33-105 - Underwriting Conflicts [NI - Rescinded]
Published Date: | 2009-09-25 |
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Effective Date: | 2009-09-28 |
Rescinded Date: | 2015-05-05 |
Document(s): |
Concurrently Published:
- 33-105CP - Underwriting Conflicts [CP]
- BCN 2009/14 - Adoption of NI 45-106 Prospectus and Registration Exemptions, NI 45-102 Resale of Securities, Related Documents and Consequential Amendments [BCN]
- BCN 2009/15 - Adoption of National Instrument 31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirements and Exemptions, BC Interpretation Note 33-706, BC Instrument 33-517 Registration and Prospectus exemption for persons registered under the Mortgage Brokers Act, and consequential amendments to national and local instruments [BCN - Lapsed]
Table of Contents
PART TITLE
PART 1 DEFINITIONS, INTERPRETATION AND APPLICATION
1.1 Definitions
1.2 Interpretation
1.3 Application of Instrument
PART 2 RESTRICTIONS ON UNDERWRITING
2.1 Restrictions on Underwriting
2.2 Calculation Rules
PART 3 NON-DISCRETIONARY EXEMPTIONS
3.1 Exemption from Disclosure Requirement
3.2 Exemption from Independent Underwriter Requirement
PART 4 VALUATION REQUIREMENT
4.1 Valuation Requirement
PART 5 EXEMPTION
5.1 Exemption
5.2 Evidence of Exemption
PART 6 EFFECTIVE DATE
6.1 Effective Date
APPENDIX A - EXEMPT SECURITIES
APPENDIX B - [Repealed]
APPENDIX C - REQUIRED INFORMATION