Unofficial Consolidation: Form 94-101F1 Intragroup Exemption
Unofficial Consolidation: Form 94-101F1 Intragroup Exemption
Ontario Securities Commission
Form 94-101F1
Unofficial consolidation current to 2017-04-06
This document is not an official statement of law or policy and should be used for reference purposes only.
Form 94-101F1
INTRAGROUP EXEMPTION
Type of Filing: |
□ INITIAL |
□ AMENDMENT |
Section 1 – Information on the entity delivering this Form
- Provide the following information with respect to the entity delivering this Form:
Full legal name:
Name under which it conducts business, if different:
Head office
Address:
Mailing address (if different):
Telephone:
Website:
Contact employee
Name and title:
Telephone:
Email:
Other offices
Address:
Telephone:
Email:
Canadian counsel (if applicable)
Firm name:
Contact name:
Telephone:
Email:
- In addition to providing the information required in item 1, if this Form is delivered for the purpose of reporting a name change on behalf of the entity referred to in item 1, provide the following information:
Previous full legal name:
Previous name under which the entity conducted business:
Section 2 – Combined notification on behalf of counterparties within the group to which the entity delivering this Form belongs
- For the mandatory clearable derivatives to which this Form relates, provide all of the following information in the table below:
(a) the legal entity identifier of each counterparty in the same manner as required under the following instruments:
(i) in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Saskatchewan and Yukon, Multilateral Instrument 96-101 Trade Repositories and Derivatives Data Reporting,
(ii) in Manitoba, Manitoba Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting,
(iii) in Ontario, Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting, and
(iv) in Québec, Regulation 91-507 respecting Trade Repositories and Derivatives Data Reporting;
(b) whether each counterparty is a local counterparty in a jurisdiction of Canada.
Pairs |
LEI of counterparty 1 |
Jurisdiction(s) of Canada in which counterparty 1 is a local counterparty |
LEI of counterparty 2 |
Jurisdiction(s) of Canada in which counterparty 2 is a local counterparty |
1 |
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- Describe the ownership and control structure of the counterparties identified in item 1.
Section 3 – Certification
I certify that I am authorized to deliver this Form on behalf of the entity delivering this Form and on behalf of the counterparties identified in Section 2 of this Form and that the information in this Form is true and correct.
DATED at ___________ this ________ day of ___________, 20 ___
__________________________________________
(Print name of authorized person)
__________________________________________
(Print title of authorized person)
__________________________________________
(Signature of authorized person)
__________________________________________
(Email)
__________________________________________
(Phone number)