31-902F - Personal Information Form [Proposed F - Lapsed]
Published Date: | 2004-06-25 |
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Document(s): |
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Personal Information Form
Italicized terms are defined in the Securities Act or Rules.
1. Contact information
Last name, first, middle:
(ii) _____ Director,
(iii) _____ Officer,
(iv) _____ Significant Securityholder,
of _______________________________________
Name of applicant or registered dealer or adviser
(c) Previous home addresses (last 10 years),
(d) Business address,
(e) Business phone number,
(f) Home phone number,
(g) Cell number,
(h) Fax number,
(i) E-mail address,
(j) If you live outside British Columbia, address for service in British Columbia,
2. Personal description of Partner,Director,Officer, orSignificant Securityholder
(b) Place of birth,
(c) Citizenship,
(d) Gender,
(e) If NOT a Canadian citizen, answer the following:
(ii) _____ I have been a permanent resident for this many years.
(ii) Place of Issue,
(iii) Date of Issue,
(iv) Passport Number,
Tell us all about your employment and business activities for the last 10 years. Include periods of self-employment and unemployment. Exclude summer employment while a full-time student but include any summer employment in the securities industry. Note, securities include derivative contracts:
(b) Address of employer,
(c) Reason(s) for leaving,
(d) Start and end date,
(e) Have you ever been discharged by an employer for cause? If yes, tell us all about what happened in each such situation.
4. Name changes
Provide a list of all previous names you have been known by, whether as a result of a legal process or not:
(b) Dates in use,
5. Regulatory and other history
(a) Regulatory history
Have you, or have any of your affiliates, or has any firm of which you were or are a partner, director, officer, or significant securityholder, ever been:
(A) Name of regulator that provided the license or registration,
(B) Nature of license or registration,
(C) Jurisdiction of regulator (state, province, territory),
(B) Your relationship to the firm (partner, director, officer, significant securityholder),
(C) Name of regulatory authority,
(D) Nature of firm’s registration or license,
(E) Effective dates of firm’s registration or license,
(B) Nature of license or registration,
(C) Jurisdiction of regulator (state, province, territory),
(B) Start and end date of membership, participation, or access rights,
(C) Jurisdiction,
(b)Discipline history
Have you, or have any of your affiliates (Securities Act, s. 1), or has any firm of which you were or are a partner, director, officer, or significant securityholder, ever been disciplined (sanctioned) by any of the regulatory organizations mentioned in (a), above? If so, provide:
(ii) Date,
(iii) Reasons,
(iv) Description of discipline,
(c) Criminal history
Have you, or have any of your affiliates, or has any firm of which you were or are a partner, director, officer, or significant securityholder, ever been convicted of a criminal or quasi-criminal offence? If so, provide:
(i) Name of person convicted,
(ii) Charge,
(iii) Date of conviction,
(iv) Sentence,
Is there a currently outstanding charge or indictment against you, any of your affiliates, or any firm of which you were or are a partner, director, officer, or significant securityholder? If so, provide:
(v) Name of person charged or indicted,
(vi) Description of charge,
(vii) Date set for next appearance in court, and nature of that appearance,
(viii) Court registry name and location,
(d) Civil proceedings
Have you or any of your affiliates, or any firm of which you were or are a partner, director, officer, or significant securityholder, ever been a defendant or respondent in proceedings alleging fraud, theft, deceit, misrepresentation, or similar conduct in any civil court in any jurisdiction? If so, provide:
(ii) Name and location of court registry in which case was heard,
(iii) Outcome of case, whether settled, tried, or appealed,
Have you or any of your affiliates, or any firm of which you were or are a partner, director, officer, or significant securityholder, ever declared bankruptcy, made a voluntary assignment in bankruptcy, or been petitioned into bankruptcy? If so, provide:
(ii) Address of trustee,
(iii) General phone number,
(iv) Start and end date of bankruptcy proceeding,
(v) Description of terms of discharge,
Have you or any of your affiliates, or any firm of which you were or are a partner, director, officer, or significant securityholder, ever had a receiver or receiver-manager appointed to hold your assets? If so, provide:
(vii) Address of receiver or receiver manager,
(viii) General phone number,
(ix) Start and end date of receivership,
(x) Description of terms completion of receivership,
Have you or have any of your affiliates, or any firm of which you were or are a partner, director, officer, or significant securityholder, ever been refused on an application for a surety or fidelity bond? If yes, provide this information:
(a) Name and address of bonding company,
(b) Date of refusal,
(c) Reasons for refusal,
7. Business Activities
If so, attach full details, including the full name and address of the business, your title and position, and the amount of time you devote to the business.
8. Security holdings in applicant or registrant firm
For all voting securities in the applicant or registrant firm for which you are or propose to be the beneficial owner after the firm is registered, provide this information:
(a) Number and nature of securities,
(b) Value of securities currently held,
(c) Proportion of ownership securities represent,
(d) Source (treasury, other securityholder, secondary market),
_______________________________________________
Signature of partner, director, officer, or significant securityholder
IT IS AN OFFENCE UNDER THESECURITIES ACTTO FILE AN APPLICATION CONTAINING A STATEMENT THAT IS A MISREPRESENTATION OR TO PROVIDE INFORMATION TO THE BRITISH COLUMBIA SECURITIES COMMISSION THAT IS FALSE OR MISLEADING.