33-105 - Underwriting Conflicts [NI - Rescinded]

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APPENDIX B - [Repealed]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