Section 1.1 definitions of "clearing agency", "institutional investor", "trade-matching party", "T+1", "T+2 and "T+3" BEFORE amended by BC Reg 222/2010, effective July 1, 2010.

"clearing agency" means,

(a) in Ontario, a clearing agency recognized by the securities regulatory authority under section 21.2 of the Securities Act (Ontario),

(b) in Quebec, a clearing house for securities authorized by the securities regulatory authority, and

(c) in every other jurisdiction, an entity that is carrying on business as a clearing agency in the jurisdiction;

"institutional investor" means an investor that has been granted DAP/RAP trading privileges by a dealer;

"trade-matching party" means, for a trade executed with or on behalf of an institutional investor,

(a) a registered adviser acting for the institutional investor in the trade,

(b) if a registered adviser is not acting for the institutional investor in the trade, the institutional investor,

(c) a registered dealer executing or clearing the trade, or

(d) a custodian of the institutional investor settling the trade;

"T+1" means the next business day following the day on which a trade is executed;

"T+2" means the second business day following the day on which a trade is executed;

"T+3" means the third business day following the day on which a trade is executed.

 Section 1.1 definition of "North American region" was added by BC Reg 222/2010, effective July 1, 2010.

 Section 1.1 definitions of "clearing agency" and "DAP/RAP trade" BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

"clearing agency" means,

(a) in Ontario, a clearing agency recognized by the securities regulatory authority under section 21.2 of the Securities Act (Ontario),

(b) in Québec, a clearing house for securities recognized by the securities regulatory authority, and

(c) in every other jurisdiction, an entity that is carrying on business as a clearing agency in the jurisdiction;

"DAP/RAP trade" means a trade

(a) executed for a client trading account that permits settlement on a delivery against payment or receipt against payment basis through the facilities of a clearing agency, and

(b) for which settlement is made on behalf of the client by a custodian other than the dealer that executed the trade;

 Section 1.1 definitions of "North American region" and "T+3" BEFORE repealed by BC Reg 167/2017, effective September 5, 2017.

"North American region" means Canada, the United States of America, Mexico, Bermuda and the countries of Central America and the Caribbean;

"T+3" means the third business day following T.

 Section 1.1 definition of "T+2" BEFORE repealed by BC Reg 109/2024, effective May 27, 2024.

"T+2" means the second business day following T.

 Section 1.2 (2) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

(2) Unless the context otherwise requires, a reference in this Instrument to

(a) a time is to Eastern Time, and

(b) a day is to a twenty-four hour day from midnight to midnight Eastern Time.

 Section 2.1 (f) BEFORE amended by BC Reg 222/2010, effective July 1, 2010.

(f) a trade to which National Instrument 81-102 – Mutual Funds applies,

 Section 2.1 (f) BEFORE amended by BC Reg 176/2014, effective September 22, 2014.

(f) a trade in a security of a mutual fund to which National Instrument 81-102 — Mutual Funds applies,

 Section 2.1 (f) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

(f) a trade in a security of a mutual fund to which National Instrument 81-102 Investment Funds applies,

 Section 3.1 BEFORE amended by BC Reg 222/2010, effective July 1, 2010.

 Section 3.1 (1) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

(1) A registered dealer shall not execute a DAP/RAP trade with or on behalf of an institutional investor unless the dealer has established, maintains and enforces policies and procedures designed to achieve matching as soon as practical after such a trade is executed and in any event no later than 12 p.m. (noon) on T+1.

 Section 3.1 (2) BEFORE repealed by BC Reg 167/2017, effective September 5, 2017.

(2) Despite subsection (1), the dealer may adapt its policies and procedures to permit matching to occur no later than 12 p.m. (noon) on T+2 for a DAP/RAP trade that results from an order to buy or sell securities received from an institutional investor whose investment decisions or settlement instructions are usually made in and communicated from a geographical region outside of the North American region.

 Section 3.1 (1) BEFORE amended by BC Reg 109/2024, effective May 27, 2024.

(1) A registered dealer must not execute a DAP/RAP trade with or on behalf of an institutional investor unless the dealer has established, maintains and enforces policies and procedures designed to achieve matching as soon as practical after such a trade is executed and in any event no later than 12 p.m. (noon) Eastern Time on T+1.

