21-101F2 - Initial Operation Report and Amendment to Initial Operation Report for Alternative Trading System [F Proposed - Lapsed]
| Published Date: | 2000-07-28 |
|---|---|
| Document(s): |
|
NATIONAL INSTRUMENT 21-101
FORM 21-101F2
INITIAL OPERATION REPORT AND AMENDMENT TO INITIAL OPERATION REPORT
FOR ALTERNATIVE TRADING SYSTEM
[] Initial Report [] Amendment to Initial Operation Report
- Identification:
A. Full name of alternative trading system (if sole proprietor, last, first and middle name):
_________________________________________________________
B. Name(s) under which business is conducted, if different from item 1A:
_________________________________________________________
C. If this filing makes a name change on behalf of the alternative trading system in respect of the name set out in Item 1A or Item 1B, enter the previous name and the new name.
Previous name: _____________________________________________
New name: ________________________________________________
D. Alternative trading system's main street address:
___________________________________________________________
___________________________________________________________
E. Mailing address (if different):
____________________________________________________________
____________________________________________________________
F. Address of head office (if different from address in item D):
_____________________________________________________________
_____________________________________________________________
G. Business telephone and facsimile number:
______________________________________________________________
(Telephone) (Facsimile)
H. Website address:
______________________________________________________________
I. Contact Employee:
_______________________________________________________________
(Name and Title) (Telephone Number) Facsimile) (E-mail address) - The ATS is
[] a member of ________________________________________
name of the recognized self-regulatory entity
[] a registered dealer - If this is an initial operation report, the date the alternative trading system expects to commence operation:
_____________________________________________________ - Attach as Exhibit A, a description of classes of subscribers (e.g., dealer, institution, or retail). Also describe any differences in access to the services offered by the alternative trading system to different groups or classes of subscribers.
- Attach as Exhibit B:
(a) A list of the types of securities the alternative trading system trades (e.g., debt, shares) or if this is an initial operation report, the types of securities it expects to trade.
(b) A list of each of the securities the alternative trading system trades, or if this is an initial operation report, the securities it expects to trade. - Attach as Exhibit C, the name, address, telephone number, facsimile number and e-mail address of counsel for the alternative trading system.
- Attach as Exhibit D, a copy of the constating documents with all amendments, and of existing by-laws or corresponding rules or instruments, whatever the name, of the alternative trading system.
- Attach as Exhibit E, the name of any person or company, other than the alternative trading system, that will be involved in the operation of the alternative trading system, including the execution, trading, clearing and settling of transactions on behalf of the alternative trading system. Provide a description of the role and responsibilities of each person or company.
- Attach as Exhibit F, the following information:
(a) The manner of operation of the alternative trading system.
(b) Procedures governing entry of orders into the alternative trading system.
(c) The means of access to the alternative trading system.
(d) Fees charged by the alternative trading system.
(e) The procedures governing execution, reporting, clearance and settlement of transactions effected through the alternative trading system.
(f) Procedures for ensuring subscriber compliance with requirements of the alternative trading system.
(g) A description of safeguards and procedures implemented by the alternative trading system to protect subscriber's trading information. - Attach as Exhibit G, a brief description of the alternative trading system's procedures for reviewing system capacity, security and contingency planning procedures.
- If any other person or company, other than the alternative trading system, will hold or safeguard subscriber funds or securities on a regular basis, attach as Exhibit H the name of the person or company and a brief description of the controls that will be implemented to ensure the safety of the funds and securities.
- Attach as Exhibit I, a list of the full legal name of registered holders and beneficial owners of securities of the alternative trading system.
- If an ATS files an amendment to this Form and the amendment relates to an Exhibit to this Form, the ATS must, in order to comply with subsection 6.2(2) or 6.2(3) of National Instrument 21-101, file the Exhibit to which the amendment relates showing the changes and provide an updated version of the Exhibit.
CERTIFICATE OF ALTERNATIVE TRADING SYSTEM
The undersigned certifies that the information given in this report is true and correct.
DATED at_____________this____ day of________________ 20 _____
__________________________________
(Name of alternative trading system)
_______________________________________________
(Name of director, officer or partner - please type or print)
_________________________________
(Signature of director, officer or partner)
_______________________________
(Official capacity- please type or print)