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NRD Form 1 – Enrolment of Firm (06/12/13)

NRD

FORM 1

ENROLMENT OF FIRM

TO:

ALBERTA SECURITIES COMMISSION

c/o CSA Service Desk

Attention: NRD Administrator.

12 Millennium Blvd, Suite 210,

Moncton, NB E1C 0M3

General Instructions:

A. This form may be downloaded from the NRD

website at www.nrd.ca.

B. Authorized signatories of the firm must

sign this form and Appendix A (if applicable)

manually.

Please select one box:

 Initial Application for Enrolment in the National Registration Database

 All sections must be completed.

 Attach

 Appendix A, signed.

 NRD Form 2 — Enrolment of Chief Authorized Firm Representative.

 NRD Form 3 — NRD Account Holder Authorization.

 A true copy of the certificate of incorporation, certificate of amendment or

other business registration documents issued by the applicable governmental

office that confirms the current legal name of the firm, as stated in Section 1

below.

 Any required NRD enrolment fees, by cheque payable to “NRD System Fees”.

 Deliver by prepaid mail or personal delivery to the NRD Administrator at the address

above or to such other address as may be provided at the NRD website.

 Change to Previous Filing or Application for Reinstatement of Firm Enrolment

* If you are re-applying for, or intend to reinstate your registration, and are changing your original enrolment

information, use this section

Indicate type of change(s):

 Appointment of new chief AFR OR change of legal name of current chief AFR

(complete sections 1, 2, 4 & 5)

 Change of NRD account information for pre-authorized debit (complete sections 1, 3, 4

& 5)

 Application for Reinstatement of Firm Enrolment (complete all sections)

 Do not resubmit Appendix A if firm name has not changed.

 Changes will be effective after the NRD Administrator has completed its processing of

all required information and forms.

NRD Form 1 – Enrolment of Firm (06/12/13)

 Return this form with any other forms and documents, as required. Examples would

include, but are not limited to, NRD Form 1 and/or 2, void cheque for the NRD account,

copy of legal name change documentation.

 Deliver by one of the following methods: prepaid mail, personal delivery, fax to 1-866-

729-8011, e-mail to nrd@csa-acvm.ca or to such other address, fax number or e-mail

address as may be provided on the NRD website.

Section 1 Firm Information

The firm confirms the following information:

Full legal name of firm:

Firm NRD number (required for change to previous filing or

if firm was previously enrolled):

Head office main phone number:

( )

NOTE: Changes to the firm name and head office main phone number in this section must be

reported directly to the applicable securities regulatory authority or regulator. If the firm was

previously enrolled in NRD, include the Firm NRD number, even if the firm has a new name.

Section 2 Confirmation of Appointment of Chief AFR

The firm confirms that it has appointed the person below as its sole chief AFR and confirms that it

has revoked all prior appointments to this position. The information completed in this section must

match the information completed in section 1 of NRD Form 2.

Last name: First name:

Second name (if applicable): Third name ( if applicable): User ID if already a chief AFR**:

** NOTE: If the chief AFR does not have an active user ID from a previous appointment as a chief

AFR or wishes to obtain an additional active user ID for this appointment, a completed NRD Form 2

must accompany this form.

NRD Form 1 – Enrolment of Firm (06/12/13)

Section 3 NRD Account Information for Electronic Pre-Authorized Debit

The firm confirms the following NRD account information from which the payment of fees shall be

made through NRD by electronic pre-authorized debit as authorized by the chief AFR or other AFRs

appointed to act on behalf of the firm and confirms that any existing NRD account is to be replaced

by this NRD account. A completed NRD Form 3 must accompany this form and the information

completed in this section must match the information completed in section 3 of the corresponding

NRD Form 3.

Name of NRD account holder:

Name of NRD account holder's financial institution***:

Branch transit number (5 digits only):

Account number:

*** NOTE: The financial institution selected must be a member of the Canadian Payments

Association.