 Section 3.2 BEFORE re-enacted by BC Reg 222/2010, effective July 1, 2010.

 Section 3.2 (part) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 3.3 BEFORE amended by BC Reg 222/2010, effective July 1, 2010.

 Section 3.3 (1) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

(1) A registered adviser shall not give an order to a dealer to execute a DAP/RAP trade on behalf of an institutional investor unless the adviser has established, maintains and enforces policies and procedures designed to achieve matching as soon as practical after such a trade is executed and in any event no later than 12 p.m. (noon) on T+1.

 Section 3.3 (2) BEFORE repealed by BC Reg 167/2017, effective September 5, 2017.

(2) Despite subsection (1), the adviser may adapt its policies and procedures to permit matching to occur no later than 12 p.m. (noon) on T+2 for a DAP/RAP trade that results from an order to buy or sell securities received from an institutional investor whose investment decisions or settlement instructions are usually made in and communicated from a geographical region outside of the North American region.

 Section 3.3 (1) BEFORE amended by BC Reg 109/2024, effective May 27, 2024.

(1) A registered adviser must not give an order to a dealer to execute a DAP/RAP trade on behalf of an institutional investor unless the adviser has established, maintains and enforces policies and procedures designed to achieve matching as soon as practical after such a trade is executed and in any event no later than 12 p.m. (noon) Eastern Time on T+1.

 Section 3.4 BEFORE re-enacted by BC Reg 222/2010, effective July 1, 2010.

 Section 3.4 (part) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Part 4 BEFORE amended by BC Reg 226/2009, effective September 28, 2009.

Part 4 - Reporting Requirement for Registrants

 Part 4 BEFORE re-enacted by BC Reg 222/2010, effective July 1, 2010.

Part 4 - Reporting Requirement for Registered Firms

 Section 4.1 (part) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 4.1 BEFORE repealed by BC Reg 109/2024, effective May 27, 2024.

 Section 5.1 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 6.1 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 6.2 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 6.3 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 6.4 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 6.5 (part) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Section 6.5 (a) (iv) BEFORE amended by BC Reg 109/2024, effective May 27, 2024.

(iv) review the vulnerability of those systems and data centre computer operations to internal and external threats, including breaches of security, physical hazards and natural disasters, and

 Section 7.1 (1) BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

(1) A registered dealer shall not execute a trade unless the dealer has established, maintains and enforces policies and procedures designed to facilitate settlement of the trade on a date that is no later than the standard settlement date for the type of security traded prescribed by an SRO or the marketplace on which the trade would be executed.

 Section 8.1 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

 Form 24-101F1, title BEFORE amended by BC Reg 226/2009, effective September 28, 2009.

Registrant

 Form 24-101F1, headings BEFORE amended by BC Reg 226/2009, effective September 28, 2009.

REGISTRANT IDENTIFICATION AND CONTACT INFORMATION:

CERTIFICATE OF REGISTRANT

 Form 24-101F1, items 1, 3, 7 (a) and (b) BEFORE amended by BC Reg 226/2009, effective September 28, 2009.

1. Full name of registrant (if sole proprietor, last, first and middle name):

3. Address of registrant's principal place of business:

7. (a) Registrant NRD number:

(b) If the registrant is a participant of a clearing agency, the registrant's CUID number:

 Form 24-101F1, in Exhibit B, term "CERTIFICATE OF REGISTRANT" BEFORE amended by BC Reg 226/2009, effective September 28, 2009.

CERTIFICATE OF REGISTERED FIRM

The undersigned certifies that the information given in this report on behalf of the registered firm is true and correct.

 Form 24-101F1 BEFORE re-enacted by BC Reg 222/2010, effective July 1, 2010.

Form 24-101F1

[am. B.C. Reg. 226/2009, Sch. G, s. 4.]

Registered Firm

Exception Report of
DAP/RAP Trade Reporting and Matching

CALENDAR QUARTER PERIOD COVERED:

From: ...................................... to: ......................................

