Canadian National Stock Exchange (CNSX)

Canadian National Stock Exchange (CNSX)

March 07, 2011 17:11 ET

CORRECTION-CNSX Markets Housekeeping Amendments-Personal Information Form

TORONTO, ONTARIO--(Marketwire - March 7, 2011) -

Notice 2011-001

Introduction

In accordance with the Rule Review Process set out in Appendix B of the CNSX Markets Inc. ("CNSX Markets") Recognition Order, CNSX Markets has adopted, and the OSC approved, amendments to the CNSX Form 3 – Personal Information Form (the "Form"). The amendments are considered housekeeping in nature and are therefore not public interest amendments.

Reasons for the Amendments

The changes to the Form reflect current practice, and do not create any new requirements. For the OPP to conduct the criminal record searches, two pieces of ID must be submitted with the Form. The OPP has changed practices over time, and CNSX Markets has complied simply by requesting information in advance or following up with the applicants individually.

There are no new requirements or obligations as a result of the Form amendments, which have been made in accordance the housekeeping provisions of the Rule Review Process. Applicants are not required to submit new forms as a result of the changes.

Text of Amendments

The changes to the form include:

•    on page 1 under General Instructions - a correction to the name of the Form
•    on page 1, the addition of point 5: "All forms must be accompanied by a clear photocopy of two pieces of identification issued by a government authority (such as a driver's license or passport). A list of acceptable identification can be found on page 13."
•    on page 1, clarification of the "name" field, and addition of "Name of CNSX Listed Company (or issuer seeking listing)."   
  page 2 under (b) Personal Information, the addition of an email address field.    
•    page 13 - list of acceptable forms of ID and an explanation of more specific requirements:    
    "One piece of identification must contain a recognizable photograph of you taken within the last 5 years.    
    The pieces of identification must confirm your full given name, surname, date of birth, gender and current mailing address.    
    Expired documents are not acceptable."      

The new forms are available on the CNSX website under "Info for Issuers".

Effective Date

The Amendments are effective immediately.

Contact Information

  • Questions about CNSX Rules, Policies or Forms may be
    directed to: Canadian National Stock Exchange (CNSX)
    Mark Faulkner
    Director, Listings and Regulation
    416.572.2000 x2305
    Mark.Faulkner@cnsx.ca