TSX Venture Exchange (the “Exchange”) is announcing new procedures required of the Exchange by the Ontario Provincial Police (“OPP”) which impact the filing and processing of the Form 2A - Personal Information Form (the “PIF”).
Requirement for Fingerprint Verification:
Effective immediately, the OPP will no longer provide the Exchange with particulars of criminal convictions based upon criminal record checks without prior receipt of fingerprint verification from the individual in question. Individuals who have previously pled guilty to, or have been found guilty of an offence (as that term is defined in the PIF) will need to be fingerprinted at their local police detachment OR at a Royal Canadian Mounted Police (“RCMP”) accredited location which provides digital fingerprinting services. The individual will also need to sign and submit a RCMP Records Release Form at the time of fingerprinting in order to give the OPP permission to release the information to the Exchange. This release form will be provided by the Exchange to individuals on an as needed basis. Market participants should be aware that the new fingerprint verification procedure will delay PIF clearances by the Exchange for any individual whose criminal record check discloses a prior criminal conviction.
In order to expedite this process, the Exchange recommends that individuals who have previously pled guilty to, or have been found guilty of an offence, go to an RCMP-accredited agency which provides digital fingerprinting services in order to be fingerprinted. Two well-known accredited agencies are The Commissionaires (www.commissionaires.ca) and the International Fingerprinting Services Canada (www.policecheck.com). An individual who is fingerprinted at one of these locations will need to present the address below to the fingerprinting agency and sign a waiver in order to have the results sent to:
Toronto Stock Exchange or TSX Venture Exchange
130 King Street West, 5th Floor
Attn: Investigative Research Manager
Toronto, Ontario
M5X 1J2
Staledating of Criminal Consent Forms:
The Exchange has been advised by the OPP that, effective immediately, it will only accept criminal consent forms submitted within 90 days from the date the consent form was signed. Market participants are therefore urged to be mindful of this expiry date and plan accordingly when submitting PIFs and consent forms to the Exchange.
Should you have any questions about this bulletin, please contact:
Jim Manderville
Manager Investigative Research
Toronto Stock Exchange / TSX Venture Exchange
PH: 416.947.4505
Fax: 416.947.4594
jim.manderville@tsx.com