REGISTERED FIRM IDENTIFICATION AND CONTACT INFORMATION:

1. Full name of registered firm (if sole proprietor, last, first and middle name):

2. Name(s) under which business is conducted, if different from item 1:

3. Address of registered firm's principal place of business:

4. Mailing address, if different from business address:

5. Type of business: [ ] Dealer [ ] Adviser

6. Category of registration:

7. (a) Registered Firm NRD number:

(b) If the registered firm is a participant of a clearing agency, the registered firm's CUID number:

8. Contact employee name:

Telephone number:

Email address:

INSTRUCTIONS:

Deliver this form for both equity and debt DAP/RAP trades together with Exhibits A, B and C pursuant to section 4.1 of the Instrument, covering the calendar quarter indicated above, within 45 days of the end of the calendar quarter if

EXHIBITS:

Exhibit A — DAP/RAP trade statistics for the quarter

Complete Tables 1 and 2 below for each calendar quarter.

(1) Equity DAP/RAP trades

(2) Debt DAP/RAP trades

Exhibit B — Reasons for non-compliance

Describe the circumstances or underlying causes that resulted in or contributed to the failure to achieve the percentage target for matched equity and/or debt DAP/RAP trades within the maximum time prescribed by Part 3 of the Instrument. Reasons given could be one or more matters within your control or due to another trade-matching party or service provider. If you have insufficient information to determine the percentages, the reason for this should be provided. See also Companion Policy 24-101CP to the Instrument.

Exhibit C — Steps to address delays

Describe what specific steps you are taking to resolve delays in the equity and/or debt DAP/RAP trade reporting and matching process in the future. Indicate when each of these steps is expected to be implemented. The steps being taken could be internally focused, such as implementing a new system or procedure, or externally focused, such as meeting with a trade-matching party to determine what action should be taken by that party. If you have insufficient information to determine the percentages, the steps being taken to obtain this information should be provided. See also Companion Policy 24-101CP to the Instrument.

CERTIFICATE OF REGISTERED FIRM

The undersigned certifies that the information given in this report on behalf of the registered firm is true and correct.

DATED at .................................................... this ............. day of .................................., 20......

............................................................................................................................................................
(Name of registered firm – type or print)

............................................................................................................................................................
(Name of director, officer or partner – type or print)

............................................................................................................................................................
(Signature of director, officer or partner)

............................................................................................................................................................
(Official capacity – type or print)

 Form 24-101F1, item 3b BEFORE amended by BC Reg 238/2014, effective January 11, 2015

3b. Indicate below the jurisdiction of your principal regulator within the meaning of NI 31-103 Registration Requirements and Exemptions:

 Form 24-101F1, Instructions, Exhibit A, Exhibit B and Exhibit C BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

INSTRUCTIONS:

Deliver this form for both equity and debt DAP/RAP trades together with Exhibits A, B and C pursuant to section 4.1 of the Instrument, covering the calendar quarter indicated above, within 45 days of the end of the calendar quarter if

(a) less than 90 per cent of the equity and/or debt DAP/RAP trades executed by or for you during the quarter matched within the time required in Part 3 of the Instrument, or

(b) the equity and/or debt DAP/RAP trades executed by or for you during the quarter that matched within the time required in Part 3 of the Instrument represent less than 90 per cent of the aggregate value of the securities purchased and sold in those trades.

EXHIBITS:

Exhibit A – DAP/RAP trade statistics for the quarter

Complete Tables 1 and 2 below for each calendar quarter.

(1) Equity DAP/RAP trades

(2) Debt DAP/RAP trades

Exhibit B - Reasons for not meeting exception reporting thresholds

Describe the circumstances or underlying causes that resulted in or contributed to the failure to achieve the percentage target for matched equity and/or debt DAP/RAP trades within the maximum time prescribed by Part 3 of the Instrument. Reasons given could be one or more matters within your control or due to another trade-matching party or service provider. If you have insufficient information to determine the percentages, the reason for this should be provided. See also Companion Policy 24-101CP to the Instrument.

Exhibit C – Steps to address delays

Describe what specific steps you are taking to resolve delays in the equity and/or debt DAP/RAP trade reporting and matching process in the future. Indicate when each of these steps is expected to be implemented. The steps being taken could be internally focused, such as implementing a new system or procedure, or externally focused, such as meeting with a trade-matching party to determine what action should be taken by that party. If you have insufficient information to determine the percentages, the steps being taken to obtain this information should be provided. See also Companion Policy 24-101CP to the Instrument.

