Applicant may not trade until Approved by the TSX for Equity Trading.
APPLICATION AND AGREEMENT FOR EQUITIES ATTORNEYS
APPLICATION FOR APPROVAL OF
Name of Attorney
Name of Participating Organization
Trading Device:
1. Name in full 2. Home Address
3. Name of Participating Organization 4. Are you legally entitled to work in Canada?
5. Are you age 18 or over? 6. Particulars of formal education:
7. Have you passed the Canadian Securities Course?
8. State year passed C.S.C. and grade 9. If you are exempt from this requirement state the basis for your exemption
10. Particulars of experience in securities or brokerage business: All Participating Organizations you have been employed by must be listed. From
To
Name of Employer
Position Held
Reason for leaving
11. Particulars of employment for past five years other than as set out in item 10: From
To
Name of Employer
Position held
Reason for leaving
12. Are you an officer or employee of any active or inactive incorporated company or a member of a partner ship or engaged in any other business than that of the Participating Organization for which you will trade? If yes, include details and compensation received.
13. Have you ever applied for a surety bond and been refused? 14. Have you ever failed in business or gone through a bankruptcy? If so, give full particulars.
15. Are there any judgments outstanding against you? If so, give full particulars.
16. Details of registration, if any, with the Securities Commission or self-regulatory organization
17. Has any such registration ever been refused, suspended or revoked? If so, give full details
18. Have you ever been convicted of any criminal offence or any offence under the securities laws or regulations? If so, give full details
19. What experience have you had in trading on this or any other Exchange?
20. What work did you do to satisfy the Exchange’s requirement that attorneys have experience in the order room or back office of a Participating Organization, (give period of employment and state with which Participating Organization; if exempt, state the basis of such exemption)
21. Have you studied the By-Laws and Regulations of this Exchange which pertain to trading and the regulation of Attorneys as set out in the Trading Manual?
I hereby certify that the foregoing statements are complete, true and accurate and in consideration of the Exchange approving this application I submit myself to the jurisdiction of the Exchange and it’s Board of Governors and I agree as follows: 1.
That I will at all times observe the by-laws, rules and regulations of the Exchange.
2.
That in particular I will not operate a discretionary account for any customer or handle a discretionary order for any customer, unless I am a partner in the Participating Organization or a co-director in the Participating Organization and am entitled to do so under the provisions of the General By-Law Sec. 8.31.
3.
That if this application be approved, such approval is subject to review from time to time and may be revoked in accordance with the by-laws of Toronto Stock Exchange; that if I am found by the Board of Governors to be guilty at any time of unethical conduct or of a violation of Trading Regulations or any other Toronto Stock Exchange Requirements, I shall be liable to a fine as prescribed or suspension or expulsion from trading; and that if the approval is revoked or if I am expelled from trading I shall not be entitled to act as an attorney during the period of suspension.
4.
I have read and understand the Personal Information Collection Policy attached hereto as Exhibit 1 (the “Collection Policy”). I hereby consent to the collection, use and disclosure of the information in this Application and any further personal information collected, used and disclosed as set out in the Collection Policy.
I hereby apply for the approval of my appointment as attorney of the undersigned Participating Organization.
Date (Signature of Applicant)
CERTIFICATE OF PARTICIPATING ORGANIZATION AND POWER OF ATTORNEY I certify that the applicant has been employed for the required number of months in the business, that he/she has had at least fourteen weeks experience in the order room or back office of a Participating Organization (or has been exempted from such requirement), and that, in my opinion, he/she is a fit and proper person to receive approval as an attorney and, subject to the granting of this application, I hereby appoint the applicant my attorney for me, and in my name, place and stead, to attend the sessions of the Exchange for the purpose of buying and/or selling securities. I agree to be as fully responsible for all trades, contracts, dealings and other acts made or done by the said attorney as if the same were made or done by myself; and to ratify and confirm all and whatsoever my attorney shall do or cause to be done by virtue of these presents. I understand and agree that, if this application be approved, such approval will be reviewed from time to time and may be revoked at any time in accordance with the by-laws of the Exchange; that if the said attorney is found by the Board of Governors to be guilty at any time of unethical conduct or of a violation of
Trading Regulations or any other Exchange Requirements, he/she shall be liable to a fine or suspension or expulsion from trading; and that if the approval of the said attorney be revoked or if the said attorney be expelled from trading, this appointment shall terminate and if the said attorney be suspended from trading he/she shall not be entitled to act as attorney during the period of suspension. This appointment shall not be revoked by my death.
Witness (Signature of Member Seatholder)
Date (Participating Organization)
EXHIBIT 1: PERSONAL INFORMATION COLLECTION POLICY
Collection, Use and Disclosure TSX Inc., TSX Venture Exchange Inc. and their affiliates, authorized agents, subsidiaries and divisions, including the Toronto Stock Exchange and TSX Venture Exchange (collectively referred to as “TSX”) collect the information (which may include personal, confidential, non-public, criminal or other information) in the Application Form and in other forms that are submitted by you and/or by the Member or Participating Organization, as applicable, and use it for the following purposes (the “object of the file”): • • • • • •
to conduct background checks, to verify the information that has been provided about you, to consider your suitability to act as a trader, to detect and prevent fraud, to conduct enforcement proceedings, and to perform other investigations as required by and to ensure compliance with all applicable rules, policies, rulings and regulations of the Toronto Stock Exchange and TSX Venture Exchange, as applicable, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public markets in Canada.
As part of this process, TSX also collects additional information about you from other sources, including but not limited to, securities regulatory authorities in Canada or elsewhere, investigative, law enforcement or self-regulatory organizations, regulations services providers and each of their subsidiaries, affiliates, regulators and authorized agents, to ensure that the purposes set out above can be accomplished. The information TSX collects about you may also be disclosed to these agencies and organizations or as otherwise permitted or required by law, and they may use it in their own investigations for the purposes described above. TSX may from time to time use third parties to process information and/or provide other administrative services. In this regard, we may share the information with our carefully selected service providers. If you fail to accurately complete the Application Form or to consent to this Collection Policy, we may refuse to allow you to act as a trader. Security The personal information that is retained by TSX is kept in a secure environment and is updated from time to time. Only those employees of TSX who require access to your information in order to accomplish the purposes identified above, will be given access to your file. Employees of TSX who have access to your information are made aware of how to keep it confidential. Accuracy Information about you maintained by TSX that is identified by you as inaccurate or obsolete will be replaced or removed, as applicable. Questions If you wish to consult your file or make corrections to it or if you have any questions or enquiries with respect to the privacy principles outlined above or about our practices, please send a written request to: Chief Privacy Officer, TSX Group, The Exchange Tower, 130 King Street West, Toronto, Canada, M5X 1J2.
