Statement of Related Registrants Sample Clauses

Statement of Related Registrants. The securities laws of certain provinces of Canada require securities dealers and advisers, when they trade in or advise with respect to their own securities or securities of other issuers to which they, or certain other parties related to them, are related or connected, to do so only in accordance with particular disclosure and other rules. These rules require dealers and advisers, prior to trading with or advising their client or customers, to inform them of the relevant relationships and connections with the issuer of the securities. Clients and customers should refer to the applicable laws for the particulars of these rules and their rights, or should consult with a legal adviser. CAM is a wholly-owned subsidiary of Credential Financial Inc. (CFI). CFI is owned by five provincial credit union centrals and The CUMIS Group Limited. Credential Securities Inc. (CSI) is a securities dealer and is also a wholly-owned subsidiary of CFI. Northwest & Ethical Investments L.P. is responsible for the management of mutual funds which may from time to time make up the families of NEI, Northwest and Ethical Funds which are offered in Canada. Northwest & Ethical Investments L.P. is owned as to 50% by the same five provincial credit union centrals which together own a 50% interest in CFI, and as to 50% by Fédération des caisses Xxxxxxxxxx du Québec. CAM, CSI and Northwest & Ethical Investments L.P. may utilize common resources and may enter into arrangements respecting such matters as the provision of shared services. Conflicts of interest resulting from the above relationships are minimized in a number of ways. Regulations, policies and procedures made by industry regulating bodies restrict the relationships among dealers and advisors and govern their relationship with clients. As well, CAM has its own extensive conflict of interest policies. Compliance with both internal and external regulations, policies and procedures are monitored at all levels of the company under the guidance of the company’s Compliance Department.
Sample 1
AutoNDA by SimpleDocs
Statement of Related Registrants. Securities legislation requires a dealer or adviser to advise its customers of any of its principal shareholders, officers, partners, or directors who are also principal shareholders, officers, partners or directors of another dealer or adviser. As well, the dealer or adviser must provide to its customers details of the policies and procedures adopted to minimize the potential for conflict of interest resulting from the relationship. Qtrade may from time to time have directors and/or officers who are also directors and/or officers of Xxxxx’s other regulated entities. Each such entity is a separate legal entity that carries on its business independently. Each regulated entity may enter into arrangements with any of Aviso Wealth or the other regulated entities respecting such matters as the provision of support services, distribution of products and services, and customer referrals. It is the policy of Qtrade that, subject always to compliance with the provisions of applicable securities and corporate legislation, and subject to the terms of the individual registrations of Aviso Wealth’s regulated entities, they are prepared to act as principal or agent in sales or purchases to, from, or on behalf of other clients in respect of Securities of the NEI Funds, Fiera Capital Corporation and members of Xxxxxxxxxx Group which are all related or connected issuers of Qtrade.
Sample 1

Related to Statement of Related Registrants

  • Filing of Registration Statement The Company has filed with the Commission a registration statement, and an amendment or amendments thereto, on Form F-1 (File No. 333-234654), including any related prospectus or prospectuses, for the registration of the Securities under the Securities Act, which registration statement and amendment or amendments have been prepared by the Company in conformity with the requirements of the Securities Act. Except as the context may otherwise require, such registration statement, as amended, on file with the Commission at the time the registration statement became effective (including the Preliminary Prospectus included in the registration statement, financial statements, schedules, exhibits and all other documents filed as a part thereof or incorporated therein and all information deemed to be a part thereof as of the Effective Date pursuant to paragraph (b) of Rule 430A of the Securities Act (the “Rule 430A Information”), is referred to herein as the “Registration Statement.” If the Company files any registration statement pursuant to Rule 462(b) of the Securities Act, then after such filing, the term “Registration Statement” shall include such registration statement filed pursuant to Rule 462(b). The Registration Statement has been declared effective by the Commission on the date hereof. Each prospectus used prior to the effectiveness of the Registration Statement, and each prospectus that omitted the Rule 430A Information that was used after such effectiveness and prior to the execution and delivery of this Agreement, is herein called a “Preliminary Prospectus.” The Preliminary Prospectus, subject to completion and filed with the Commission on [●], 2020, that was included in the Registration Statement immediately prior to the Applicable Time (as defined below) is hereinafter called the “Pricing Prospectus.” The final prospectus in the form first furnished to the Underwriters for use in the Offering is hereinafter called the “Prospectus.” Any reference to the “most recent Preliminary Prospectus” shall be deemed to refer to the latest Preliminary Prospectus included in the Registration Statement. For purposes of this Agreement:

Time is Money Join Law Insider Premium to draft better contracts faster.