Section 4 Contact Information

Please provide firm contact information below:

Last name:

First name:

Business address (street name and

number):

Municipality (city, town,

etc.):

Province/territory

/state:

Postal

code/ zip

code:

Direct phone number :

( )

Extension if applicable:

Fax number:

( )

E-mail address:

NRD Form 1 – Enrolment of Firm (06/12/13)

Section 5 Acknowledgements of Firm

All access to and use of NRD shall be subject to the Terms and Conditions of Use attached as

Appendix A to the Initial Filing of this form by the firm, and any amendments thereto.

All confirmations, notices and other correspondence between the NRD Administrator and the firm

shall be sent to the attention of the then current chief AFR of the firm, at the e-mail address or fax

number of the chief AFR, as selected by the chief AFR on NRD Form 2, as such e-mail or fax

number may be amended by the chief AFR upon notice on NRD Form 2 to the NRD Administrator.

Changes to certain information shall be made as follows:

 The firm shall deliver an amended NRD Form 1 and a new or an amended NRD Form 3 at least

10 business days prior to a change of the NRD account named in section 3 of this form.

 The firm shall deliver an amended NRD Form 3 within 5 business days of a change to the

contact information for the NRD account in section 2 of NRD Form 3.

 Unless a firm is changing its legal name or NRD account, it shall deliver an amended NRD

Form 1 as soon as practicable following a change to the information on the most recently

submitted NRD Form 1. The firm agrees that an executed copy of this form, if delivered by

fax or electronically by e-mail, shall have the same effect as an originally executed copy

delivered to the NRD Administrator.

The firm has caused this form to be signed by its duly authorized signatories on its behalf:

Name of firm:

Head Office address (street

name and number):

Municipality (city,

town, etc.):

Province/territory

/state:

Postal

code/zip code:

Signature of authorized signatory

Print name of

signatory:

Direct phone

number:

( )

Extension if

applicable:

Date:

(dd/mm/yyyy)

Signature of authorized signatory

Print name of

signatory:

Direct phone

number:

( )

Extension if

applicable:

Date:

(dd/mm/yyyy)

NRD Form 1 – Enrolment of Firm (06/12/13)

Appendix A

to NRD Form 1

Terms and Conditions of Use

(last amended January 11, 2014)

ACKNOWLEDGED on behalf of the Firm:

(Name of firm)

By:

Signature of authorized signatory

By:

Signature of authorized signatory

NRD

is the National Registration Database created to facilitate the filing of information

pursuant to National Instrument 31-102 - National Registration Database (NRD), and National

Instrument 33-109 - Registration Information (collectively, the "Instrument") and pursuant to

Manitoba and Ontario Securities Commission Rules 31-509 (Commodity Futures Act) National

Registration Database and 33-506 (Commodity Futures Act) Registration Information. Further

details on the Instruments and NRD can be found in Companion Policy 31-102CP, Companion

Policy 33-109CP and the NRD User Guide. NRD was also created to facilitate the electronic

payment of fees using the NRD website located at www.nrd.ca. NRD and the NRD website are

operated on behalf and for the benefit of the participating Canadian securities regulatory

authorities (collectively, the “Canadian Securities Administrators” or "CSA") by the British

Columbia Securities Commission, Alberta Securities Commission, Ontario Securities

Commission and Autorité des marchés financiers through their third party service provider.

The use of NRD and the NRD website by or on behalf of the firm is subject to NRD Form 1 and

the following terms and conditions of use agreed to between the Alberta Securities Commission

(the “ASC” or “NRD Administrator”),

as the CSA member authorized to grant licenses and enter

into agreements with users of NRD and the NRD website, and the firm (the "Agreement"):

1. Firm Responsibilities. Following completion of enrolment in NRD, a firm's authorized

firm representatives and individual filers may access and use the NRD website only by the

provision of a valid user ID, password and, if applicable, a personal identification number. A

firm's authorized firm representatives consist of the chief AFR appointed by the firm, any AFR

administrators appointed by the chief AFR and any other AFRs appointed by the chief AFR or

by an AFR administrator (collectively, the "AFRs"). Only AFRs may use NRD on behalf of the

firm to make NRD submissions and electronic payments of fees.

