35-901F - Additional Information From Out-of-Province Registrants [F - Rescinded]
| Published Date: | 2001-03-30 |
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| Effective Date: | 2001-03-28 |
| Rescinded Date: | 2009-09-28 |
| Document(s): |
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This is a form required under section 42 of the Securities Act.
BC FORM 35-901F (Previously Form 7X)
SECURITIES ACT
ADDITIONAL INFORMATION FROM OUT-OF-PROVINCE REGISTRANTS
INSTRUCTIONS
Registered dealers, underwriters and advisers that have their principal place of business in Canada in a jurisdiction outside British Columbia or that are members of an exchange or self regulatory body in Canada may file a form corresponding to BC Form 31-905F that is not in the form specified by the Executive Director. That is, they may file a corresponding form required by the jurisdiction in which the dealer, underwriter or adviser carries on its principal business or by the exchange or self regulatory body of which the dealer, underwriter or adviser is a member. Where this is the case, the dealer, underwriter or adviser must also file a completed Additional Information From Out-of-Province Registrants. The instructions set out on BC Form 31-905F apply, with any necessary changes, including the requirement that this form be initialed by the Commissioner of Oaths before whom the application is sworn, as well as by the applicant.
Name of Registrant (Applicant)___________________________________________
HAS THERE BEEN A CHANGE IN THE FOLLOWING: YES/NO
1. | Commencement or termination of the employment of a registered salesperson or registered advising employee and, in the case of termination of employment by any means, the reason for termination. |
________
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2. | Change in the name of any partner, director or officer of the applicant. | ________
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HAS THERE BEEN A MATERIAL CHANGE IN THE FOLLOWING: YES/NO
1. | A charge or indictment against, or a conviction of, the applicant or a partner, director or officer of the applicant for an offence under the law. |
________
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2. | A finding, made against the applicant or a partner, director of officer of the applicant in a civil proceeding, of fraud, theft, deceit, misrepresentation or similar conduct. |
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3. | Bankruptcy of the applicant or a partner, director or officer of the applicant. |
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4. | Appointment of a receiver or receiver manager to hold the assets of the applicant or a partner, director or officer of the applicant.
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________
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5. | Other information previously filed. | ________
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Revised March 28, 2001