 Form 24-101F1 BEFORE repealed by BC Reg 109/2024, effective May 27, 2024.

Form 24-101F1

[en. B.C. Reg. 222/2010, s. 8; am. B.C. Regs. 238/2014, App. D, s. 4; 167/2017, ss. 11 to 13.]

Registered Firm

Exception Report of
DAP/RAP Trade Reporting and Matching

CALENDAR QUARTER PERIOD COVERED:

From: ...................................... to: ......................................

REGISTERED FIRM IDENTIFICATION AND CONTACT INFORMATION:

1. Full name of registered firm (if sole proprietor, last, first and middle name):

2. Name(s) under which business is conducted, if different from item 1:

3a. Address of registered firm's principal place of business:

3b. Indicate below the jurisdiction of your principal regulator within the meaning of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations:

[ ] Alberta

[ ] British Columbia

[ ] Manitoba

[ ] New Brunswick

[ ] Newfoundland & Labrador

[ ] Northwest Territories

[ ] Nova Scotia

[ ] Nunavut

[ ] Ontario

[ ] Prince Edward Island

[ ] Québec

[ ] Saskatchewan

[ ] Yukon

3c. Indicate below all jurisdictions in which you are registered:

[ ] Alberta

[ ] British Columbia

[ ] Manitoba

[ ] New Brunswick

[ ] Newfoundland & Labrador

[ ] Northwest Territories

[ ] Nova Scotia

[ ] Nunavut

[ ] Ontario

[ ] Prince Edward Island

[ ] Québec

[ ] Saskatchewan

[ ] Yukon

4. Mailing address, if different from business address:

5. Type of business: [ ] Dealer [ ] Adviser

6. Category of registration:

7. (a) Registered Firm NRD number:

   (b) If the registered firm is a participant of a clearing agency, the registered firm's CUID number:

8. Contact employee name:

   Telephone number:

   Email address:

INSTRUCTIONS:

Deliver this form for both equity and debt DAP/RAP trades together with Exhibits A, B and C pursuant to section 4.1 of the Instrument, covering the calendar quarter indicated above, within 45 days of the end of the calendar quarter if

(a) less than 90 per cent of the equity or debt DAP/RAP trades executed by or for you during the quarter matched within the time required in Part 3 of the Instrument, or

(b) the equity or debt DAP/RAP trades executed by or for you during the quarter that matched within the time required in Part 3 of the Instrument represent less than 90 per cent of the aggregate value of the securities purchased and sold in those trades.

Include DAP/RAP trades in an exchange-traded fund (ETF) security in the equity DAP/RAP trades statistics. Exhibit A(1) applies only to trades in equity and ETF securities. Exhibit A(2) applies only to trades in debt and other fixed-income securities.

EXHIBITS:

Exhibit A – DAP/RAP trade statistics for the quarter

If applicable, complete Table 1 or 2, or both, below for each calendar quarter. Deadline means noon Eastern time on T+1.

(1) Equity DAP/RAP trades (includes ETF trades)

(2) Debt DAP/RAP trades

Exhibit B - Reasons for not meeting exception reporting thresholds

Describe the circumstances or underlying causes that resulted in or contributed to the failure to achieve the percentage target for matched equity and/or debt DAP/RAP trades within the maximum time prescribed by Part 3 of the Instrument. Reasons given could be one or more matters within your control or due to another trade-matching party or service provider. If you have insufficient information to determine the percentages, the reason for this should be provided. See also Companion Policy 24-101 to the Instrument.

Exhibit C – Steps to address delays

Describe what specific steps you are taking to resolve delays in the equity and/or debt DAP/RAP trade reporting and matching process in the future. Indicate when each of these steps is expected to be implemented. The steps being taken could be internally focused, such as implementing a new system or procedure, or externally focused, such as meeting with a trade-matching party to determine what action should be taken by that party. If you have insufficient information to determine the percentages, the steps being taken to obtain this information should be provided. See also Companion Policy 24-101 to the Instrument.

CERTIFICATE OF REGISTERED FIRM

The undersigned certifies that the information given in this report on behalf of the registered firm is true and correct.

DATED at .................................................... this ............. day of .................................., 20......