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NRD Form 1 – Enrolment of Firm (06/12/13)

For the purposes of the firm's NRD submissions, the firm shall ensure that:

(a) only its AFRs and individual filers will be permitted access to and use of the NRD

website; and

(b) it has implemented and maintains reasonable security precautions to control the

access and use of NRD including the protection of user IDs, passwords and if

applicable, personal identification numbers. The authority of the chief AFR to

act on behalf of the firm shall remain in effect until the NRD Administrator

receives written notice to the contrary from the firm. The firm acknowledges and

agrees that it is solely responsible for any access and use of the NRD website by

its AFRs and individual filers. In the event that any conduct of the firm or any of

its AFRs or individual filers is harmful to the operation of NRD and/or the NRD

website, the NRD Administrator reserves the right to deactivate a user ID or

otherwise prevent or restrict any AFRs, individual filers and/or unauthorized

individuals from access to use all or any part of the NRD website immediately

and without notice. Access may be prevented or restricted as long as such

conduct continues.

2. Authorized Use of the NRD website. The firm shall use the NRD website and any links

to other web sites from the NRD website ("Linked Sites") in accordance with the NRD User

Guide and for lawful purposes only. The firm agrees not to introduce into or through the NRD

website any information or materials that may be harmful to others.

The firm shall not use NRD, the NRD website or Linked Sites in any manner that, based on the

reasonable knowledge or belief of the firm, could damage, disable, overburden, or impair NRD

or the NRD website or interfere with any other person's use of NRD or the NRD website. The

firm shall not use any robot, spider or other automatic device, software program or manual

process in a manner that interferes with any web pages on NRD, the NRD website or Linked

Sites.

3. Payments. The firm agrees to pay all NRD enrolment fees, NRD submission fees, NRD

annual system fees and other fees and charges for services, plus applicable taxes, duties and

other levies, as such fees and charges are set out in Multilateral Instrument 13-102 System Fees

for SEDAR and NRD, a regulator notice or this Agreement. In the case of NRD submission fees,

NRD annual system fees and other fees or charges, such fees and charges shall be paid in NRD

by electronic pre-authorized debit using the NRD account.

The firm acknowledges that electronic payments for the firm may be authorized by any of the

AFRs. It is the firm's responsibility to ensure that the NRD account stays current and available

for electronic payments of NRD fees and charges, as those NRD fees and charges become due.

The firm agrees to cease initiating or authorizing electronic payments from the NRD account

immediately upon revocation or cancellation by the NRD account holder of the NRD account

holder's NRD Form 3.

The firm agrees to pay interest on all unpaid fees and charges at the rate set forth, if any, in the

applicable rule or instrument from and after the due date.

NRD Form 1 – Enrolment of Firm (06/12/13)

4. Intellectual Property. The trade-marks NRD, BDNI, the domain name www.nrd.ca and

related words and logos are trademarks and/or trade names of the ASC (collectively, the "ASC

Trade-marks"). Nothing in this Agreement, on the NRD website or on NRD shall be construed as

granting, either expressly, by implication or otherwise, a license or other right to the firm to use

the ASC Trade-marks, or copyright or any other intellectual property right of the ASC and/or the

other members of the CSA. The names of other companies, products or services referred to on

the NRD website may be trademarks or trade names of their respective owners. Any

unauthorized use of the ASC Trade-marks or third party trade-marks or trade names, or

CSA is strictly prohibited.

All right, title and interest in the NRD website, NRD, all software used on the NRD website and

all materials provided on the NRD website including, without limitation, associated information,

databases, site design, text and graphics, are owned by the ASC and/or the other members of the

CSA, or their respective licensors and are protected by Canadian and international copyright laws

(the "Proprietary Content"). All rights are reserved. Any unauthorized use, reproduction,

modification or distribution of the Proprietary Content is strictly prohibited and may cause the

ASC and the other members of the CSA serious damages for which money damages may not

constitute a sufficient remedy and in such instances the ASC and the other members of the CSA

may seek and obtain injunctive relief, in addition to any other remedies.

5. Privacy. Personal information contained in NRD and on the NRD website are governed

by privacy laws, including without limitation, public sector privacy laws applicable to the

securities regulatory authorities and private sector privacy laws applicable to your firm, as the

case may be. The firm is fully responsible for compliance with all applicable privacy laws. You

acknowledge and agree that your firm’s access and use of NRD and the NRD website are subject

to the terms of the Privacy Statement, which can be viewed at the NRD website at www.nrd.ca.

