Stuart is registered as mutual fund dealer in all provinces of Canada other than Québec.ģ. Stuart is a corporation incorporated under the laws of Ontario and has its head office in Ontario.Ģ. The decision is based on the following facts represented by the Filers:ġ. Terms defined in MI 11-102 and National Instrument 14-101 Definitions have the same meaning if used in this decision, unless otherwise defined. (b) the Filers have provided notice that subsection 4.7(1) of Multilateral Instrument 11-102 Passport System ( MI 11-102) is intended to be relied upon by the Filers in all of the other provinces of Canada (other than Ontario) and in the territory of Nunavut. (a) the Ontario Securities Commission is the principal regulator for this application and Under the Process for Exemptive Relief Applications in Multiple Jurisdictions: ( Keybase), on or about the Bulk Transfer Date (defined below), in accordance with section 3.4 of the Companion Policy to NI 33-109 (the Exemption Sought). ( Stuart) to Keybase Financial Group Inc.
#KEYBASE ALTERNATIVE REGISTRATION#
The principal regulator in the Jurisdiction has received an application from the Filers for a decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) for relief from the requirements contained in sections 2.2, 2.3, 2.5, 3.2 and 4.2 of National Instrument 33-109 Registration Information ( NI 33-109) pursuant to section 7.1 of NI 33-109 to allow the bulk transfer (the Bulk Transfer) of registered individuals and business locations of W.
National Instrument 33-109 Registration Information, ss. Multilateral Instrument 11-102 Passport System, s. Multilateral Instrument 11-102 Passport System - National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions - National Instrument 33-109 Registration Information (NI 33-109) - Relief from certain filing requirements of NI 33-109 in connection with a bulk transfer of business locations and registered and non-registered individuals under an asset acquisition in accordance with section 3.4 of Companion Policy 33-109CP to NI 33-109.
0 kommentar(er)