............................................................................................................................................................
(Name of registered firm – type or print)

............................................................................................................................................................
(Name of director, officer or partner – type or print)

............................................................................................................................................................
(Signature of director, officer or partner)

............................................................................................................................................................
(Official capacity – type or print)

 Form 24-101F2, Instructions BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

INSTRUCTIONS:

Deliver this form together with all exhibits pursuant to section 5.1 of the Instrument, covering the calendar quarter indicated above, within 30 days of the end of the calendar quarter.
Exhibits shall be provided in an electronic file, in the following file format: "CSV" (Comma Separated Variable) (e.g., the format produced by Microsoft Excel).

 Form 24-101F2, Exhibit A, Tables 1 and 2 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

Table 1 — Equity trades:

Table 2 — Debt trades:

 Form 24-101F2 BEFORE amended by BC Reg 109/2024, effective May 27, 2024.

Form 24-101F2

[am. B.C. Reg. 167/2017, ss. 14 and15.]

Clearing Agency

Quarterly Operations Report of
Institutional Trade Reporting and Matching

CALENDAR QUARTER PERIOD COVERED:

From: ...................................... to: ......................................

IDENTIFICATION AND CONTACT INFORMATION:

1. Full name of clearing agency:

2. Name(s) under which business is conducted, if different from item 1:

3. Address of clearing agency's principal place of business:

4. Mailing address, if different from business address:

5. Contact employee name:

   Telephone number:

   Email address:

INSTRUCTIONS:

Deliver this form together with all exhibits pursuant to section 5.1 of the Instrument, covering the calendar quarter indicated above, within 30 days of the end of the calendar quarter.

Include client trades in an exchange-traded fund (ETF) security in the equity trades statistics.

Exhibits must be provided in an electronic file, in the following file format: "CSV" (Comma Separated Variable).

EXHIBITS:

1. DATA REPORTING

Exhibit A – Aggregate matched trade statistics

For client trades, provide the information to complete Tables 1 and 2 below for each month in the quarter. These two tables can be integrated into one report. Provide separate aggregate information for trades that have been reported or entered into your facilities as matched trades by a matching service utility.

Month/Year: ................................. (MMM/YYYY)

Table 1 — Equity trades:

Table 2 — Debt trades:

Exhibit B — Individual matched trade statistics

Using the format below, for each participant of the clearing agency, provide the percent of client trades during the quarter that have been entered and matched by the participant within the time required in Part 3 of the Instrument. The percentages given should relate to both the number of client trades that have been matched within the time and the aggregate value of the securities purchased and sold in the client trades that have been matched within the time.

CERTIFICATE OF CLEARING AGENCY

The undersigned certifies that the information given in this report on behalf of the clearing agency is true and correct.

DATED at .................................................... this ............. day of .................................., 20......

............................................................................................................................................................
(Name of clearing agency — type or print)

............................................................................................................................................................
(Name of director, officer or partner — type or print)

............................................................................................................................................................
(Signature of director, officer or partner)

............................................................................................................................................................
(Official capacity — type or print)

 Form 24-101F3, Instructions BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

INSTRUCTIONS:

Deliver this form together with all exhibits pursuant to section 6.1 or 10.2 (4) of the Instrument.

For each exhibit, include your name, the date of delivery of the exhibit and the date as of which the information is accurate (if different from the date of the delivery). If any exhibit required is not applicable, a full statement describing why the exhibit is not applicable shall be furnished in lieu of the exhibit. To the extent information requested for an exhibit is identical to the information requested in another form that you have filed or delivered under National Instrument 21-101 Marketplace Operation, simply attach a copy of that other form and indicate in this form where such information can be found in that other form.

If you are delivering an amendment to Form 24-101F3 pursuant to section 6.1 (2) or 6.2 of the Instrument, and the amended information relates to an exhibit that was delivered with such form, provide a description of the change and complete and deliver an updated exhibit. If you are delivering Form 24-101F3 pursuant to section 10.2 (4) of the Instrument, simply indicate at the top of this form under "Date of Commencement Information" that you were already carrying on business as a matching service utility in the relevant jurisdiction on the date that Part 6 of the Instrument came into force.

 Form 24-101F3 BEFORE amended by BC Reg 109/2024, effective May 27, 2024.

