11-101F1 - Notice of principal regulator under Multilateral Instrument 11-101 [F Proposed - Lapsed]
- BCN 2005/28 - Request for Comment Proposed Multilateral Instrument 11-101 Principal Regulator System [BCN - Lapsed]
Notice of principal regulator under Multilateral Instrument 11-101
2. Information about person or company
SEDAR profile number (if applicable):
NRD # (if applicable):
(i) For a non-investment fund issuer, indicate the SEDAR profile number. For an investment fund issuer, indicate the SEDAR investment fund group profile number.
(ii) For a non-investment fund issuer, indicate the issuer’s name. For an investment fund issuer, indicate the investment fund group name.
3. Previous notice filed
If the person or company has previously filed a Form 11-101F1, indicate the principal regulator determined in the previous notice:
4. Determination of principal regulator
The person or company has determined the securities regulatory authority or regulator in the following jurisdiction is its principal regulator:
5. Reasons for determination of principal regulator
The person or company determined its principal regulator
(a) based on the location of its head office (for a non-investment fund issuer, dealer or unrestricted adviser), investment fund manager’s head office (for an investment fund), or working office (for an individual) (check box), or
(b) on the following basis [provide details]:
6. Change in determined principal regulator
If this PR notice is being filed in connection with a change in the person or company’s principal regulator, provide details of the basis for determining that the principal regulator should change.