6. Limitation of Liability and Disclaimers. Access to and use of NRD or the NRD website

is provided on an "as is" and "as available" basis. The firm's use of NRD or the NRD website is

entirely at its own risk. To the fullest extent permitted by law, except as stated in this Agreement,

the ASC, the other members of the CSA and any of their respective employees, agents, officers,

members, contractors, directors or third party providers (collectively "CSA Related Parties")

disclaim all warranties, representations or conditions of any kind, whether express or implied,

including the implied warranties or conditions of merchantability and fitness for a particular

purpose. The ASC and the CSA Related Parties make no representations, warranties or conditions

about the accuracy, reliability, completeness, currency, quality, timeliness or usefulness of NRD,

the NRD website or any goods, information or service provided through NRD or the NRD

website. The ASC and the CSA Related Parties are not responsible for, nor do they independently

verify, any of the content nor do they assume any obligation to update content or advise on

further developments relating to NRD. The firm should not assume that NRD or the NRD website

will be error-free, timely, accurate, and complete or that NRD or the NRD website will operate

without interruption.

In no circumstances shall the ASC and the CSA Related Parties or other third parties mentioned

on NRD or the NRD website be liable for any indirect, special, incidental, consequential or

punitive damages or damages for lost profits arising out of or in connection with this Agreement

or the use of or inability to make use of NRD or the NRD website, the content or any service

NRD Form 1 – Enrolment of Firm (06/12/13)

provided through NRD or the NRD website, whether based on warranty, contract, tort, negligence

or any other legal theory, irrespective of notice. To the extent that some jurisdictions do not allow

exclusions or limitations on some categories of damages, these exclusions or limitations may not

apply to the firm. Notwithstanding the express exclusions and limitations set out in this

Agreement, any and all liability of the ASC and the CSA Related Parties for actual and direct

damages, unless caused by the gross negligence or willful misconduct of the ASC, is limited to

the repayment to the firm, without duplication, in respect of the specific filing or use of NRD or

the NRD website (the "claim") to a maximum amount of the fees paid in respect of which the

filing or use of NRD or the NRD website was made, less amounts, if any, repaid to the firm for

other claims in respect of the same filings or uses of NRD or the NRD website, provided that the

firm is not in breach of this Agreement.

7. Indemnity. The firm agrees to indemnify and hold harmless the ASC and the CSA

Related Parties from any claims, actions, demands, liabilities and settlements, including, without

limitation, reasonable legal fees and costs, resulting from the firm's material breach of this

Agreement or gross negligence or willful misconduct in relation to its use of NRD or the NRD

website including but not limited to use by AFRs, by individual filers and/or unauthorized

individuals.

8. Links to Other Sites. The NRD website may contain Linked Sites. Unless specifically

noted, the Linked Sites, and/or the content, goods or services sold or made available on the

Linked Sites, are not under the control of the ASC and accordingly the ASC does not assume any

responsibility for the same. The Linked Sites are provided only as a convenience, and the

inclusion of any link does not imply that ASC guarantees, recommends, approves, warrants or

endorses the site, or any content, goods or services sold or made available on or through the site,

or any association with its operations. Use of any Linked Sites is entirely at the firm's own risk.

Nothing in this Agreement grants the firm any rights or authorization with respect to any Linked

Sites.

9. Governing Law. This Agreement shall be governed by, and the firm submits to, the laws

in force in the province of Alberta and the laws of Canada applicable therein.

10. Modification of Agreement. The NRD Administrator may modify this Agreement at any

time(s) by either posting notice of such modified agreement on the NRD website or by delivering

a notice and copy of such modified agreement to the firm, and the firm agrees that it is deemed to

have accepted such modification as is in effect at the time if, after such time, the AFRs and/or

individual filers continue to access and use NRD or the NRD website. In the event of the

foregoing, the firm agrees that it shall be bound by the provisions of the modified Agreement

notwithstanding the lack of a manual signature of the firm upon any amended agreement. These

Terms and Conditions of Use were last updated on the date shown above.

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FORM 1: NRD ENROLMENT OF FIRM ALBERTA SECURITIES

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