Form 24-101F3

[am. B.C. Regs. 167/2017, s. 16.]

Matching Service Utility
Notice of Operations

DATE OF COMMENCEMENT INFORMATION:

Effective date of commencement of operations: ..................................... (DD/MMM/YYYY)

TYPE OF INFORMATION:    [ ] INITIAL SUBMISSION    [ ] AMENDMENT

MATCHING SERVICE UTILITY IDENTIFICATION AND CONTACT INFORMATION:

1. Full name of matching service utility:

2. Name(s) under which business is conducted, if different from item 1:

3. Address of matching service utility's principal place of business:

4. Mailing address, if different from business address:

5. Contact employee name:

   Telephone number:

   Email address:

6. Legal counsel:

   Firm name:

   Telephone number:

   Email address:

GENERAL INFORMATION:

7. Website address:

8. Date of financial year-end: ................................................. (DD/MMM/YYYY)

9. Indicate the form of your legal status (e.g., corporation, limited or general partnership), the date of formation, and the jurisdiction under which you were formed:

(a) Date of formation: ................................................. (DD/MMM/YYYY)

(b) Jurisdiction and manner of formation:

10. Specify the general types of securities for which information is being or will be received and processed by you for transmission of matched trades to a clearing agency (e.g. exchange-traded domestic equity and debt securities, exchange-traded foreign equity and debt securities, equity and debt securities traded over-the-counter).

INSTRUCTIONS:

Deliver this form together with all exhibits pursuant to section 6.1 of the Instrument.

For each exhibit, include your name, the date of delivery of the exhibit and the date as of which the information is accurate (if different from the date of the delivery). If any exhibit required is not applicable, a full statement describing why the exhibit is not applicable must be furnished in lieu of the exhibit. To the extent information requested for an exhibit is identical to the information requested in another form that you have filed or delivered under National Instrument 21-101 Marketplace Operation, simply attach a copy of that other form and indicate in this form where such information can be found in that other form.

If you are delivering an amendment to Form 24-101F3 pursuant to section 6.1 (2) or 6.2 of the Instrument, and the amended information relates to an exhibit that was delivered with such form, provide a description of the change and complete and deliver an updated exhibit.

EXHIBITS:

1. CORPORATE GOVERNANCE

Exhibit A — Constating documents

Provide a copy of your constating documents, including corporate bylaws and other similar documents, as amended from time to time.

Exhibit B — Ownership

List any person or company that owns 10 percent or more of your voting securities or that, either directly or indirectly, through agreement or otherwise, may control your management. Provide the full name and address of each person or company and attach a copy of the agreement or, if there is no written agreement, briefly describe the agreement or basis through which the person or company exercises or may exercise control or direction.

Exhibit C — Officials

Provide a list of the partners, officers, directors or persons performing similar functions who presently hold or have held their offices or positions during the current and previous calendar year, indicating the following for each:

1. Name.

2. Title.

3. Dates of commencement and expiry of present term of office or position and length of time the office or position held.

4. Type of business in which each is primarily engaged and current employer.

5. Type of business in which each was primarily engaged in the preceding five years, if different from that set out in item 4.

6. Whether the person is considered to be an independent director.

Exhibit D — Organizational structure

Provide a narrative or graphic description of your organizational structure.

Exhibit E — Affiliated entities

For each person or company affiliated to you, provide the following information:

1. Name and address of affiliated entity.

2. Form of organization (e.g., association, corporation, partnership).

3. Name of jurisdiction and statute under which organized.

4. Date of incorporation in present form.

5. Brief description of nature and extent of affiliation or contractual or other agreement with you.

6. Brief description of business services or functions.

7. If a person or company has ceased to be affiliated with you during the previous year or ceased to have a contractual or other agreement relating to your operations during the previous year, provide a brief statement of the reasons for termination of the relationship.

2. FINANCIAL VIABILITY

Exhibit F — Audited financial statements

Provide your audited financial statements for the latest financial year and a report prepared by an independent auditor.

3. FEES

Exhibit G — Fee list, fee structure

Provide a complete list of all fees and other charges imposed, or to be imposed, by you for use of your services as a matching service utility, including the cost of establishing a connection to your systems.

