing Representative

[  ] Advising Representative

[  ] Associate Advising Representative

[  ] Ultimate Designated Person

[  ] Chief Compliance Officer

[  ] Permitted Individual as described in paragraph (c) of the definition of "permitted individual" in section 1.1 of National Instrument 33-109 Registration Information

[  ] Officer — Specify title:

[  ] Director

[  ] Partner

[  ] Shareholder

[  ] Branch Manager (MFDA members only)

[  ] IIROC approval only

IIROC

Approval categories

[  ] Executive

[  ] Director (Industry)

[  ] Director (Non-Industry)

[  ] Supervisor

[  ] Investor

[  ] Registered Representative

[  ] Investment Representative

[  ] Portfolio Manager

[  ] Associate Portfolio Manager

[  ] Trader

Additional approval categories

[  ] Chief Compliance Officer

[  ] Chief Financial Officer

[  ] Ultimate Designated Person

Products

[  ] Non-Trading

[  ] Securities

[  ] Options

[  ] Futures Contracts and Futures Contract Options

[  ] Mutual Funds only

Customer type

[  ] Retail

[  ] Institutional

[  ] Not Applicable

Portfolio management

[  ] Portfolio Management

Categories under local commodity futures and derivatives legislation

Ontario

Firm categories

[  ] Commodity Trading Adviser

[  ] Commodity Trading Counsel

[  ] Commodity Trading Manager

[  ] Futures Commission Merchant

Individual categories and permitted activities

[  ] Advising Representative

[  ] Salesperson

[  ] Branch Manager

[  ] Officer — Specify title:

[  ] Director

[  ] Partner

[  ] Shareholder

[  ] IIROC approval only

Manitoba

Firm categories

[  ] Dealer (Merchant)

[  ] Dealer (Futures Commission Merchant)

[  ] Dealer (Floor Broker)

[  ] Adviser

[  ] Local

Individual categories and permitted activities

[  ] Floor Broker

[  ] Salesperson

[  ] Branch Manager

[  ] Adviser

[  ] Officer — Specify title:

[  ] Director

[  ] Partner

[  ] Futures Contracts Portfolio Manager

[  ] Associate Futures Contracts Portfolio Manager

[  ] IIROC approval only

[  ] Local

Québec

Firm categories

[  ] Derivatives Dealers

[  ] Derivatives Portfolio Manager

Individual categories and permitted activities

[  ] Derivatives Dealing Representative

[  ] Derivatives Advising Representative

[  ] Derivatives Associate Advising Representative

Schedule C

Address and Agent for Service (Item 4)

Item 4.1 — Address for service

You must have one address for service in each province or territory in which you are now, or are seeking to become, a registered individual or permitted 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 (.....) .........................

Business e-mail address: ..................................................................................

Item 4.2 — Agent for service

Name of agent for service: ......................................................................................

(if applicable)

Contact person: .......................................................................................................
Last name, First name

Schedule D

Reportable Activities (Item 7)

1. Start date .................................................................

(YYYY/MM/DD)

2. Sponsoring firm or other entity information

[  ] Check here if the reportable activity is with your sponsoring firm.

If the reportable activity is with your sponsoring firm, you are not required to indicate the firm's name and address but are required to provide the name and title of your immediate supervisor. For all other types of reportable activity, enter all of the information below:

Name of business or employer: .....................................................................................

Address of business or employer: ..................................................................................

(number, street, city, province, territory or state, country)
 

Name and title of your immediate supervisor: ...............................................................

3. Description of the reportable activity and your roles and responsibilities

Instructions: If you are completing this schedule in relation to your activities with your sponsoring firm, for (e) below, provide the title(s) you will use once registered, and if you are already registered, provide the title(s) you use as of the date of this filing.

(a) Describe the entity that you carry on the activity with or for, including the nature of the entity's business.

(b) Is the entity listed on an exchange?

(c) Describe your relationship with the entity.

(d) Describe all of your roles and responsibilities relating to the activity.

...............................................................................................................................

(e) Provide all business title(s) and professional designation(s) you use for the activity.

...............................................................................................................................

4. Number of work hours per week

How many hours per week do you spend on this activity? .................

5. Conflicts of interest

Instructions: Complete this section if you have a reportable activity outside your sponsoring firm. Do not complete this section if your reportable activity is solely with your sponsoring firm.

Take into consideration existing and reasonably foreseeable material conflicts of interest and existing and potential client confusion.

(a) Does the activity give rise to any material conflicts of interest between the client and the sponsoring firm or you? Does the activity give rise to client confusion? If no material conflicts of interest or client confusion are expected, explain why.

...............................................................................................................................

...............................................................................................................................

...............................................................................................................................

(b) Describe (i) the material conflicts of interest, and (ii) how these conflicts will be addressed in the best interest of the client.

...............................................................................................................................

(c) Describe (i) the client, and (ii) how the client confusion will be addressed.

...............................................................................................................................

...............................................................................................................................

...............................................................................................................................

(d) Does your sponsoring firm and the entity have procedures for identifying and addressing material conflicts of interest? If so, confirm you are complying with both sets of procedures.

...............................................................................................................................

(e) State the name and title of the individual at your sponsoring firm who has reviewed and approved the activity.

...............................................................................................................................

...............................................................................................................................

...............................................................................................................................

Schedule E

Ownership of Securities in New Sponsoring Firm (Item 8)

Firm name (whose business is trading in or advising on securities or derivatives, or both):

.......................................................................................................................................................

What is your relationship to the firm? Partner [  ] Major shareholder [  ]

Provide the following information:

(a) State the number, value, class and percentage of securities, or the amount of partnership interest you own or propose to acquire when you are reinstated or approved as a result of the review of this form. If acquiring shares when you are so approved or registered, state the source (for example, treasury shares, or if upon transfer, state name of transferor).

.......................................................................................................................................

(b) State the market value (approximate, if necessary) of any 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:

.......................................................................................................................................

(c) If another person or entity has provided you with funds to invest in the firm, provide the name of the person or entity and state the relationship between you and that person or entity:

.......................................................................................................................................

(d) Is the payment of the funds to be invested (or proposed to be invested) guaranteed directly or indirectly by any person or entity?

Yes [  ] No [  ]

If "Yes", provide the name of the person or entity and state the relationship between you and that person or entity:

.......................................................................................................................................

(e) Have you directly or indirectly given up any rights relating to these securities or this partnership interest, or do you, when you are registered or approved as a result of the review of this form, intend to give up any of these rights (including by hypothecation, pledging or depositing as collateral the securities or partnership interest with any entity or person)?

Yes [  ] No [  ]

If "Yes", provide the name of the person or entity, state the relationship between you and that person or entity and describe the rights that have been or will be given up:

.......................................................................................................................................

(f) Is a person other than you the beneficial owner of the shares, bonds, debentures, partnership units or notes held by you?

Yes [  ] No [  ]

If "Yes", complete (g), (h) and (i).

(g) Name of beneficial owner:

(h) Residential address:

.......................................................................................................................................
(number, street, city, province, territory or state, country, postal code)

(i) Occupation:

.......................................................................................................................................

Schedule F

Contact Information for Notice and Consent for Collection and Use of Personal Information

[Provisions relevant to the enactment of this regulation: Securities Act, R.S.B.C. 1996, c. 418, s. 184.]

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