4. ACCESS

Exhibit H — Users

Provide a list of all users or subscribers for which you provide or propose to provide the services of a matching service utility. Identify the type(s) of business of each user or subscriber (e.g., custodian, dealer, adviser or other party).
If applicable, for each instance during the past year in which any user or subscriber of your services has been prohibited or limited in respect of access to such services, indicate the name of each such user or subscriber and the reason for the prohibition or limitation.

Exhibit I — User contract

Provide a copy of each form of agreement governing the terms by which users or subscribers may subscribe to your services of a matching service utility.

5. SYSTEMS AND OPERATIONS

Exhibit J — System description

Describe the manner of operation of your systems for performing your services of a matching service utility (including, without limitation, systems that collect and process trade execution details and settlement instructions for matching of trades). This description should include the following:

1. The hours of operation of the systems, including communication with a clearing agency.

2. Locations of operations and systems (e.g., countries and cities where computers are operated, primary and backup).

3. A brief description in narrative form of each service or function performed by you.

6. SYSTEMS COMPLIANCE

Exhibit K — Security

Provide a brief description of the processes and procedures implemented by you to provide for the security of any system used to perform your services of a matching service utility.

Exhibit L — Capacity planning and measurement

1. Provide a brief description of capacity planning/performance measurement techniques and system and stress testing methodologies.

2. Provide a brief description of testing methodologies with users or subscribers. For example, when are user/subscriber tests employed? How extensive are these tests?

Exhibit M — Business continuity

Provide a brief description of your contingency and business continuity plans in the event of a catastrophe.

Exhibit N — Material systems failures

Provide a brief description of policies and procedures in place for reporting to regulators material systems failures. Material systems failures include serious incidents that result in the interruption of the matching of trades for more than thirty minutes during normal business hours.

Exhibit O — Independent systems audit

1. Briefly describe your plans to provide an annual independent audit of your systems.

2. If applicable, provide a copy of the last external systems operations audit report.

7. INTEROPERABILITY

Exhibit P — Interoperability agreements

List all other matching service utilities for which you have entered into an interoperability agreement. Provide a copy of all such agreements.

8. OUTSOURCING

Exhibit Q — Outsourcing firms

For each person or company (outsourcing firm) with whom or which you have an outsourcing agreement or arrangement relating to your services of a matching service utility, provide the following information:

1. Name and address of the outsourcing firm.

2. Brief description of business services or functions of the outsourcing firm.

3. Brief description of the outsourcing firm's contingency and business continuity plans in the event of a catastrophe.

CERTIFICATE OF MATCHING SERVICE UTILITY

The undersigned certifies that the information given in this report on behalf of the matching service utility is true and correct.

DATED at .................................................... this ............. day of .................................., 20......

............................................................................................................................................................
(Name of matching service utility – type or print)

............................................................................................................................................................
(Name of director, officer or partner – type or print)

.................................................................................................................................................................................
(Signature of director, officer or partner)

............................................................................................................................................................
(Official capacity – type or print)

 Form 24-101F4, Instructions BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

INSTRUCTIONS:

Deliver this form together with all exhibits pursuant to section 6.3 of the Instrument.

For each exhibit, include your name, the date of delivery of the exhibit and the date as of which the information is accurate (if different from the date of the delivery). If any exhibit required is not applicable, a full statement describing why the exhibit is not applicable shall be furnished in lieu of the exhibit.

 Form 24-101F4 (part) BEFORE amended by BC Reg 109/2024, effective May 27, 2024.

Effective date of operations cessation: ........................................ (DD/MMM/YYYY)

 Form 24-101F5, Instructions BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

INSTRUCTIONS:

Deliver this form together with all exhibits pursuant to section 6.4 of the Instrument, covering the calendar quarter indicated above, within 30 days of the end of the calendar quarter.

Exhibits shall be reported in an electronic file, in the following format: "CSV" (Comma Separated Variable) (e.g., the format produced by Microsoft Excel).

If any information specified is not available, a full statement describing why the information is not available shall be separately furnished.

 Form 24-101F5, Exhibit C, Tables 1 and 2 BEFORE amended by BC Reg 167/2017, effective September 5, 2017.

Table 1— Equity trades:

Table 2 — Debt trades: