SEDAR Filer Manual 8.061: Standards, Procedures and Guidelines for Electronic Filing — AMF — CA

CANADIAN SECURITIES ADMINISTRATORS
SYSTEM FOR ELECTRONIC DOCUMENT
ANALYSIS AND RETRIEVAL
(SEDAR)
SEDAR® FILER MANUAL
Standards, Procedures and Guidelines
For Electronic Filing with the
Canadian Securities Administrators
VERSION 8.061
June 17, 2019

SEDAR Filer Manual 8.061
NOTICE
Electronic filings with the Canadian securities regulatory authorities should comply with the requirements of this Manual. To assist subscribers and filers, the version number of this Manual (Version 8.061) is intended to correspond to the current release of the SEDAR Filer Software (Release 8.061). Notice of amendments to this Manual will be published in the weekly or other periodical bulletins issued by CSA members as well as other sources such as the SEDAR website at www.sedar.com or other websites maintained by or on behalf of CSA members. SEDAR is a registered trade-mark of the Alberta Securities Commission. All other brand and product names mentioned in this Manual are trade-marks or registered trade-marks of their respective holders.

SEDAR Filer Manual 8.061
TABLE OF CONTENTS
PREFACE ............................................................................................................................................... 1
1 ABOUT THIS MANUAL ............................................................................................................... 3
1.1 Guide to Organization/Use of Manual ..................................................................................................... 3
1.2 How to get copies of the Manual............................................................................................................... 4
1.3 Plans for Issuing Manual Updates ........................................................................................................... 5
1.4 The National Instrument ........................................................................................................................... 5
2 OVERVIEW OF THE ELECTRONIC FILING SYSTEM ........................................................ 6
2.1 Introduction................................................................................................................................................ 6
2.2 Role of the Filing Service Contractor ...................................................................................................... 6
2.3 Structure and Operation of the SEDAR System ..................................................................................... 6
2.4 When Electronic Filings Become Accessible to the Public ..................................................................... 7
2.5 When Filer Profiles Become Accessible to the Public ............................................................................. 8
2.6 SEDAR Filer Software Modules and Screens ......................................................................................... 8
(a) Filing Management .................................................................................................................................................... 8
(b) Profile Management ................................................................................................................................................... 9
(c) Search Filings ............................................................................................................................................................. 9
(d) Search Profiles ........................................................................................................................................................... 9
(e) Mail Functions ......................................................................................................................................................... 10
(f) User Profile and Defaults ......................................................................................................................................... 10
3 ELECTRONIC FILERS .............................................................................................................. 11
3.1 Introduction.............................................................................................................................................. 11
3.2 Mandated Electronic Filings ................................................................................................................... 11
(a) Documents Listed in Appendix A to the National Instrument ................................................................................. 11
(b) Other Mandated Electronic Filings .......................................................................................................................... 12
3.3 Permitted Electronic Filings ................................................................................................................... 13
(a) Filings with the Securities Regulatory Authorities .................................................................................................. 13
(b) Filings with the Market Centre ................................................................................................................................ 13
3.4 Documents to be Filed in Paper Only .................................................................................................... 13
3.5 Foreign Issuer (SEDAR) Election to Become an Electronic Filer ....................................................... 14
(a) Election to Become an Electronic Filer .................................................................................................................... 14
(b) Notice of Discontinuation ........................................................................................................................................ 14

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3.6 Exemption for Pre-existing Documents ................................................................................................. 15
3.7 Hardship Exemptions .............................................................................................................................. 15
(a) Temporary Hardship Exemption .............................................................................................................................. 15
(b) Continuing Hardship Exemption .............................................................................................................................. 15
4 FILING SERVICE SUBSCRIBERS ........................................................................................... 17
4.1 Introduction.............................................................................................................................................. 17
4.2 SEDAR Subscriber Agreement and System Fees ................................................................................. 17
4.3 Becoming a Filing Service Subscriber ................................................................................................... 18
4.4 Software and Hardware Requirements ................................................................................................. 19
4.5 Application to Register as a Filing Service Subscriber ........................................................................ 20
4.6 Filing Service Subscriber’s Agreement .................................................................................................. 21
4.7 SEDAR Filer Access Codes ..................................................................................................................... 21
4.8 Installation of the SEDAR Filer Software ............................................................................................. 23
4.9 User Information Screen and Access and Banking Authorization Screen ......................................... 23
(a) Locating the “Access and Banking Authorization” Screen ...................................................................................... 23
(b) Requirements for Maintaining and Updating Information on the Screens ............................................................... 24
(c) Access to and Use of the Information Contained in the Screens.............................................................................. 26
4.10 Connecting to the SEDAR Server .......................................................................................................... 26
4.11 Connection Problems ............................................................................................................................... 27
4.12 Other Services Available to Filing Service Subscribers ....................................................................... 27
(a) SEDAR Database Access ......................................................................................................................................... 27
(b) E-Mail Communications .......................................................................................................................................... 27
(c) Personalized User Workspace - Send Files and Receive Files ................................................................................. 27
4.13 Special Access Privileges for Secondary Filers ..................................................................................... 28
4.14 Virus Detection......................................................................................................................................... 29
5 ELECTRONIC PAYMENT OF CSA AND MARKET CENTRE FILING FEES AND
SEDAR SYSTEM FEES ............................................................................................................... 30
5.1 Overview ................................................................................................................................................... 30
5.2 Required EDI Banking Arrangements .................................................................................................. 30
5.3 The Electronic Payment Process ............................................................................................................ 31
(a) Calculating CSA Filing Fees, Market Centre Filing Fees and SEDAR System Fees .............................................. 31
(b) Payment Authorization by Subscriber ...................................................................................................................... 33
(c) Payment Instructions Processed by SEDAR ............................................................................................................ 34
(d) Financial Institution Processing of Electronic Payments ......................................................................................... 35
(e) Payment Status ......................................................................................................................................................... 36

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(f) Multiple Filings ........................................................................................................................................................ 36
(g) Refunds .................................................................................................................................................................... 37
6 FILER PROFILES ........................................................................................................................ 38
6.1 Overview of Filing Requirement ............................................................................................................ 38
6.2 Payment of Annual filing fee................................................................................................................... 38
6.3 Creation of Filer Profiles ......................................................................................................................... 39
(a) Filer Profile Types ................................................................................................................................................... 39
(b) Electronic Filer’s Profile Number ............................................................................................................................ 41
6.4 Amending a Filer Profile ......................................................................................................................... 41
(a) General ..................................................................................................................................................................... 41
(b) Process of Amending a Filer Profile ........................................................................................................................ 42
(c) Requirement to Create a New Filer Profile .............................................................................................................. 42
(d) Special Requirements for Certain Changes in Filer Profile Information ................................................................. 43
(e) Security Concerns .................................................................................................................................................... 45
6.5 Searching for and Retrieving Filer Profiles .......................................................................................... 46
6.6 Duplicate Filer Profiles ............................................................................................................................ 47
6.7 Non-Payment of Annual filing fee .......................................................................................................... 47
7 PREPARATION OF DOCUMENTS FOR ELECTRONIC FILING ..................................... 48
7.1 Introduction.............................................................................................................................................. 48
7.2 Electronic Formatting Requirements .................................................................................................... 48
(a) Separate Documents ................................................................................................................................................. 48
(b) Acceptable Electronic Format .................................................................................................................................. 48
(c) General Formatting Requirements ........................................................................................................................... 49
(d) Special Requirements for Document Formatting ..................................................................................................... 49
(e) Special Requirements for PDF and XLSX Format .................................................................................................. 50
(f) Dealing with Graphics and Images in Electronic Filings ......................................................................................... 51
(g) Document Naming Requirements ............................................................................................................................ 52
(h) Red Ink ..................................................................................................................................................................... 53
(i) Signatures in Electronic Filings ............................................................................................................................... 54
(j) Viruses ..................................................................................................................................................................... 54
7.3 Converting Entire Documents to Acceptable Electronic Format ........................................................ 55
7.4 Recommendation to Avoid Scanning Documents ................................................................................. 55
7.5 Publishing Terms ..................................................................................................................................... 55
8 ASSEMBLY AND TRANSMISSION OF ELECTRONIC FILINGS ..................................... 56
8.1 Introduction.............................................................................................................................................. 56
8.2 Hours of SEDAR Operation ................................................................................................................... 57
(a) SEDAR Business Hours ........................................................................................................................................... 57
(b) Date of Filing ........................................................................................................................................................... 57
(c) Commencement of Time Periods ............................................................................................................................. 57

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8.3 Assembling a Submission ........................................................................................................................ 58
(a) Obtaining the Filer Profile ....................................................................................................................................... 58
(b) Refreshing and Checking the Filer Profile ............................................................................................................... 58
(c) Selecting the Appropriate Cover Page for a New Filing .......................................................................................... 58
(d) Projects ..................................................................................................................................................................... 60
(e) Creating a New Project ............................................................................................................................................ 60
(f) Project Number and Submission Number ................................................................................................................ 61
(g) Primary and Secondary Filers .................................................................................................................................. 62
(h) Adding to an Existing Project .................................................................................................................................. 65
(i) Completing Cover Page Information for Type of Filing .......................................................................................... 66
(j) The “List” Feature .................................................................................................................................................... 68
(k) The “Agencies” Feature ........................................................................................................................................... 69
(l) The “Fees” Feature................................................................................................................................................... 71
(m) Accessing Documents Stored on Disk Drives, the SEDAR Workspace or the SEDAR Filings Database .............. 72
(n) Attaching Documents to the Cover Page ................................................................................................................. 73
(o) Multiple Filings ........................................................................................................................................................ 74
(p) Pre-existing Supporting Documents......................................................................................................................... 74
(q) Privacy Considerations ............................................................................................................................................ 75
8.4 Payment of CSA Filing Fees, Market Centre Filing Fees and SEDAR System Fees ......................... 75
8.5 Transmitting a Submission ..................................................................................................................... 75
8.6 Transmission Problems ........................................................................................................................... 76
(a) Introduction .............................................................................................................................................................. 76
(b) Helpline .................................................................................................................................................................... 76
8.7 Test Filings ............................................................................................................................................... 76
8.8 Searching Public Filings .......................................................................................................................... 77
(a) Building Search Inquiries ......................................................................................................................................... 77
(b) Downloading and Retrieving Search Results ........................................................................................................... 78
(c) Viewing Downloaded Documents ........................................................................................................................... 78
9 SPECIAL REQUIREMENTS FOR CERTAIN ELECTRONIC FILINGS ........................... 79
9.1 Correcting Errors In Electronic Filings ................................................................................................ 79
(a) Refiling Documents with Errors .............................................................................................................................. 79
(b) Filing Documents Inadvertently Omitted from Earlier Filing .................................................................................. 79
(c) Refiling Documents Filed under an Incorrect Filing Type or Category of Filing .................................................... 80
(d) Restricting Public Access to Documents in the SEDAR Filings Database .............................................................. 80
(e) Procedure to Request a Change in Access Level ..................................................................................................... 80
(f) Refiling a Filer Profile Submitted Using an Incorrect Filer Profile Type & Removal of Duplicate Filer Profiles .. 81
(g) Adding or removing recipient agencies to a previously submitted SEDAR project ................................................ 82
9.2 Exemption For Pre-existing Documents ................................................................................................ 82
9.3 Documents Incorporated by Reference ................................................................................................. 83
9.4 General Filings and Local Filings........................................................................................................... 83
9.5 Certified Disclosure Documents - Certificate of Authentication ......................................................... 84
9.6 Prospectus Pre-marketing and Marketing Materials ........................................................................... 85
9.7 Blacklined Documents ............................................................................................................................. 85

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9.8 Applications or Requests for Exemptive Relief .................................................................................... 85
9.9 Technical Reports - Oil and Gas or Mining .......................................................................................... 86
9.10 Simplified Prospectus and Annual Information Form for Several Investment Funds ..................... 86
9.11 Preliminary Prospectus and Pro forma Prospectus ............................................................................. 87
(a) Combined Initial Mutual Fund Offering and Continued Mutual Fund Offering ...................................................... 87
(b) Initial Offering in one Jurisdiction and Continued Offering in Another Jurisdiction .............................................. 87
(c) Joint Filings by Mutual Fund Groups ...................................................................................................................... 88
(d) Non-Mutual Fund Prospectus with More Than One Issuer ...................................................................................... 88
9.12 Process for Prospectus Reviews in Multiple Jurisdictions ................................................................... 88
9.13 Going Private Transaction Filings and Related Party Transaction Filings ....................................... 89
9.14 Annual Information Forms, Management’s Discussion and Analysis and Future-Oriented
Financial Information, Annual and Interim Management Reports of Fund Performance, Annual
Financial Statements and Interim Financial Statements/Report ........................................................ 90
General Information ............................................................................................................................................................ 90
(a) Annual Information Forms ....................................................................................................................................... 90
(b) Annual and Interim MD&A ..................................................................................................................................... 91
(c) Annual Reports ........................................................................................................................................................ 91
(d) Annual and Interim Management Report of Fund Performance .............................................................................. 92
(e) Financial Statements ................................................................................................................................................ 92
(f) Annual and Interim Certificates ............................................................................................................................... 93
(g) Business Acquisition Report .................................................................................................................................... 93
(h) Documents Affecting the Rights of Security Holders/Material Documents ............................................................ 93
(i) Voting Results .......................................................................................................................................................... 93
9.15 News Releases and Material Change Reports ....................................................................................... 93
9.16 Documents Sent to Security Holders ...................................................................................................... 94
9.17 Documents Filed with Other Agencies and Stock Exchanges Outside the Local Jurisdiction ......... 94
9.18 Management Proxy Materials ................................................................................................................ 94
9.19 Notice of Securityholders’ Meeting and Record Date .......................................................................... 95
9.20 Third Party Filings - Take-over Bid Filings .......................................................................................... 95
(a) General ..................................................................................................................................................................... 95
(b) Filings by Offeror..................................................................................................................................................... 95
(c) Filings by Directors or Officers of Offeree .............................................................................................................. 96
(d) CSA Filing Fees and SEDAR System Fees ............................................................................................................. 97
9.21 Third Party Filings - Exempt Take-over Bid Filings ............................................................................ 97
9.22 Third Party Filings - Securities Acquisition Filings ............................................................................. 97
9.23 Third Party Filings - Proxy Solicitation Materials ............................................................................... 98
9.24 Exempt Market Offerings and Disclosure ............................................................................................. 98
(a) Report of Exempt Distribution (NI 45-106) ............................................................................................................. 98
(b) Offering Memorandum (2.9 of NI 45-106) .............................................................................................................. 98
(c) Disclosure Documents (QC Sec. 37.2 Reg.) ............................................................................................................ 98

SEDAR Filer Manual 8.061
(d) Distributions under the Start-Up Crowdfunding Exemptions .................................................................................. 98
(e) Distributions under MI 45-108 - Crowdfunding ...................................................................................................... 99
(f) Annual Financial Statements – Non Reporting Issuers ............................................................................................ 99
10 MANAGEMENT OF ELECTRONIC FILINGS AFTER TRANSMISSION AND
CORRESPONDENCE USING SEDAR ................................................................................... 100
10.1 Introduction............................................................................................................................................ 100
(a) General ................................................................................................................................................................... 100
(b) Formal Correspondence ......................................................................................................................................... 100
(c) Informal Correspondence ....................................................................................................................................... 100
10.2 Status Tracking ...................................................................................................................................... 101
(a) General ................................................................................................................................................................... 101
(b) Status Details ......................................................................................................................................................... 101
10.3 Correspondence with a Recipient Agency ........................................................................................... 109
(a) Correspondence within a Project - “Formal Correspondence” .............................................................................. 109
(b) Types of Formal Correspondence from Securities Regulatory Authorities ........................................................... 110
(c) Types of Formal Correspondence from Market Centres ........................................................................................ 112
(d) Checking for Formal Correspondence from Recipient Agencies ........................................................................... 113
(e) Pre-Filing Correspondence..................................................................................................................................... 114
10.4 Communication between Subscribers .................................................................................................. 114
10.5 Official Copies and Paper Copies ......................................................................................................... 114
APPENDICES ..................................................................................................................................... 116
Appendix A Glossary of Terms and Abbreviations Used ......................................................................... 116
Appendix B Categories and Types of Electronic Filings .......................................................................... 122
Appendix C Minimum Hardware and Software Requirements for SEDAR Filings .............................. 234
Appendix D SEDAR System Fees ............................................................................................................... 235
Appendix E Database Retrieval Service Charges ...................................................................................... 236
Appendix F Investment Fund Group Profile ............................................................................................ 237
Appendix G Investment Fund Issuer Profile ............................................................................................. 238
Appendix H Other Issuer Profile ................................................................................................................. 240
Appendix I Other Filer Profile .................................................................................................................. 243
Appendix J Investment funds Cover Page ................................................................................................. 244
Appendix K General Investment Funds Cover Page ................................................................................ 246
Appendix L Issuer Cover Page ................................................................................................................... 248
Appendix M General Cover Page ................................................................................................................. 250

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Appendix N Third Party Cover Page ......................................................................................................... 253
Appendix O SEDAR Forms .......................................................................................................................... 254
Appendix P Canadian Securities Regulatory Authorities - EDI Banking Information ........................ 288

SEDAR FILER MANUAL:
Standards, Procedures and Guidelines
For Electronic Filing with the
Canadian Securities Administrators
PREFACE
The System for Electronic Document Analysis and Retrieval known as “SEDAR” was developed by the Canadian Securities Administrators (“CSA”) to do the following:

Facilitate the electronic filing of securities information (prospectuses, continuous disclosure
documents, exempt market offerings and disclosure etc.) and the payment of CSA filing fees as required by the securities regulatory authorities in Canada.
Facilitate public dissemination of securities information collected in the securities filing
process.
Facilitate electronic communication such as E-mail between electronic filers, filing agents
and the securities regulatory authorities.
National Instrument 13-101 – System for Electronic Document Analysis and Retrieval (SEDAR), (the “National Instrument”) adopted by the Canadian Securities Administrators sets out general rules relating to electronic filing of securities documents with the Canadian securities regulatory authorities using SEDAR. Multilateral Instrument 13-102 System Fees for SEDAR and NRD and related regulations in Alberta, Manitoba, Saskatchewan and Québec (the System Fee Rules) sets out the system fee requirements. This SEDAR Filer Manual (the “Manual”) is published by the Canadian Securities Administrators and sets out certain standards, procedures and guidelines for preparing electronic format documents and making electronic filings using SEDAR. This Manual has been prepared for use by electronic filers and filing agents and their respective representatives (collectively, “filers”) and assumes that filers are familiar with the securities regulatory process, including the national and local rules pertaining to the filing of securities documents. This Manual should be read in conjunction with the following related instruments or documents:
– The National Instrument
– Local Implementing Instruments
– Securities Legislation and Securities Directions in each Province and Territory

– SEDAR Installation Guide
– SEDAR Filer User’s Guide
– SEDAR Subscriber Updates
This Manual should also be read in conjunction with the contents of the SEDAR Filer Software. Finally, this Manual should be read in conjunction with the applicable filing requirements of the TSX Venture Exchange (the “market centre”), which provides that electronic filers subject to such requirements are permitted (but not required) to file certain types of securities documents with the market centre in electronic format using the SEDAR system.

1 ABOUT THIS MANUAL
1.1 Guide to Organization/Use of Manual
This Manual is divided into chapters. Paragraphs and subparagraphs are numbered for easy reference. The following information is designed to help filers decide where to turn for information in this Manual. A glossary of terms and abbreviations used is provided in Appendix A.
Chapter 1 -- About this Manual
This chapter provides a key to where and when information about using the SEDAR system is available. Included in this chapter are the plans for issuing Manual updates and reference materials relating to electronic filings.
Chapter 2 – Overview of The Electronic Filing System
This chapter contains an overview of the SEDAR system and describes changes in the filing process for filers that are required to make electronic filings.
Chapter 3 – Electronic Filers
This chapter contains a summary of the provisions of the National Instrument which prescribes who is required or permitted to make electronic filings and which documents must be filed in electronic format.
Chapter 4 – Filing Service Subscribers
This chapter sets out requirements to be met and procedures to be followed by electronic filers and filing agents seeking to become filing service subscribers in order to participate directly in making electronic filings.
Chapter 5 – Electronic Payment of CSA and Market Centre Filing Fees and SEDAR
System Fees
This chapter sets out requirements and procedures relating to electronic payment of CSA and market centre filing fees and SEDAR System Fees.
Chapter 6 – Filer Profiles
This chapter sets out certain requirements with respect to filer profiles.

Chapter 7 – Preparation of Documents for Electronic Filing
This chapter sets out certain requirements relating to the preparation of documents in acceptable electronic format for filing through SEDAR.
Chapter 8 – Assembly and Transmission of Electronic Filings
This chapter sets out certain requirements relating to the manner in which documents must be assembled electronically using the SEDAR Filer Software and transmitted electronically to the SEDAR server for routing to, and downloading by, the securities regulatory authorities and the market centres.
Chapter 9 – Special Requirements for Certain Electronic Filings
This chapter sets out certain special requirements for certain types of electronic filings.
Chapter 10 – Management of Electronic Filings After Transmission and
Correspondence Using SEDAR
This chapter sets out certain requirements and procedures relating to the processing of electronic filings following transmission to the SEDAR server. This Manual should be used in conjunction with other instruments to determine the requirements relating to electronic filing using SEDAR. Electronic filers or filing agents that decide to become filing service subscribers should review the requirements and procedures outlined in Chapter 4 of this Manual entitled “Filing Service Subscribers”.
1.2 How to get copies of the Manual
Copies of this Manual in English or French may be downloaded from the SEDAR website at http://www.sedar.com/sedarguides/FilerManual_en.pdf (English version) or http://www.sedar.com/sedarguides/FilerManual_fr.pdf (French version). Or from the following Securities Regulatory Authority websites;

1.3 Plans for Issuing Manual Updates
The CSA expects to update the SEDAR Filer Manual on a periodic basis. Notices of any changes to this Manual will be published in the weekly or other periodical bulletins issued by CSA members as well as through other sources such as Internet sites. Updates of the SEDAR Filer Manual will be provided to filing service subscribers, via the SEDAR website at www.sedar.com, as changes occur. As the SEDAR system evolves and additional stages in the implementation of SEDAR occur, new releases of the SEDAR Filer Software are anticipated in which event updated versions of this Manual will be released as required.
1.4 The National Instrument
To assist subscribers and filers, the version number of this Manual is intended to correspond to the version of the SEDAR Filer Software current at the time of publication. Under the SEDAR system, electronic filings will be governed principally by the National Instrument which sets forth requirements and procedures relating to electronic filings. The National Instrument is supplemented by this Manual which contains certain standards, procedures and guidelines for the preparation and transmission of electronic filings. This Manual shall be construed together with, and shall be subject to the terms of, the National Instrument. All terms in this Manual that are defined in the National Instrument have the same meaning in this Manual as in the National Instrument, unless otherwise provided in this Manual or unless the context otherwise requires. A glossary of terms and abbreviations used (including defined terms used in the National Instrument) is set out in Appendix A.

2 OVERVIEW OF THE ELECTRONIC FILING SYSTEM
2.1 Introduction
Issuers and third parties that become electronic filers and/or filing agents acting on their behalf must use a personal computer and the specially designed SEDAR Filer Software to assemble filings consisting of documents that have been prepared in acceptable electronic format. When filings have been assembled, they must be transmitted using the SEDAR Filer Software via the internet to the SEDAR server for distribution to the applicable securities regulatory authorities and/or, at the filer’s option, the applicable market centres (collectively, the “recipient agencies”). Filing fees payable to the securities regulatory authorities in respect of an electronic filing will be paid electronically at the same time the electronic filing is made. Filing fees payable to the market centres may also be paid electronically using the SEDAR system. Each of the recipient agencies will be able to download the documents addressed to it for review and/or storage. Issuance of receipts and subsequent exchanges of formal correspondence will all occur in a similar manner. All public disclosure documents will be made accessible to the public in electronic format.
2.2 Role of the Filing Service Contractor
The SEDAR Filing Service Contractor is appointed by the CSA. The SEDAR Filing Service Contractor operates the SEDAR system and provides services in respect of the filing and dissemination of documents filed electronically under applicable securities legislation and the electronic filing of certain documents under market centre filing requirements. The Filing Service Contractor has acquired the rights to the client-server system and is authorized to license electronic filers and filing agents such as law firms, financial printers and others to use the SEDAR Filer Software for purposes of assembling and transmitting electronic filings.
2.3 Structure and Operation of the SEDAR System
The SEDAR system is intended to facilitate preparation and transmission of electronic filings using the required and recommended hardware and software. A document that forms part of an electronic filing must be transmitted to the SEDAR server in an acceptable electronic format (as prescribed in
Chapter 7).
The SEDAR system is a computerized system which has been developed for the CSA to that provides for the transmission, receipt, acceptance, review and dissemination of documents filed with the securities regulatory authorities in electronic format. The computer technology reflected in the SEDAR system has been developed using a client-server design and meeting specifications established by the CSA and market centres. The SEDAR system facilitates the payment of certain CSA and market centre filing fees as well as certain SEDAR System Fees by requiring a subscriber to issue electronic payment instructions at the time that an electronic filing is transmitted (as described in Chapter 5). Electronic filings made using the SEDAR system must be assembled and transmitted using the SEDAR Filer Software. These electronic filings must be transmitted over the Internet to the SEDAR server and must be received by the Filing Service Contractor on behalf of the securities regulatory authorities and the market centres. Recipient agencies selected by filers to receive filings are able to arrange for automatic or manual downloading of the filings directed to them. Each recipient

agency has discretion to decide which documents it will download. Substantially all documents submitted as continuous disclosure filings are automatically accessible to the public upon receipt by the SEDAR server. With respect to other electronic filings, the applicable recipient agencies will manually provide for public access to submitted documents, where appropriate. See Section 2.4 and
Section 2.5 below.
2.4 When Electronic Filings Become Accessible to the Public
A document that is filed electronically via the SEDAR system is accessible only by the filer, any secondary filer(s) with an access privilege and the recipient agencies to which it is directed unless:
– the document is made accessible to the public following receipt by one of the recipient agencies; – the document is filed under the “Continuous Disclosure” category of filing other than the filing types “Other Filings”, “Personal Information Form and Authorization 51- 105F3A”, “Personal Information Form and Authorization 51-105F3B” and “For Regulator’s Use Only”; – the document is filed under the filing types of “Report of Exempt Distribution (NI 45-106)” and “Start-Up Crowdfunding – Report of Exempt Distribution (Form 5)” under the ”Exempt Market Offerings and Disclosure” category of filing other than the document types “Schedule 1 of report of exempt distribution (45-106F1)” and “Schedule 1 of report of exempt distribution Form 5”; or – the document is filed under the filing types of “Crowdfunding - Offering Document (MI 45-108)”, “Start-Up Crowdfunding - Offering Document”, and “Offering Memorandum (2.9 of NI 45-106)” under the ”Exempt Market Offerings and Disclosure” category; in which cases the document is accessible to the public. After a filed document has been made accessible to the public, it resides in the SEDAR Filings Database where it can be searched and retrieved by the public using the SEDAR Filer Software. Other available means of access, such as the SEDAR website at www.sedar.com may provide access to documents filed with the securities regulatory authorities. For further information, see Section
8.8 and the SEDAR website.
When filers submit information to SEDAR, they need to be aware that they are responsible for complying with the applicable privacy laws. Since electronic filings can become publicly accessible, filers should ensure that any personal information that is submitted is limited to what is necessary in order to meet the filing requirement in question. In certain limited circumstances, if considered appropriate by a recipient agency, an electronic filing may be “removed” from the database of publicly accessible filings. The recipient agency may do so by manually changing the access level of the document from “public” to one of the following: “Private”, “Private–Draft”, “Private–Virus”, “Private–Incorrect Filing”, or “Private–Incorrect Format”. If the electronic filing is a securities regulatory authority only filing, only a securities regulatory authority that is a recipient agency can change the access level. If the electronic filing is a market centre only filing, only a market centre that is a recipient agency can change the access level.

For more detailed information concerning changes of the access level of a document, refer to Section 9.1.
2.5 When Filer Profiles Become Accessible to the Public
In general, when a filer profile is created and submitted initially, it will not be accessible to the public until such a time as a document filed electronically by or on behalf of the electronic filer is made accessible to the public. When a filer profile is being created by a filer which intends to make filings other than third party filings, an authorization process must be completed. See section 2.6(b). An electronic filer, or a filing agent acting on its behalf, may request that the electronic filer’s filer profile be made available to the public immediately by providing notice in writing to the SEDAR Filing Service Contractor. The notice of request must include a reference to the relevant filer profile number, be signed by an authorized signing officer of the electronic filer and either be delivered to:
CSA Service Desk
Attn: SEDAR Filing Service Contractor
12 Millennium Blvd, Suite 210
Moncton, NB E1C 0M3 sedar@csa-acvm.ca or sent by telecopy to 1-866-729-8011 to the attention of the SEDAR Filing Service Contractor. In the case of a filing agent making the request, the filing agent must be authorized by the electronic filer as per the authorization process. By requesting immediate public accessibility for a filer profile, an electronic filer can eliminate the need to ensure that the subscriber filing the filer profile also files the first electronic filing (i.e. the first electronic filing can become an independent event). This may also prevent a duplicate filer profile from being created for the electronic filer because the original filer profile cannot be accessed by another subscriber. After a filer profile has been made accessible to the public, it resides in the SEDAR Filer Profiles Database where it can be searched and retrieved by using the SEDAR system. The SEDAR.com website may also provide access to these filer profiles. For further information, see Section 6.5. The SEDAR filer profiles database is also used to populate the Issuer Profile Supplements in the SEDI system. SEDI is the System for Electronic Disclosure by Insiders and is used by insiders of Canadian issuers to report their transactions to the securities commissions.
2.6 SEDAR Filer Software Modules and Screens
This Manual makes references to various modules and screens in the SEDAR Filer Software. All of these modules and the related screens may be accessed through the main menu of the SEDAR application program identified by the “tree” icon labeled “SEDAR”. In particular, this Manual refers to six modules:
(a) Filing Management
This module may be used to assemble and transmit new electronic filings, other than filer profiles or amendments to filer profiles, to pay regulatory filing fees, to monitor the status of those filings and payments, to add documents to a filing, to receive

formal correspondence from the recipient agencies and to give access privileges to secondary filers. (b) Profile Management This module may be used to create and file a new filer profile or to update an existing filer profile. Authorization Process:
A column is included in the Profile Management screen to identify who the electronic filer has authorized to file on its behalf on SEDAR. The statuses displayed in the column are “pending”, “authorized”, “unauthorized” and “denied/incomplete”. When a filer profile is created or downloaded for the first time, the authorization can be requested by selecting the “Request Authorization” button. All electronic filers will be directed to complete an authorization form. The authorization form will request the subscriber name and contact details, and two issuer representatives with their job title and contact information. Authorization status at this stage will display “pending”. Once the authorization form is submitted, the Filing Service Contractor will contact the issuer representatives to confirm the authorization and the authorization status will be updated to “authorized”, “unauthorized”, or “denied/incomplete” depending upon the response from the issuer representatives. All authorized filers must be a filing service subscriber. Authorization to file is granted once. Once granted, the authorized filer may proceed with electronic filings. The electronic filer may revoke this authorization at any time by contacting the Filing Service Contractor. An electronic filer is not required to complete the authorization process to make a third party filing. (c) Search Filings This module may be used to search the SEDAR Filings Database for public filings and to retrieve the filings and documents within the filings. The retrieved documents may be downloaded to the filer’s computer. Non-public filings submitted to the SEDAR server by the filer performing the search can also be searched and retrieved using this module. (d) Search Profiles This module may be used to search the SEDAR Filer Profiles Database for public filer profiles and filer profiles submitted to the SEDAR server by the filer performing the search. Filer profiles matching the search inquiry criteria may be downloaded to the filer’s computer in the form of a report.

This module may also be used to transfer any downloaded filer profiles to the filer’s Profile Management module for purposes of updating the filer profile or submitting an electronic filing using the filer profile. (e) Mail Functions This module may be used to send E-mail to other SEDAR users and to send and retrieve document files to and from any user’s “personalized” workspace on the SEDAR server. (f) User Profile and Defaults This module is used to record information on the subscriber, its users and its banking authorizations. This module may also be used to change a user’s password as well as the default directories, language, screen colours, date format, fee screen fonts and other parameters under which the software application operates. This module may also be used to select a default Refresh List method for Quick or Advanced Searches.

3 ELECTRONIC FILERS
3.1 Introduction
The National Instrument requires that issuers (other than exempt foreign issuers) and third party filers file specified types of documents in electronic format using the SEDAR system. An exempt foreign issuer may elect to become subject to the electronic filing requirements of the National Instrument by filing a notice of election in paper format on SEDAR Form 5, which is set forth in Appendix O to this Manual. The notice of election to become an electronic filer must be filed with each of the applicable securities regulatory authorities. This foreign issuer election to become an electronic filer is discussed more fully in Section 3.5 below. Under market centre filing requirements, electronic filers subject to such requirements are permitted (but not required) to use the SEDAR system to file certain types of documents in electronic format with the market centres. Market centre filings are discussed more fully in Section 3.3(b) below.
3.2 Mandated Electronic Filings
Under the National Instrument or local implementing instruments as applicable, electronic filers are required to file certain documents with the securities regulatory authorities in electronic format. Certain of these documents are described in greater detail below. (a) Documents Listed in Appendix A to the National Instrument
Appendix A to the National Instrument contains a list of mandated electronic filings.
These filings include:
(i) preliminary and final prospectuses, filed under National Instrument 41-101 – General Prospectus Requirements and National Instrument 44-101 – Short Form Prospectus Distributions or National Instrument 44-102 – Shelf Distributions, simplified prospectuses filed under National Instrument 81- 101 – Mutual Fund Prospectus Disclosure, and non-offering prospectuses; prospectuses of U.S. issuers filed under MJDS must be in electronic format only if the particular U.S. issuer has elected to become an electronic filer; (ii) annual information forms filed by reporting issuers under National Instrument 51-102 and National Instrument 81-106 or otherwise, including annual reports on Form 10K or Form 20F under the U.S. Securities Exchange Act of 1934 filed in lieu of an annual information form; (iii) continuous disclosure documents filed by issuers, including but not limited to interim financial statements/report, audited annual financial statements, management’s discussion and analysis of financial condition and results of operations, documents affecting the rights of security holders / material documents, business acquisition reports, notices of security holders’ meeting dates and record dates, information circulars and forms of proxy relating to proxy solicitation (or annual filings required in lieu thereof) and timely disclosure news releases and material change reports (excluding confidential material change reports);

(iv) news releases and securities acquisition (“early warning”) reports disclosing changes in beneficial ownership of equity securities of reporting issuers; (v) take-over bid circulars, issuer bid circulars, directors’ circulars and other filings relating to formal or exempt take-over bids and issuer bids; (vi) applications and requests made pursuant to National Instrument 81-101 – Mutual Fund Prospectus Disclosure; and (vii) exempt market offerings and disclosure, in all jurisdictions except British Columbia and Ontario. (b) Other Mandated Electronic Filings The following documents must also be filed in electronic format:
(i) an amendment or supplement to a document filed in electronic format; (ii) a supporting document, written correspondence or other written material relating to a document filed in electronic format; (iii) a document required to be filed because it was sent by an issuer to its security holders. These filings are addressed in Section 9.16; (iv) a document required to be filed because it was filed with a governmental agency or a stock exchange in another jurisdiction. These filings are addressed in Section 9.17; and (v) a document that is required by securities legislation or securities directions other than the National Instrument to be filed in electronic format.

3.3 Permitted Electronic Filings
(a) Filings with the Securities Regulatory Authorities Electronic filers are permitted (but not required) to file certain documents in electronic format with the securities regulatory authorities, namely, any application or request for exemptive relief from, or approval under, the securities legislation if:
(i) the application or request is required or permitted to be filed with the securities regulatory authority in respect of or in connection with a prospectus filed or to be filed in electronic format; (ii) the exemptive relief or approval being sought is reasonably required to facilitate a distribution of securities to which the prospectus relates. These filings are addressed in Section 9.8; and (iii) the exemptive relief or approval is made pursuant to National Instrument 81- 102 – Investment Funds. (b) Filings with the Market Centre The market centre filing requirements provide that electronic filers subject to such requirements are permitted (but not required) to file certain types of documents with the market centre in electronic format using the SEDAR system.
3.4 Documents to be Filed in Paper Only
The National Instrument provides that the following documents shall not be filed in electronic format:
(a) a document that is required or permitted to be filed on a confidential basis under securities legislation or securities directions unless the securities legislation or securities directions require the confidential filing to be made in electronic format. (e.g., Personal Information Forms should be filed through SEDAR using the document type Personal Information Form and Authorization, Personal Information Form and Authorization 51-105F3A or Personal Information Form and Authorization 51-105F3B which have an access level of Private – Non-public.); (b) a document for which confidential treatment is requested under securities legislation or securities directions or is claimed under applicable freedom of information legislation; (c) an oil or gas report that is prepared and filed as a supporting document except for any part that is a summary of the report and except for any statement or report required under National Instrument 51-101 – Standards of Disclosure for Oil and Gas Activities; (d) a document, other than one referred to in (a), (b) or (c) above, that is not required or permitted to be filed in electronic format under the National Instrument, unless a

securities regulatory authority has approved the filing of the document in electronic format; and (e) a map or photograph exceeding 8 1/2 inches by 11 inches or 21.5 centimeters by 28 centimeters in size that is contained in or supplements a document that is required to be filed in electronic format. When a map or photograph is omitted, the document must include a reference to the omitted map or photograph, a cover letter to the filing must provide details on how to request the complete version of the technical report, and the omitted map or photograph must be retained in paper format for six years from the date of filing. If a document that was filed by an electronic filer in paper format under (a) above (e.g. a confidential material change report) ceases to remain confidential because the subject matter of the document is generally disclosed, the electronic filer must file a copy of the document in electronic format within 10 days following general disclosure. If a confidential treatment request made pursuant to securities legislation in respect of a document filed in paper format under (b) above is rejected, the electronic filer must file a copy of the document in electronic format within 10 days following the rejection. When a map or photograph is omitted due to size limitations under (e) above, the electronic filer must deliver the omitted map or photograph upon request from the securities regulatory authority within the six year period.
3.5 Foreign Issuer (SEDAR) Election to Become an Electronic Filer
(a) Election to Become an Electronic Filer
The National Instrument provides that a foreign issuer (SEDAR) that is required or otherwise is proposing to file a document under securities legislation or securities directions may elect to become subject to the requirements of the National Instrument by filing a notice of election to become an electronic filer in paper format on SEDAR Form 5, which is set forth in Appendix O to this Manual. SEDAR Form 5 must be provided to each jurisdiction where the foreign issuer (SEDAR) is seeking to become an electronic filer. (b) Notice of Discontinuation The National Instrument provides that a foreign issuer (SEDAR) that files a notice of election to become an electronic filer shall comply with the requirements of the National Instrument for at least two years after filing the notice of election. Furthermore, a foreign issuer (SEDAR) that files a notice of election to become an electronic filer may elect to cease complying with the requirements of the National Instrument at any time after the expiry of the two-year period by providing a notice to this effect in with the applicable securities regulatory authority at least 30 days before making a filing with the securities regulatory authority that does not comply with the requirements of the National Instrument. Such a foreign issuer (SEDAR) must file this notice using the cover page for “Other Filings” located in the “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable.

3.6 Exemption for Pre-existing Documents
The National Instrument provides an exemption from electronic filing for certain documents in existence prior to January 1, 1997. The exemption for pre-existing documents is described in
Section 9.2 of this Manual.
3.7 Hardship Exemptions
The National Instrument contains two general provisions which are intended to provide exemptive relief in certain limited circumstances where electronic filers experience or anticipate difficulties in the electronic filing of documents. These exempting provisions are referred to as the “temporary hardship exemption” and the “continuing hardship exemption” and are filed with the applicable securities regulatory authorities. (a) Temporary Hardship Exemption If an electronic filer, or a filing agent acting on its behalf, experiences unanticipated technical difficulties preventing the timely preparation and transmission of an electronic filing, the electronic filer may file the required documents in paper format in reliance upon the temporary hardship exemption. The form to be used by or on behalf of an electronic filer that is making a filing in paper format in reliance upon the temporary hardship exemption is SEDAR Form 3, which is set out in Appendix O. When the temporary hardship exemption is used, the filing may be filed with the securities regulatory authorities in paper format. However, a filer using this exemption must comply with the paper format rules of the securities regulatory authorities which govern filings not covered by the National Instrument, except that signatures to the paper format document may be in typed form rather than manual form. To assure the completeness of the SEDAR Filings Database, the National Instrument requires the electronic filer to file an electronic format copy of the paper filing via SEDAR within three business days of making the paper format filing. (b) Continuing Hardship Exemption An electronic filer may make written application in paper format for a continuing hardship exemption if the electronic filer is unable to file all or part of a filing or group of filings in electronic format because of undue burden or expense. Unlike the temporary hardship exemption, the continuing hardship exemption does not require that the filing of paper format material be shortly followed by the filing of an electronic format copy via SEDAR. The CSA anticipates that grants of the continuing hardship exemption will be circumscribed as narrowly as possible, given the ease of preparing and transmitting electronic filings generally and the need to ensure the completeness of the SEDAR Filings Database. An electronic filer seeking to rely on the continuing hardship exemption is required to file an application in paper format with the regulator or, except in the case of

Ontario, the securities regulatory authority in each of the jurisdictions in which the filing or group of filings is required or proposed to be made, at least 20 days before the earliest date on which the electronic filing is required or proposed to be made, as appropriate. The application should be submitted contemporaneously to each applicable regulator or, except in the case of Ontario, securities regulatory authority. Under the provisions of the exemption, each applicable regulator or, except in the case of Ontario, securities regulatory authority will provide the applicant with written notice of its decision to grant or deny the application. If the application for a continuing hardship exemption is granted, the relevant documents must be filed in paper format on the required or the proposed filing date, as appropriate. If the application for a continuing hardship exemption is denied, then the electronic filer must make the filing in electronic format on the required or the proposed filing date, as appropriate. A continuing hardship exemption would ordinarily be granted for a limited time period. In that event, the electronic filer could be required under the terms of the exemption order to file the document that is the subject of the exemption in electronic format at the end of the specified time period.

4 FILING SERVICE SUBSCRIBERS
4.1 Introduction
The National Instrument provides that an electronic filer must file certain documents with the securities regulatory authorities in electronic format. In order to do this, the electronic filer must:
(a) become a filing service subscriber (sometimes referred to as a “subscriber”) in order to make electronic filings directly using the SEDAR system; and/or (b) retain one or more filing agents that are filing service subscribers and authorize these filing agents to make electronic filings on behalf of the electronic filer. There are no limits on how many filing service subscribers may be authorized. The electronic filer may revoke this authorization at any time. An electronic filer is not required to complete the authorization process to make a third party filing. Filing agents that are likely to become filing service subscribers include law firms, financial printers, trust companies acting as transfer agents and registrars, news release disseminators and other service providers. Electronic filers may choose to become subscribers to make certain electronic filings directly where it is convenient to do so, and to rely upon filing agents to make other electronic filings on their behalf where this is more efficient or otherwise appropriate. In general, the SEDAR system should not result in significant changes in the roles traditionally played by filers and service providers in respect of paper filings.
4.2 SEDAR Subscriber Agreement and System Fees
The National Instrument provides, in effect, that an electronic filer or a filing agent may become a subscriber by submitting an application on SEDAR Form 1 to the SEDAR Filing Service Contractor and entering into the Filing Service Subscriber’s Agreement on SEDAR Form 2. In addition, by entering into the Filing Service Subscriber’s Agreement (described below), a subscriber agrees to ensure payment of system and filing fees to the SEDAR Filing Service Contractor in the amounts set out in the Systems Fee Rule. Certain amounts listed in the System Fee Rule are “per filing” fees that apply to certain types of filings and that are to be paid by a subscriber at the time a filer makes an electronic filing. In the case of electronic filings which involve multiple submissions in the same project, the “per filing” charge must be paid by a subscriber together with the filing of the first submission in the project. One charge listed in MI 13-102 (the “Annual filing fee for continuous disclosure”) is a fee which is to be paid annually by or on behalf of electronic filers that are reporting issuers. The amount of the annual fee varies depending on the nature of the reporting issuer and its filing requirements. Several different categories of reporting issuer are defined and the respective annual charges are set out in MI 13-102. This annual filing fee is intended to cover the costs associated with most of the regular continuous disclosure filings that a reporting issuer is required to make. The annual filing fee is to be paid by or on behalf of each electronic filer that is a reporting issuer (i) at the time of the filing of its initial filer profile or following the filing of its initial filer profile, upon receipt of an invoice issued by the SEDAR Filing Service Contractor and; (ii) in each

subsequent calendar year, by electronic payment when the electronic filer’s “Annual Financial Statements” are filed with one or more securities regulatory authorities. The annual filing fee invoiced in respect of the first calendar year after filing an initial filer profile is for the prorated amount covering the month following the month in which the electronic filer filed its initial filer profile through the remainder of that calendar year. An electronic filer that is not a reporting issuer or files under the Other Filer Profile does not have to pay the annual filing fee, even if that electronic filer must file “Annual Financial Statements”. By entering into the Filing Service Subscriber’s Agreement, a subscriber agrees that it will not make an electronic filing on its own behalf or as filing agent for an electronic filer unless the required annual filing fee has been paid by it or the electronic filer, as applicable.
4.3 Becoming a Filing Service Subscriber
The following is an outline of the procedures to be followed when an electronic filer or filing agent wishes to become a filing service subscriber:

The subscriber must ensure that it has the necessary hardware, software and related
technical support to enable it to operate the SEDAR Filer Software and to communicate with the SEDAR server. The subscriber should also have one of the software products prescribed for the preparation of documents in an acceptable electronic format for purposes of SEDAR filings. A list of required and recommended hardware and software is provided in Appendix C.
The subscriber must obtain and complete an Application for SEDAR Filing Services
(SEDAR Form 1). This form is available in Appendix O to this Manual and on www.sedar.com or may be obtained by contacting the CSA Service Desk at 1-800- 219-5381. This application form is used to obtain certain information relating to the subscriber, including the name of the individual who will be the “Principal Contact” of the subscriber. The Principal Contact is the person who will receive and administer the subscriber personal identification number or “PIN” (discussed in greater detail in Section 4.7(f)) and all access codes on behalf of the subscriber.
If the subscriber intends to make electronic filings of a type that will require the
subscriber to make electronic payments using the SEDAR system and no other subscriber will be making the electronic payments on behalf of that subscriber, the subscriber will have to set up an electronic data interchange (“EDI”) banking account with a Canadian financial institution. In this case, information relating to the electronic banking facility arranged with the financial institution must be sent to the Filing Service Contractor directly by the financial institution. Details concerning required electronic banking arrangements are set out in Chapter 5 of this Manual.
The subscriber must also arrange for due authorization and execution of the Filing
Service Subscriber’s Agreement (SEDAR Form 2), which is set out in Appendix O to this Manual.
The subscriber must deliver the executed copies of SEDAR Form 1 and SEDAR
Form 2 to the CSA Service Desk, Attn: SEDAR Filing Service Contractor at 12

Millennium Blvd, Suite 210 Moncton, NB, E1C 0M3.This step should be taken at least 30 days prior to the proposed date of the subscriber’s first electronic filing.
6. Upon receipt of properly completed SEDAR Form 1 and accompanying material,
the Filing Service Contractor will set up a subscriber profile and assemble the required access codes and PIN for the subscriber. The Principal Contact indicated in SEDAR Form 1 will then receive an information package by registered mail or courier. The information package will include instructions on downloading the software from www.sedar.com. In addition, access codes consisting of subscriber IDs, user IDs and passwords will be included in a separate sealed envelope.
7. Upon receipt of the information package, the Principal Contact should arrange for
the installation of the SEDAR Filer Software after reviewing the license agreement and the SEDAR Installation Guide. Installation procedures require the subscriber to run a “start-up” application and make a connection with the SEDAR server.
8. Following installation of the SEDAR Filer Software, the Principal Contact should
assign all required access codes to the individual users in the subscriber’s organization who will have authority to use the SEDAR Filer Software to make electronic filings or otherwise participate in the electronic filing process. Access codes are discussed in greater detail in Section 4.7.
4.4 Software and Hardware Requirements
Electronic filings must be made using the current version of the SEDAR Filer Software licensed by the Filing Service Contractor for use by all subscribers. A subscriber may not customize the SEDAR Filer Software or use any other software to make electronic filings, except with the prior written approval of the applicable securities regulatory authorities and the Filing Service Contractor. A subscriber must also have the necessary hardware, software and related technical support to operate the SEDAR Filer Software and to communicate with the SEDAR server via the Internet. A list of required and recommended hardware and software is provided in Appendix C. This list will be updated as additional hardware and software is tested and proven compatible with the SEDAR system. The CSA will monitor the extent of use of other operating systems and consider the need to enhance the SEDAR Filer Software in the future. The subscriber must ensure that the necessary hardware and software is properly installed and configured and that access to technical support for the hardware and software is readily available. The CSA Service Desk will provide technical support for the installation and operation of the SEDAR Filer Software to any subscriber using required and/or recommended hardware and software in a technically supported environment. A subscriber may be able to operate the SEDAR Filer Software using a computer platform which does not consist of required or recommended hardware and software. In this case, however, the subscriber and any electronic filer that it represents assume the risk that the electronic filing could be unsuccessful. This may place the electronic filer in non-compliance with legal requirements and/or preclude the electronic filer from proceeding with a proposed transaction. The CSA Service Desk is not required to provide technical support to any subscriber using a computer platform other than one consisting of required and/or recommended hardware and software.

A subscriber that intends to use hardware or software that is not currently supported should contact the CSA Service Desk to determine whether the CSA Service Desk could support its use. The CSA Service Desk must obtain the approval of the CSA prior to making any commitment to support the use of alternative hardware or software. The CSA will give consideration to the testing and support of alternative hardware and software if this would reasonably be expected to benefit a significant number of subscribers. The software products required to create or reformat documents in acceptable electronic format for making filings through SEDAR are discussed in Chapter 7.
4.5 Application to Register as a Filing Service Subscriber
In order to become a filing service subscriber, an electronic filer or filing agent must register with the Filing Service Contractor. In order to register, an applicant must complete the Application for SEDAR Filing Services set forth as SEDAR Form 1 in Appendix O to this Manual. The application form requests information relating to the subscriber and, if applicable, its electronic banking arrangements. The information that subscribers are required to provide in the application form includes the following:
(a) Number of User IDs – A subscriber may request any number of user IDs which may be assigned by the subscriber to those individuals permitted to access the SEDAR system using the subscriber’s SEDAR Filer Software. (b) SEDAR Filer Software – The SEDAR Filer Software contains original code licensed by the Filing Service Contractor and third parties which requires it to be distributed to subscribers under a single use license. Each subscriber registration will entitle the subscriber to receive one copy of the SEDAR Filer Software which may only be installed on a single personal computer. A subscriber may use the application form to request any number of additional copies of the SEDAR Filer Software. Although the SEDAR Filer Software has not been designed for operation in a network environment, it is possible to run the SEDAR Filer Software on personal computers that are networked together. However, any single personal computer used to access SEDAR, that is on such a local network, will require its own license for use of the SEDAR Filer Software. (c) Principal Contact and Other Contacts – A subscriber is required to designate a Principal Contact (which may be the subscriber if the subscriber is an individual) to administer the subscriber’s SEDAR operations. The subscriber may designate a primary and an alternate Principal Contact (either being referred to in this Manual as the “Principal Contact”). The primary Principal Contact will receive and administer the SEDAR Filer Software and the related access codes, including those used to authorize banking transactions. The Principal Contact should be an individual who has authority to instruct the Filing Service Contractor to make changes to the access codes, including banking authorities, if applicable. Any changes to access codes or banking authorities must be communicated in writing to the Filing Service Contractor by the Principal Contact on SEDAR Form 1. A subscriber is also required to designate a “Technical Contact” and a “Financial Contact” (with

alternates if desirable) to be responsible for technical and financial matters, respectively, in relation to the subscriber’s SEDAR operations. (d) Electronic Banking Information - If the subscriber intends to make electronic filings of a type that will require the subscriber to make electronic payments and no other subscriber will be making the electronic payments on behalf of that subscriber, then the subscriber must provide the Filing Service Contractor with the name of its financial institution and any other information required on SEDAR Form 1 for purposes of electronic banking. See Chapter 5 for details of the electronic banking requirements and procedures. (e) Authorized Banking Codes – A subscriber that will be using the SEDAR system to make electronic payments of CSA filing fees, market centre filing fees (if permitted by applicable market centre filing requirements) and/or SEDAR System Fees will have to authorize one or more of its users to confirm the electronic payment instructions each time an electronic payment is being made. The subscriber must indicate in the application form whether it will require electronic payment instructions to be confirmed by one or two authorized user IDs. The subscriber must also indicate the number of user IDs which will have banking authority, whether a limit on each user’s authority is to be applicable and, if so, the amount of the limit. It is important to note that there can only be one payment limit per subscriber such that all users with a payment limit will have the same limit. By requiring two banking authorizations to confirm any electronic banking instruction and limiting the number of user IDs having banking authority, a subscriber may maintain a significant degree of control over the electronic payment process. If any information provided by a subscriber in SEDAR Form 1 changes (other than the name of the Principal Contact), or if the subscriber wants to obtain additional copies of the SEDAR Filer Software, or to obtain access codes for additional users, the Principal Contact must provide written instructions to the Filing Service Contractor on SEDAR Form 1. A change of Principal Contact must be duly authorized by signing officer(s) of the subscriber in writing on SEDAR Form 1.
4.6 Filing Service Subscriber’s Agreement
Each subscriber must enter into the Filing Service Subscriber’s Agreement on SEDAR Form 2 set forth in Appendix O to this Manual. The Filing Service Subscriber’s Agreement includes provisions concerning financial electronic data interchange and electronic banking arrangements. A subscriber must duly authorize and execute SEDAR Form 2 - the Filing Service Subscriber’s Agreement and deliver it to the Filing Service Contractor with SEDAR Form 1 - the Application For SEDAR Filing Services.
4.7 SEDAR Filer Access Codes
Access codes are used in the SEDAR system to control access to the SEDAR server by persons seeking to transmit electronic filings, authorize electronic payments and search for and retrieve information and documents from the SEDAR databases. No person other than an individual user authorized by a subscriber (i.e. a user who has a valid user ID and password) will be able to transmit electronic filings and issue electronic payment instructions.

After the subscriber’s Application For SEDAR Filing Services has been received, the Filing Service Contractor will assign “access codes” to the subscriber based on the system access requirements provided by the subscriber. These will consist of the following:
(a) Subscriber ID – A subscriber will receive a single subscriber ID for each Application For SEDAR Filing Services submitted. The subscriber ID identifies the person or company that has entered into the Filing Service Subscriber’s Agreement and that is responsible for payment of all service charges incurred by its users. A subscriber ID does not by itself permit access to the SEDAR server as access must be obtained by entering a user ID and the related password. (b) User IDs – A subscriber will receive the number of user IDs requested by the subscriber in the Application For SEDAR Filing Services. User IDs identify the individuals who are authorized to access the SEDAR server as representatives of the subscriber. These user IDs will be received and assigned by the Principal Contact of the subscriber. The subscriber is responsible for all electronic filings and other transactions undertaken by its users. (c) Banking Authority – One or more user IDs assigned to the subscriber will have authority to confirm electronic payment instructions issued in connection with electronic filings. The number of user IDs having banking authority will initially be based upon the instructions provided by the subscriber in its Application For SEDAR Filing Services. Any changes to banking authorities must be communicated in writing to the Filing Service Contractor by the Principal Contact on SEDAR Form 1. (d) Passwords – Each user ID assigned to a subscriber will have an initial password that must be used in combination with the user ID to access the SEDAR system. Users are advised to change the initial password immediately upon gaining access to the SEDAR server for the first time. Procedures for changing a password are included in the SEDAR Filer User’s Guide. (e) Password Requirements – A password must be from six to eight characters in length and may be any combination of numbers or letters in upper case or in lower case. SEDAR passwords are case-sensitive so that they need to be entered exactly as created either in upper case or in lower case. Passwords should not be obvious, trivial or predictable and should be kept confidential by the individual user. It is recommended that passwords be changed every 30 days or otherwise as required by the subscriber’s internal security standards. A password should be changed immediately if a breach of security is suspected or if an individual user ceases to be a representative of the subscriber or otherwise ceases to be authorized to have access to the SEDAR system for electronic filing or electronic banking purposes. (f) PIN – Each subscriber will be assigned a single five–digit personal identification number (“PIN”) by the Filing Service Contractor. The PIN will be provided to the primary Principal Contact, who is responsible for informing the subscriber’s individual users of the PIN, and of any changes to the PIN from time to time. If a user has lost or forgotten its password, the user may contact the CSA Service Desk and
verbally request that the user’s password be reset by providing the PIN and any

other information that the Filing Service Contractor may require. If the PIN provided by the user is the current PIN of its subscriber, this implies that the subscriber authorizes the user to request the Filing Service Contractor to reset its password in the same manner as if the subscriber had provided written instructions to do so. It is the responsibility of the Principal Contact to notify the Filing Service Contractor in writing as soon as possible if a breach of security is suspected or if the integrity of the PIN is at risk, so that a new PIN can be assigned to that subscriber by the Filing Service Contractor. The Filing Service Contractor reserves the right to decline to assign a new PIN to a subscriber if the signature of the Principal Contact cannot be verified using a specimen signature maintained on file. A subscriber wishing to make changes to the banking authority attached to its assigned user IDs (e.g. payment limit) must contact the Filing Service Contractor. Any changes must be communicated in writing by the Principal Contact of the subscriber on SEDAR Form 1. Subscribers may transfer a user ID (e.g. reallocate a user ID from one individual to another individual) without contacting the Filing Service Contractor.
4.8 Installation of the SEDAR Filer Software
Upon receiving the information package, the subscriber should proceed to install and test the SEDAR Filer Software. The installation of the SEDAR Filer Software should be carried out in the manner outlined in the SEDAR Installation Guide provided on www.sedar.com. As part of the installation process, the subscriber will be required to establish an initial connection to the SEDAR server. The subscriber will not be able to utilize the SEDAR Filer Software until a proper connection has been made. Upon making a proper connection to the SEDAR server, the subscriber’s Principal Contact should review the “User Information” screen and the “Access and Banking Authorization” screen in the “User Profile and Defaults” module. The “User Information” screen contains information concerning the subscriber and the particular user. The “Access and Banking Authorization” screen sets out the user IDs and any related banking authority requested by the subscriber as well as the information relating to the subscriber’s electronic banking arrangements that was provided to the Filing Service Contractor in the application form. If any information in the “User Information” and/or “Access and Banking Authorization” screens is incorrect, the subscriber’s Principal Contact must contact the Filing Service Contractor immediately. These matters are discussed in more detail in Section 4.9. Once the SEDAR Filer Software is installed and an initial connection has been made, any individual assigned a user ID given to the subscriber will be able to connect to the SEDAR server as a representative of the subscriber. It is recommended that subscribers ensure that all users review this Manual and the SEDAR Filer User’s Guide.
4.9 User Information Screen and Access and Banking Authorization Screen
(a) Locating the “Access and Banking Authorization” Screen The “User Information” screen is located in the “User Profile and Defaults” module of the SEDAR Filer Software. By selecting the “Banking Authorization” feature on this screen, the “Access and Banking Authorization” screen will appear.

(b) Requirements for Maintaining and Updating Information on the Screens The following is an outline of the procedures to be followed by the Filing Service Contractor and the subscriber to ensure proper maintenance of all required information on the “User Information” screen and the “Access and Banking Authorization” screen. (i) Filing Service Contractor Inputs Upon receipt of a properly completed SEDAR Form 1 and accompanying material, the Filing Service Contractor will complete an electronic record of the subscriber. Following installation of the SEDAR Filer Software, the following information from the electronic record of the subscriber will be displayed on the “User Information” screen:
(A) User ID – A separate “User Information” record for each user ID requested by the subscriber. (B) Subscriber Information – The subscriber number, the type of subscriber (electronic filer or filing agent) and the subscriber name. Furthermore, the following information from the electronic record of the subscriber will be displayed on the “Access and Banking Authorization” screen:
(A) Subscriber Number.
(B) CPA Code – The financial institution number and transit number of the branch of the financial institution where the subscriber has its EDI account. (C) Account Number – The number of the EDI account of the subscriber. (D) Duns Number – The D-U-N-S number, if any, assigned by D & B to the subscriber. (E) Number of Signatures – Whether electronic payment instructions must be confirmed by one or two authorized user IDs in each case. (F) Payment Limit – The amount of the payment limit if a payment limit on the authority of one or more user IDs carrying “banking authority” is applicable. There can be only one payment limit for a subscriber such that all users with a payment limit will have the same limit. (G) User ID Payment Authority and Tax Status– Each user ID assigned to the subscriber will be listed on the screen. For each user ID, the screen will indicate the scope of any banking authority assigned for that user ID (one of “payment authorization not allowed”, “authorize up to payment limit”, and “no authorization limit”), and whether the user is

subject to “QST” (Quebec Sales Tax), “HST” (Harmonized Sales Tax) or “Neither”. Unless changed, the user information for each user ID of a subscriber in Newfoundland and Labrador, Nova Scotia, New Brunswick, Prince Edward Island, Ontario or outside Canada will automatically display the selection that the user is subject to HST. If the user is subject to “Neither” then “GST” (Goods and Services Tax) applies. A user may change the tax status by selecting a different province/state and using the “Submit” feature on the User Information screen to submit the change to the SEDAR server. If an address outside Canada or the USA is required then the subscriber must contact the CSA Service Desk to update the User Information. (ii) Subscriber Inputs Following installation of the SEDAR Filer Software and after making a proper connection to the SEDAR server, the subscriber’s Principal Contact should do the following:
(A) Review the information on the “User Information” screen and advise the Filing Service Contractor immediately in writing if any information in the “subscriber number”, “type of subscriber”, or “subscriber name” fields is incorrect. Only the Filing Service Contractor may change the information in these fields. The subscriber can see if any requested changes have been made in these fields by selecting the “Refresh” feature on the screen. (B) Input the following information in the applicable fields on the “User Information” screen:
(1) the name of the user assigned the user ID displayed on the screen, the mailing address of the subscriber, including division/department, street, city, province/state, postal code/zip code and country; (2) whether the subscriber or the particular authorized user is subject to “QST”, “HST” or “Neither”; (3) phone number and fax number of the subscriber. After these fields have been completed, the subscriber’s Principal Contact should select the “Submit” feature on the screen. The subscriber should update and verify the tax status of its authorized users from time to time. (C) Review the information on the “Access and Banking Authorization” screen and advise the Filing Service Contractor immediately in writing if any information on this screen (other than the “name” of a user ID) is incorrect. Except for tax status, only the Filing Service Contractor may change the information in these fields. The subscriber

can see if any requested changes have been made by selecting the “Refresh” feature on the screen. (iii) User Name Following installation of the SEDAR Filer Software and after making a proper connection to the SEDAR server, each user who has been assigned a user ID by the Principal Contact should enter his or her name in the “name” field under the “Userid” field on the “User Information” screen. After this field has been completed, the user should select the “Submit” feature on the screen. To update the “name” of the user ID on the “Access and Banking Authorization” screen, the subscriber should select “Refresh” which will then change the user’s name to match the “name” of the user ID on the “User Information” screen. (iv) Changes On a going forward basis, any changes to the information in the “User Information” screen and the “Access and Banking Authorization” screen would have to be made in the manner indicated above – that is, certain fields in those screens can be changed by the subscriber’s Principal Contact or the particular user while other fields can only be changed by the Filing Service Contractor after receiving written instructions from the subscriber’s Principal Contact on SEDAR Form 1. In the case of changes to the subscriber's legal name, the subscriber should contact the Filing Service Contractor for additional documentation requirements. (c) Access to and Use of the Information Contained in the Screens The information in the “User Information” screen will be attached to each electronic filing made by a user. Each recipient agency that receives an electronic filing will be able to ascertain the user ID, name and telephone and fax number of the primary filer (i.e. the user that made the first electronic filing in the relevant project) as well as the mailing address of the responsible subscriber. Only the primary filer and its designated secondary filer(s), if any, will have access to the information from the “User Information” screen attached to any electronic filing retrieved from the SEDAR Filings Database. Information concerning primary and secondary filer status is set out in Section 4.13 below. The information on the “Access and Banking Authorization” screen will serve to provide a record as to the authority of each user to issue electronic payment instructions when making an electronic filing that is required to be accompanied by the payment of CSA filing fees or SEDAR System Fees. Details concerning required electronic banking arrangements are set out in Chapter 5 of this Manual.
4.10 Connecting to the SEDAR Server

Subscribers must make all connections to the SEDAR server through the Internet using the SEDAR software to ensure a secure connection. The subscriber will need access to Internet service in order to connect to the SEDAR server.
4.11 Connection Problems
Noisy, low quality lines, incorrect PC settings, network problems, and server problems may all contribute to an unsuccessful communications session. Connections are not always made the first time so users should re-attempt any communication sessions that are not successful. If a subscriber is experiencing any difficulty in making or maintaining a connection to the SEDAR server, the CSA Service Desk should be contacted as soon as possible at 1-800-219-5381.
4.12 Other Services Available to Filing Service Subscribers
In addition to being able to make electronic filings as outlined, a subscriber and its users will be able to search for and retrieve electronic filings and other information from the SEDAR databases, use the E-mail services and access the personalized workspace facilities available on the SEDAR system. (a) SEDAR Database Access All of a subscriber’s authorized users have access to both the SEDAR Filer Profiles Database and the SEDAR Filings Database maintained by the Filing Service Contractor. Additional information concerning access to and use of the SEDAR databases is set forth in Sections 6.5 and 8.8 of this Manual and in the SEDAR Filer User’s Guide. (b) E-Mail Communications The purpose of E-mail in the SEDAR system is to provide all SEDAR users a means for informal communication that is separate from the process of electronic filing or formal correspondence. E-mail is a part of the “Mail Functions” module and it allows each user to send and receive E-mail messages. The user ID of a user that is an authorized representative of a subscriber or a recipient agency is used as the E-mail ID to identify the destination of the electronic message. The format of the messages is ASCII text and the maximum size of each file can be 32 kilobytes. For purposes of sending document files between subscribers (e.g. an issuer’s auditor sending financial statements to the issuer’s counsel), it is recommended that the personalized user workspace be used (as described in Section 4.12(c) below). Electronic files cannot be attached to E-mail. Limitations on the use of SEDAR E-mail services when communicating with the securities regulatory authorities are set forth in Chapter 10 to this Manual. (c) Personalized User Workspace - Send Files and Receive Files Each user ID will be assigned a “personalized” user workspace on the SEDAR server which may be used to store documents for future filings and to receive documents

from, and send documents to, other subscribers for future filings. This is done by using the “Send Files” function and the “Receive Files” function in the “Mail Functions” module. A user workspace is a small section of the SEDAR server hard drive which has been partitioned for exclusive use by an individual user. This workspace is completely confidential as the only person able to access or retrieve documents stored in the workspace is the user. Each user workspace will permit storage of files containing a total of 5 megabytes. A user workspace may be utilized as follows:
(i) Storage of Documents for Future Filing
A user will be able to transmit and store documents for electronic filing at a future date. This will help reduce the transmission time when the filing is actually made as the document will already reside on the SEDAR server and will only need to be relocated to the proper recipients once the filing is made. For filings which involve assembly and transmission of a large number of documents, the use of the workspace will significantly decrease transmission time as many documents can be uploaded to the user's workspace on the SEDAR server in advance of the actual filing time. (ii) Receipt of Third Party Documents A user will be able to receive documents transmitted to the user’s workspace by other subscribers. These third party documents may be downloaded for review and, where necessary, converted to an acceptable electronic format for subsequent filing. Third party documents which are already in acceptable electronic format may be included in a future electronic filing as “attached documents”. See Section 8.3(m) of this Manual. A user may send a document to its own personalized workspace or to the personalized workspace of another user by using the “Send Files” function in the “Mail Functions” module. A recipient of a document file from another user may use the “Receive Files” feature of the “Mail Functions” module to download the file from the SEDAR server to the recipient’s personal computer for viewing prior to making a filing. After viewing the document, the recipient may modify it and may also use the “Send Files” function to transmit the document back to its own user workspace on the SEDAR server for storage for a future filing.
4.13 Special Access Privileges for Secondary Filers
The SEDAR Filer Software allows subscribers making electronic filings to grant access privileges to other subscribers (known as “secondary filers”) having an interest in viewing, retrieving or submitting documents and information relating to any particular electronic filing. This feature allows subscribers greater flexibility in managing electronic filings because the subscriber initiating the electronic filing may permit other subscribers to view and retrieve the filing material and the status information as well as to submit filing material

and/or pay fees electronically in appropriate circumstances. Special access privileges for secondary filers are discussed in greater detail in Section 8.3(g).
4.14 Virus Detection
The “Filing Management” module and the “Send Files” function in the “Mail Functions” module of the SEDAR Filer Software are not supported by anti-virus software. Users are responsible for acquiring and installing their own anti-virus software and for acquiring updates signatures for their anti-virus software from time to time, as may be recommended by the anti-virus software supplier or as appropriate based on the particular uses made of the SEDAR Filer Software. It is strongly recommended that users of the “Send Files” function in the “Mail Functions” module of the SEDAR Filer Software who transmit document file formats that may include embedded objects (such as non-PDF files) acquire, install and maintain appropriate anti-virus software.

5 ELECTRONIC PAYMENT OF CSA AND MARKET CENTRE FILING FEES AND SEDAR SYSTEM FEES
5.1 Overview
The National Instrument provides that any filing fees payable to the securities regulatory authorities for the filing of a document in electronic format (“CSA filing fees”) must be paid by an electronic payment authorized at the time the electronic filing is made. The National Instrument further provides that the subscriber making the electronic filing must make the electronic payment of any applicable CSA filing fees for the filing by transmitting instructions through SEDAR for the purpose of effecting an electronic funds transfer from the subscriber to the applicable securities regulatory authorities in the manner set out in this Manual. Certain market centre filing requirements provide that electronic filers subject to such requirements are permitted (but not required) to pay certain filing fees payable to the applicable market centres (“market centre filing fees”) electronically using the SEDAR system. As outlined in Chapter 4, if any SEDAR System Fees are payable in respect of a particular filing, these must also be paid electronically at the same time. The SEDAR system facilitates the payment of CSA filing fees, market centre filing fees (if permitted by applicable market centre filing requirements) and SEDAR System Fees by permitting a subscriber to maintain an EDI banking account and issue electronic payment instructions at the time that an electronic filing is transmitted. The electronic payment instructions must be created on screen and transmitted to the SEDAR server using the SEDAR Filer Software. The instructions are then processed by the SEDAR system and transmitted to the subscriber’s EDI-compliant Canadian financial institution instructing it to electronically transfer funds to the financial institutions designated to receive payments for the accounts of the securities regulatory authorities and/or the market centres as applicable. This allows processing of electronic payments to proceed contemporaneously with the processing of the related electronic filing. The electronic payment procedures used by the SEDAR system are based on a protocol known as electronic data interchange or EDI. Under this protocol, the electronic instructions are given to the financial institutions in accordance with recognized national data standards.
5.2 Required EDI Banking Arrangements
Each subscriber that intends to make electronic filings of a type which will require it to make electronic payments using the SEDAR system and that does not intend to have another subscriber make those electronic payments on its behalf must establish an EDI banking account with a financial institution in Canada that offers financial EDI services and that is recognized by the Filing Service Contractor as being EDI-capable. The account may be an existing general account with EDI privileges or a new SEDAR-dedicated EDI account. The EDI banking account may be used to make EDI payments to pre-authorized recipients only, namely, the securities regulatory authorities (or the local governmental authorities responsible for their financial affairs), the market centres and the Filing Service Contractor. The EDI banking information for the securities regulatory authorities (or the local governmental authorities responsible for their financial affairs) the market centres and for the payment of the SEDAR System Fees is set forth in Appendix P. The subscriber must notify its financial institution of the EDI banking information for the applicable recipients. If any of the

recipient agencies or the Filing Service Contractor wishes to change any EDI banking information provided to subscribers in this Manual, it will endeavour to provide subscribers with at least 30 days prior notice of the change. At the time of registration as a filing service subscriber, a subscriber that intends to make electronic payments using the SEDAR system must provide the Filing Service Contractor with the following EDI banking information on SEDAR Form 1:
(a) the financial institution to be used for EDI payments; (b) the number of electronic signatures (one or two) required to authorize each EDI payment to be made through SEDAR on behalf of the subscriber (see Section 5.3(b) below; (c) a payment authorization limit, if desired; (d) the number of individual users who will be entitled to authorize EDI payments on behalf of the subscriber, including the number of individual users who will be entitled to authorize payments up to the payment authorization limit and the number of individual users who will be entitled to authorize EDI payments without being subject to the payment authorization limit, as applicable; and (e) whether the subscriber will be filing from the province of Quebec (and subject to Quebec Sales Tax or QST) or from the province of New Brunswick, Newfoundland and Labrador, Nova Scotia, Prince Edward Island, Ontario or the USA (and subject to Harmonized Sales Tax or HST). If the subscriber is not filing for an issuer located in one of these locations then GST (Goods and Services Tax) applies. This information establishes the default tax status for each user of the subscriber, but each user will nevertheless be able to change its tax status if such user is subject to a different provincial tax regime. The EDI banking information provided by the subscriber is entered in the SEDAR system by the Filing Service Contractor, once the account details from the subscriber’s financial institution have been received. This information is made available to the subscriber on the “Access and Banking Authorization” screen in the “User Profile and Defaults” module of the SEDAR Filer Software. The subscriber is responsible for verifying that the Filing Service Contractor has correctly entered the subscriber’s EDI banking information.
5.3 The Electronic Payment Process
The electronic payment process operates each time a subscriber makes an electronic filing which involves payment of a CSA filing fee, a market centre filing fee (if permitted by applicable market centre filing requirements) or a SEDAR System Fee. In the case of electronic filings which involve multiple submissions within the same project (e.g. a prospectus filing), any applicable SEDAR System Fees will be calculated automatically by the SEDAR Filer Software and must be paid electronically contemporaneously with the filing of the first submission in the project. (a) Calculating CSA Filing Fees, Market Centre Filing Fees and SEDAR System Fees

The process of calculating CSA filing fees, market centre filing fees and SEDAR System Fees can be summarized as follows:
(i) In the course of preparing a cover page for an electronic filing which involves the payment of CSA filing fees, a user should select the “Fees” feature to bring up the “Add/Modify Fees” screen. The user is then required to specify the amount of fees, if any, that are required to be paid to each securities regulatory authority that is an intended recipient of the electronic filing. The SEDAR Filer Software provides the user with an on-screen schedule (displayed separately per recipient agency) describing the types of filing fees which may be payable in the applicable jurisdiction. The procedure is generally the same for market centre filing fees with text directing the user to a schedule on the market centre’s website describing the market centre filing fees and fee notes for the intended recipient market centre. The user must specify the fee and then any applicable taxes are calculated automatically. The process of completing a cover page and the “Add/Modify Fees” screen is described in greater detail in Chapter 8. (ii) The SEDAR Filer Software calculates and displays the amount of SEDAR System Fees, if any, that are payable. (iii) All applicable taxes are also calculated and added to the amounts specified or calculated under (i) and (ii) above and are listed in the “Charge Summary” screen described in (v) below. (iv) Before the filing is transmitted, the SEDAR Filer Software displays a “Summary of Filing Fees” screen indicating the total amount of CSA filing fees, market centre filing fees and SEDAR System Fees, including any applicable taxes, for the filing and the project as described in greater detail below. The subscriber should verify this total amount for the filing and ensure that this total amount is available in its EDI banking account. The “Summary of Filing Fees” screen is a read-only screen which breaks down the fees and charges for a project into three components:
(A) “Total Project Fees (to date)” – i.e. the total of all CSA filing fees, market centre filing fees and SEDAR System Fees for the project, including applicable taxes. (B) “SEDAR System Fees (to date)” – i.e. the total of all SEDAR System Fees for the project, including applicable taxes. (C) “Agency Fees (to date)” – i.e. the total of all CSA filing fees and market centre filing fees for the project, including applicable taxes. Each of these components is further broken down into the following categories: “WIP” (work in progress), which represents fees and/or charges and/or applicable taxes which have been entered but not yet confirmed by instructions submitted to the SEDAR server (note: WIP does not appear for

SEDAR System Fees); “Submitted”, which represents the total of all fees and/or charges and/or applicable taxes submitted to the SEDAR server for the project; “Paid”, which represents the fees and/or charges and/or applicable taxes which have been confirmed as being paid by the financial institution of the primary filer or the secondary filer, as applicable; and “Rejected”, which represents the fees and/or charges and/or applicable taxes which have been rejected by the financial institution due to insufficient funds or for other reasons. To make changes to the information in the WIP category on the “Summary of Filing Fees” screen, the user would select the “Add/Modify” feature and return to the “Add/Modify Fees” screen and make the desired changes. (v) Once the electronic filing has been properly assembled, the user must proceed to establish a connection with the SEDAR server for the purpose of making the filing. This is done by using the “Submit” feature. After the “Submit” feature has been selected, the “Charge Summary” screen will appear. This screen will display the CSA filing fees entered for each securities regulatory authority which was selected as a recipient for the filing, any market centre filing fees entered for a market centre which was selected as a recipient for the filing, applicable taxes calculated on the market centre filing fees, the SEDAR System Fees, if applicable, together with the total agency fees payable. The “Charge Summary” screen will also include a single optional “Matter #” field in which a user may record up to 20 characters to identify a client, customer or other reference internal to the user. If the primary filer did not complete the “Matter #” field, a secondary filer may do so. Once a matter number has been submitted to the SEDAR server for a project, it cannot be changed in subsequent submissions in that project. If the information on the “Charge Summary” screen is incorrect, the user would select the “Cancel” feature and return to the cover page for the filing on the “Filing Management” screen and select the “Fees” feature to make changes to the fees listed on the “Add/Modify Fees” screen. If the information on the “Charge Summary” screen is correct, the user would then select the “Authorize” feature on the “Charge Summary” screen and the “Payment Authorization” screen will appear, at which time the user would proceed to authorize payment as described in Section 5.3(b) below. (b) Payment Authorization by Subscriber If the electronic filing is one which is required to be accompanied by payment of CSA filing fees, market centre filing fees, taxes, or SEDAR System Fees, the user is prompted by the “Payment Authorization” screen to provide confirmation of the issuance of electronic payment instructions. Confirmation is provided by having either one or two authorized users, as required, enter their user IDs and passwords when prompted to do so.

Subscribers can set up authorization procedures in order to further their internal controls as follows:
(i) Subscribers can determine whether one or two users will be required to confirm all electronic payment instructions. (ii) Subscribers can set a payment limit that will apply to one or more of the users who have been given authority to confirm electronic payment instructions. However, there can only be one payment limit for a subscriber such that all users with a payment limit will have the same limit. A secondary filer that is granted the “submit” access privilege in respect of a particular project may submit electronic payment instructions and make electronic payments in respect of that project. In such circumstances, the authorization procedures that apply in respect of the electronic payments in question are those applicable to a secondary filer. If the secondary filer is not a user that is authorized by its subscriber to make electronic payments, the secondary filer will have to comply with the authorization procedures established by its subscriber. This may require either one or two other authorized users of the same subscriber to enter their user IDs and passwords in order to authorize an electronic payment. If an electronic filing which is required to be accompanied by payment of SEDAR System Fees is not made or is not accompanied by the correct amount, the Filing Service Contractor may add the charges that were required to be paid electronically to the invoice of the subscriber who made the filing, whether or not the subscriber who made the filing was acting on its own behalf or as a filing agent on behalf of the electronic filer. If a subscriber has an explanation for not paying all or any part of the SEDAR System Fee, it is the subscriber’s responsibility to notify the Filing Service Contractor in writing, to the attention of the CSA Service Desk, as soon as possible. The CSA Service Desk contact information can be found at:
www.sedar.com/sedar/how_to_contact_sedar_en.htm, (French: http://www.sedar.com/sedar/how_to_contact_sedar_fr.htm) The notice must include a reference to the type of filing, project number, issuer name, the amount and the reason why the charge or part of the charge is not owed on the current month’s invoice. If, after inquiry, the Filing Service Contractor is satisfied that the charge or part of the charge is not owed, then that amount will be credited to the subscriber’s subsequent monthly invoice to reverse the charge. (c) Payment Instructions Processed by SEDAR Payment instructions are processed by SEDAR as follows:
(i) The transmission of an electronic filing involving payment of CSA filing fees, market centre filing fees, including applicable taxes, or SEDAR System Fees commences once the appropriate user ID(s) and password(s) has/have been entered and validated by the SEDAR server. The “SEDAR File Transfer” screen will appear indicating that the filing is being transmitted to the SEDAR server. Once transmission of the filing to the SEDAR server is complete the SEDAR server records a date and time entry which can be

viewed on the “Filing Management” screen by the primary filer and any secondary filer with an access privilege. The filing is then available to be downloaded by the applicable recipient agencies. (ii) The electronic payment instructions received by the SEDAR server are security coded and transmitted to the Canadian financial institution designated by the submitting subscriber (either the primary filer or a secondary filer). Once sent to the financial institution, the payment instructions become irrevocable if the transmission of the electronic filing is completed. (iii) The payment instructions and transmission details are saved on the SEDAR server so that they may be used later for verification purposes. (iv) If the electronic filing is downloaded by a recipient agency, the recipient agency will be able to review the documents; however, fee payment information may be reviewed by a recipient agency without having to download the electronic filing. If the recipient agency detects a problem with the filed documents or fee payment information, it may communicate with the contact indicated for the first submission in the project or the contact indicated for the affected submission (if different) so that the problem can be rectified. If the electronic filing is submitted by a secondary filer and a problem is detected with the documents or fee payment information, the recipient agency will generally communicate with the primary filer rather than the secondary filer. (d) Financial Institution Processing of Electronic Payments Electronic payments are processed by the financial institution as follows:
(i) Upon receipt of the subscriber’s electronic payment instruction, the subscriber’s financial institution debits the subscriber’s account and transmits payment to the financial institutions with which the applicable recipient agencies maintain their EDI banking accounts. The financial institutions to which subscriber payments are to be transmitted and the EDI banking accounts to which subscriber payments are to be credited, are set forth, in respect of the applicable securities regulatory authorities, in
Appendix P under “EDI Banking Information”, and in respect of the
participating market centres, in the applicable market centre filing requirements. (ii) In the case of payment instructions received during business hours, a financial institution generally processes the payment instructions within two hours of receipt. In general, payment instructions are only honoured if the daily credit limit in the designated EDI banking account has not been reached. (iii) Payment instructions received outside of business hours or after any relevant cut-off time or during business hours may not be processed and confirmed

by the subscriber’s financial institution until the following business day. In such event, the payment will be counted towards the following business day’s “daily credit limit” set for the EDI banking account. However, in accordance with existing practice, a securities regulatory authority will generally review and act upon an electronic filing whether or not receipt of payment has been confirmed by its financial institution provided that the required electronic payment has been authorized by the subscriber. (iv) It should be noted that subscribers are responsible for all service charges payable to their financial institutions in connection with SEDAR electronic banking activities, including service charges relating to the processing of electronic payment instructions. (e) Payment Status Subscribers and recipient agencies are responsible for monitoring the status of electronic payments on screen by connecting to the SEDAR server and viewing the “Payment Status Details” screen which will indicate the date and time the electronic payment instruction was sent by the SEDAR server to the subscriber’s EDI financial institution and the date and time of payment acceptance or rejection by the subscriber’s EDI financial institution. The screen will also display the “Matter #” field which, if previously completed by a user in the “Charge Summary” screen, displays characters identifying a client, customer or other reference internal to the user. The “Payment Status Details” screen is only accessible by the primary filer on the project, any secondary filer granted an access privilege on that project and any recipient agency that is designated as such. In the event that an electronic payment is rejected by the subscriber’s EDI financial institution, a three digit error code will explain the cause, i.e. insufficient funds or incorrect recipient account. The subscriber is responsible for taking any required corrective action. In the event of underpayment or overpayment, the recipient agencies may contact the subscriber directly. If the underpayment or overpayment relates to an electronic payment made by a secondary filer, the recipient agencies may not be able to identify that a secondary filer rather than a primary filer submitted the electronic payment. In this event, the recipient agencies may contact the primary filer rather than the secondary filer and may issue a refund to, or require additional payment from, the primary filer rather than the secondary filer. For further details concerning requests for refunds, see Section 8.3(g) below. (f) Multiple Filings As noted in Section 8.3(o) below, a group of electronic filings can be transmitted together to the SEDAR server as a multiple filing. In the case of a multiple filing, there will be a series of separate payment confirmations required, one for each filing. For example, for a multiple filing consisting of three filings that are to be transmitted to the SEDAR server, a separate “Charge Summary” screen and
“Payment Authorization” screen will appear consecutively for each filing.

(g) Refunds
A request for a refund of an overpayment or duplicate payment made electronically to a recipient agency must be submitted in writing in paper format to the recipient agency. In general, refunds will be issued by the recipient agency to the responsible primary filer. All requests for refunds must provide the following information:
electronic filer’s name; subscriber name; project number (for both the accepted and rejected filing, if applicable); payment number (for both the accepted and rejected filing, if applicable); and electronic filer’s profile number. Any refunds made by the recipient agencies will be issued by cheque sent by first-class mail to the applicable filer. However, the market centre filing requirements may provide other methods for processing refunds. Similarly, a request for a refund of an overpayment or duplicate SEDAR System Fee payment made electronically must be submitted in writing on a “Request for Refund of Electronic Filing Fees Paid.” form, accompanied with a cover letter on subscriber’s letterhead, to the Filing Service Contractor by delivery at CSA Service Desk, Attn: SEDAR Filing Service Contractor, 12 Millennium Blvd, Suite 210 Moncton, NB E1C 0M3 , sedar@csa-acvm.ca or by telecopy to 1-866-729-8011 to the attention of the SEDAR Filing Service Contractor. Request for Refund forms are available by contacting the Filing Service Contractor at 1-800-219-5381. Approved refunds will be first applied to offset fees owing by the subscriber whether on its own behalf or on behalf of any other person or issuer(s). Refunds, or the remaining amount of the refund, will be issued by the Filing Service Contractor by cheque sent by first-class mail to the subscriber.

6 FILER PROFILES
6.1 Overview of Filing Requirement
A filer profile is a discrete set of information concerning the electronic filer that is required to be filed with the applicable securities regulatory authorities in electronic format under the National Instrument. The filer profile must be filed by or on behalf of an issuer or third party filer that is required or proposing to become an electronic filer, prior to its first electronic filing. Before filing any document in electronic format using SEDAR, an electronic filer (or a filing agent or a filing service subscriber acting on its behalf) must create and file a filer profile using the SEDAR Filer Software. If a filer profile for the electronic filer has been filed previously using the SEDAR system, then that electronic filer must ensure that its existing filer profile is correct in all material respects. An electronic filer must file an amended filer profile using the SEDAR system within 10 days following any change in the information contained in the filer profile.
6.2 Payment of Annual filing fee
As outlined in Chapter 4, an annual filing fee is payable by or on behalf of all electronic filers that are reporting issuers. The amount payable in relation to any particular reporting issuer depends on the nature of the reporting issuer and its filing requirements, as set out in the System Fee Rules. This annual charge is intended to cover the costs associated with the filing of all regular continuous disclosure documents other than AIF filings. The annual filing fee is to be paid by or on behalf of each electronic filer that is a reporting issuer (i) at the time of the filing of its initial filer profile or following the filing of its initial filer profile, upon receipt of an invoice issued by the Filing Service Contractor and; (ii) in each subsequent calendar year, by electronic payment when the electronic filer’s “Annual Financial Statements” are filed with one or more securities regulatory authorities. The annual filing fee invoiced in respect of the first calendar year after filing an initial filer profile is for the pro rated amount covering the month following the month in which that electronic filer filed its initial filer profile through the remainder of that calendar year. An electronic filer that is not a reporting issuer or files under the Other Filer Profile does not file all of the continuous disclosure documents filed by reporting issuers and, therefore, is not subject to the annual filing fee, even if that electronic filer files “Annual Financial Statements” at the request of a securities regulatory authority.

6.3 Creation of Filer Profiles
Filer profiles must be created by entering prescribed information in fields presented on a screen in the SEDAR Filer Software. The information entered in the electronic fields is then transmitted by or on behalf of the electronic filer to the SEDAR server where it is processed and stored in the SEDAR Filer Profiles Database for access by filers, securities regulatory authorities, market centres and the public. The information contained in a filer profile is subsequently used to facilitate the recording of other electronic filings made by or on behalf of the electronic filer. This component of the system helps ensure that electronic filings contained in the SEDAR Filings Database are correctly recorded as filings of a particular electronic filer. In addition, these profiles are used by the System for Electronic Disclosure by Insiders (SEDI®) to populate issuer profile supplements where applicable. In general, when a filer profile is created and submitted initially, it will not be made available to the public until such a time as a document filed electronically by or on behalf of the electronic filer is made accessible to the public. When a filer profile is being created an authorization process must also be completed in order to complete filings other than third party filings. See section 2.6(b). An electronic filer (or a filing agent acting on its behalf) may request that an electronic filer’s filer profile be made available to the public immediately by providing notice in writing to the Filing Service Contractor. The notice of request must include a reference to the subject filer profile number, be signed by an authorized signing officer of the electronic filer and may either be delivered to:
CSA Service Desk
Attn: SEDAR Filing Service Contractor
12 Millennium Blvd, Suite 210
Moncton, NB E1C 0M3 sedar@csa-acvm.ca or sent by telecopy to 1-866-729-8011 to the attention of the SEDAR Filing Service Contractor. In the case of a filing agent making the request, the filing agent must be authorized by the electronic filer as per the authorization process. By requesting immediate public accessibility for a filer profile, an electronic filer can eliminate the need for an electronic filer to ensure that the subscriber filing the filer profile also files the first electronic filing (i.e. the first electronic filing can become an independent event). This may also prevent a duplicate filer profile from being created because the original filer profile cannot be accessed by another subscriber. Some electronic fields in the filer profile screens are mandatory fields and other fields are optional. When completing the filer profile, the electronic filer must disclose both its English name and its French name, if applicable. The two fields provided for this purpose are mandatory fields in the SEDAR Filer Software and must be completed to be able to submit the filer profile to the SEDAR server. If an electronic filer does not have separate English and French names, the filer should put the same name (English or French) in the two fields. The name fields must be completed on a case sensitive basis (i.e., do not use capital letters unless they are actually part of the electronic filer’s name(s). (a) Filer Profile Types

There are four filer profile types, each of which is required to be completed by a different category of filer. The information that is required to be entered in the various filer profile types is listed in Appendices F, G, H and I to this Manual and is reproduced on four separate screens in the SEDAR Filer Software. The four filer profile types are as follows:
(i) Investment Fund Group Profile – An Investment Fund Group Profile must be completed and filed for each investment fund group. The Investment Fund Group Profile is an abbreviated filer profile type containing information on the mutual fund group that manages the mutual funds within the investment funds group. An investment fund group is a group of one or more mutual funds that have a common manager, whose affairs are conducted in a similar manner and that file one simplified prospectus and one annual information form under NI 81- 101, that otherwise file one prospectus or that have the same offering document. Therefore, any particular Investment Fund Group Profile should only reference those mutual funds that distribute their securities together under a single prospectus or a single offering document. Those mutual funds that have a common manager or distributor which intend to distribute their securities under a separate prospectus or a separate offering document may form a separate investment fund group for the purposes of SEDAR. (See
Section 8.3 (a) for further details on how to create a project.) The English
and/or French names used in an Investment Fund Group Profile should identify the investment fund group as clearly and distinctly as possible (i.e., a distinct name should be selected for each investment fund group within a larger family of investment funds). A single mutual fund proposing to make an electronic filing must complete an Investment Fund Group Profile even if it is not one of a group of mutual funds that meet the foregoing criteria. In these cases, the English and/or French names used for the Investment Fund Group Profile should be the name of the single mutual fund. The information required to be presented in an Investment Fund Group Profile is set out in Appendix F to this Manual. (ii) Investment Fund Issuer Profile – An Investment Fund Issuer Profile must be completed and filed by each mutual fund that is proposing to make an electronic filing. This requirement is in addition to the requirement to file an Investment Fund Group Profile before filing a document in electronic format, as outlined above. The name used on the Investment Fund Issuer Profile must be the full legal name of the issuer. In the case of segregated funds, an Investment Fund Issuer Profile must be filed for each separate mutual fund. Each section, part, class or series of a class of securities of a mutual fund or other investment fund that is referable to a separate portfolio of assets is generally required to be treated as a separate mutual fund or investment fund and, therefore, a separate issuer. Therefore, a separate Investment Fund

Issuer Profile will generally be required for each such section, part, class or series. The information required to be presented in an Investment Fund Issuer Profile is set out in Appendix G to this Manual. (iii) Other Issuer Profile – This type of filer profile must be completed and filed by a non-mutual fund that is an issuer, that is required to make an electronic filing, other than those required under the Other Filer Profile. The information required to be presented in an Other Issuer Profile is set out in Appendix H. (iv) Other Filer Profile – This type of filer profile must be completed and filed by an electronic filer not included in the previous categories. This type of filer profile should not be used by an issuer who is making an electronic filing in the exempt market offerings and disclosure category, regardless of whether the issuer is a reporting or non-reporting issuer.
Section 6.4 (d) (ii) describes the procedure to be followed when a nonreporting issuer that has previously filed an Other Filer Profile, proposes to
make an electronic filing that will result in the issuer becoming a reporting issuer. The information to be disclosed in an Other Filer Profile is much more abbreviated than the filer profiles required for reporting issuers and is designed to provide basic information which will facilitate the recording of electronic filings by these electronic filers and enable the securities regulatory authorities to contact these electronic filers, if necessary. The information required to be presented in an Other Filer Profile is set out in Appendix I. (b) Electronic Filer’s Profile Number Each electronic filer that files a filer profile is assigned a profile number by SEDAR. This is a number that uniquely identifies each electronic filer so that filings made by or on behalf of the electronic filer may be tracked by the recipient agencies and, in the case of public filings, users of the SEDAR databases. A temporary profile number (TMP#####) is assigned by the SEDAR Filer Software whenever a new filer profile is being created and saved. Once the new filer profile has been submitted to the SEDAR server, a unique permanent eight digit profile number is assigned to the electronic filer.
6.4 Amending a Filer Profile
(a) General
The National Instrument requires an electronic filer to amend its filer profile within 10 days following any change in the information contained in its filer profile.

(b) Process of Amending a Filer Profile
To update a filer profile that has been filed previously, the SEDAR Filer Software has a search function that allows a user to find and download existing filer profiles and add them to the “Profile Management” screen in order to amend them (see
Section 6.5 below). The “Profile Management” screen in the “Profile Management”
module in the SEDAR Filer Software lists the filer profiles that have been downloaded from the server and added to the user’s database of filer profiles. To update a filer profile that appears on the “Profile Management” screen, a user should select the profile to be updated and then select “Update” (if the user selects “Open”, the user will be able to read the information but will not have the ability to update it). The user should then make the required changes to the filer profile and select “Save” to store the updated filer profile on the user’s computer for submission at a later time, or if the change is to take effect immediately, the user should select “Submit” to transmit the amended filer profile to the SEDAR server. To update an existing profile for the first time, an electronic filer or filing agent acting on its behalf must complete the authorization process so that the status is displayed as “authorized”. After an amended filer profile is updated and submitted by or on behalf of an electronic filer, it is automatically archived in the SEDAR system with the profile number assigned to the electronic filer upon filing its filer profile originally. (c) Requirement to Create a New Filer Profile If two or more electronic filers have merged or one or more electronic filers have been wound up into another, a new filer profile may have to be created for the merged or resulting entity, in which case a new profile number is assigned for that entity (see
Section 6.4(d)(iii)). As well, if an electronic filer divests or spins off a division and
the division is required to make electronic filings, the original entity retains its same profile number and the new entity must create a new filer profile, in which case a new profile number is assigned to that entity. The authorization process described in
section 2.6(b) for electronic filers and filing agents acting on their behalf must be
completed for a new filer profile. In these cases, the “Previous Issuer Information” field on the new filer profile must be completed with the details of the previous profile number(s) and name(s). In addition, the filer profile of any predecessor entity must be amended by changing the “Jurisdictions where Reporting Issuer” field to “Ceased Reporting” (see Section 6.4(d)(i)). In general, a change in a filer’s name, in circumstances other than those of the type discussed above, will require a filer profile to be amended, i.e. it will not ordinarily result in the obligation to create a new filer profile or the assignment of a new profile number. An electronic filer must amend its filer profile or, if required, file a new filer profile within 10 days following any change in the information contained in the filer profile.

(d) Special Requirements for Certain Changes in Filer Profile Information (i) Ceasing to be a Reporting Issuer If an electronic filer ceases to be a reporting issuer, it must amend the “Jurisdictions where Reporting Issuer” field on its filer profile to select “Ceased Reporting” or “Non-Reporting Issuer”. The “Ceased Reporting” selection indicates that the issuer is no longer making electronic filings. Once the amended filer profile is submitted to the SEDAR server, the filer profile can no longer be amended or used to submit new filings (unless the “Jurisdictions where Reporting Issuer” field is amended further). If the “NonReporting Issuer” selection is made, the issuer can continue to make electronic filings in the exempt market offerings and disclosure category. If an electronic filer is required to make any electronic filings using the Other Filer Profile, the electronic filer must create and file a new Other Filer Profile, resulting in the assignment of a new profile number. In this event, the issuer’s previous profile number should be disclosed in the new filer profile when it is created. For this purpose, the screen for the Other Filer Profile has a “Previous Issuer Information” field where a filer should add the previous profile number by selecting it from a list of profiles that have been downloaded to the filer’s database. However, before doing so, the filer must refresh the filer’s local profiles database, by selecting the filer’s profile and choosing “refresh profile”, to ensure that the latest version of the filer profile on the SEDAR server is downloaded to the filer’s local profiles database. If the “Previous Issuer Information” field in the new filer profile has been correctly completed, a person accessing the SEDAR Filer Profiles Database will be able to determine that the filer had previously been a reporting issuer and retrieve the last filer profile filed by that reporting issuer. (Note: The former reporting issuer’s Other Issuer Profile will remain in the SEDAR Filer Profiles Database for historical purposes.) (ii) Becoming a Reporting Issuer After Having Filed an Other Filer Profile If an issuer that has previously filed an Other Filer Profile proposes to make an electronic filing that will result in the issuer becoming a reporting issuer, the electronic filer must file a new filer profile as a reporting issuer and complete the authorization process (i.e. an Other Issuer Profile) prior to making the proposed electronic filing. In this event, the previous profile number must be disclosed in the new filer profile. The screen for the new filer profile has a “Previous Issuer Information” field where a filer must add the previous profile number by selecting it from a list of profiles that have been downloaded to the filer's database. However, before doing so, the filer must refresh the filer’s local profiles database to ensure that the latest version of the filer profile on the SEDAR server is downloaded to the filer’s local
profiles database. If the “Previous Issuer Information” field in the new filer profile has been correctly completed, a user of the SEDAR Filer Profiles Database will be able to retrieve the last Other Filer Profile filed by the issuer.

(Note: The Other Filer Profile will remain in the SEDAR Filer Profiles Database for historical purposes.) (iii) Filings Under the Exempt Market Offerings and Disclosure Category After Having Filed an Other Filer Profile If an issuer that has previously filed an Other Filer Profile proposes to make electronic filings in exempt market offerings and disclosure, the issuer must file a new filer profile (i.e. an Other Issuer Profile or Investment Fund Issuer Profile) prior to making the proposed electronic filing. In this event, the previous profile number must be disclosed in the new filer profile. The screen for the new filer profile has a “Previous Issuer Information” field where a filer must add the previous profile number by selecting it from a list of profiles that have been downloaded to the filer's database. However, before doing so, the filer must refresh the filer’s local profiles database to ensure that the latest version of the filer profile on the SEDAR server is downloaded to the filer’s local profiles database. If the “Previous Issuer Information” field in the new filer profile has been correctly completed, a user of the SEDAR Filer Profiles Database will be able to retrieve the last Other Filer Profile filed by the issuer. (Note: The Other Filer Profile will remain in the SEDAR Filer Profiles Database for historical purposes.) The authorization process applies to Other Filer Profiles for an electronic filer or filing agent acting on its behalf when creating the new filer profile. (iv) Becoming a Reporting Issuer After Having Filed as a Non-Reporting Issuer using either an Other Issuer or Investment Fund Issuer Profile If an electronic filer that has previously filed an Other Issuer or Investment Fund Issuer Profile proposes to make an electronic filing that will result in the issuer becoming a reporting issuer, the electronic filer must amend the “Jurisdictions where Reporting Issuers” field on its filer profile to select the applicable jurisdictions where it is a reporting issuer. The electronic filer must also select a principal regulator. (v) Amalgamation or Wind-Up If two or more issuers amalgamate or merge into a new legal entity a new filer profile must be created. If one or more issuers are being wound up or merged into another, the continuing entity will continue to use the existing profile. Whether an existing filer profile continues to be used or a new filer profile is required, the previous profile numbers (i.e. those that have “ceased reporting”) must be disclosed, as applicable. The screen for the adopted or new filer profile has a “Previous Issuer Information” field where a filer must add the previous profile numbers by selecting them from a list of profiles that have been downloaded to the filer's database. However, before doing so, the filer must refresh the filer’s local profiles database to ensure that the latest version of the filer profile on the SEDAR server is downloaded to the filer’s local profiles database. If
the “Previous Issuer Information” field in the adopted or new filer profile has been correctly completed, a user of the

SEDAR Filer Profiles Database will be able to retrieve the filer profiles of the predecessor entities involved in the amalgamation, merger or wind-up. (Note: The existing filer profiles of the predecessor entities will remain in the SEDAR Filer Profiles Database for historical purposes.) In the case of a merger of two or more investment fund groups (including circumstances where mutual fund issuers previously offering their securities under separate prospectuses are to be qualified using a common prospectus), the merged or resulting investment fund group must file a new Investment Fund Group Profile. A new profile number will be assigned for the merged or resulting group. The filer must refresh the filer’s local profiles database to ensure that the latest version of this new profile on the SEDAR server is downloaded to the filer’s local profiles database. Then, the group number field in the Investment Fund Issuer Profile of each mutual fund issuer in the merged group must be amended to indicate the new group in which the mutual fund issuer belongs by selecting that new profile number from the pull-down menu under the group number field. (vi) Divestiture or Spin-Off If an electronic filer divests or spins off a division and the division becomes a reporting issuer, the new reporting issuer must file a new filer profile (an Other Issuer Profile or Investment Fund Issuer Profile) and complete the “Previous Issuer Information” field on the new filer profile. A new profile number will be assigned to the new reporting issuer. However, the original electronic filer will retain the original profile number. (vii) Change of Name If an electronic filer changes its name (including adopting a French or English version of its name), or wishes to correct an error in its name on its existing filer profile (including the correction of a spelling or typographical error), it must amend its filer profile to reflect the change or correction, and also notify the applicable recipient agencies, as appropriate. A change of name will not result in an obligation to create a new filer profile or the assignment of a new profile number unless the change of name results from an amalgamation or winding up, which are discussed in Section 6.4(d)(v), above. If a change of name occurs after the first submission in a project has been made, the filer profile associated with subsequent submissions in that project will continue to be the one associated with the first submission in the project, even though an amended filer profile was filed. (e) Security Concerns Certain checks and balances exist to ensure that unauthorized changes are not made to filer profiles. In particular, the authorization process has been included to record who is authorized to file on behalf of an electronic filer. In addition, any changes

made to a filer profile by a subscriber can be tracked by the Filing Service Contractor. An electronic filer, or a filing agent acting on its behalf, may request that the Filing Service Contractor track the particular filing service subscriber and individual user that has made any amendment to the electronic filer’s profile.
6.5 Searching for and Retrieving Filer Profiles
The SEDAR Filer Software has a search function in the “Search Profiles” module. This search function will allow a user to find and download existing public filer profiles as well as those nonpublic filer profiles which the user has created or in respect of which the user has been given an access privilege and to add them to the list in the user’s “Profile Management” screen in order to view or amend them. The search function does not permit a user to retrieve any previous versions of filer profiles that have been amended. The “Profile Management” screen in the “Profile Management” module in the SEDAR Filer Software is where filer profiles are listed once they have been created by the user or downloaded from the server and transferred to the user’s database of filer profiles. Users may use the “New Inquiry” feature in the “Search Profiles” module to search for a public filer profile of an electronic filer or a non-public filer profile which the user has created or in respect of which the user has been given an access privilege, in either case using a number of different search fields (e.g. issuer/filer name, stock symbol, etc.). Once a user has created a new inquiry or updated an existing inquiry, submitted the inquiry and received a report from the SEDAR server, the user can open the report, select the appropriate and active filer profile and use the “Open Profile” feature to view the filer profile. The user can then transfer the filer profile to its database of filer profiles using the “Transfer” feature on page 1 of the filer profile. This will result in the filer profile being listed in the “Profile Management” module of the SEDAR Filer Software. A search conducted on an electronic filer will reveal the public filer profiles of any predecessor electronic filers if the electronic filer was required to file a new filer profile as a result of a succession, provided that the “Issuer/Filer Name” and/or “Profile Number” are selected in the search criteria and the “Previous Issuer Information” field in the successor’s filer profile was correctly completed. The search results will display an asterisk (*) in the first position of the left hand column in front of the Issuer/Filer Name column to identify a filer profile of a predecessor electronic filer. A search conducted on an electronic filer, resulting from a merger of two issuers, will produce the filer profile of the merged electronic filer plus the filer profile for each merging electronic filer. This is not applicable in the case of a search for an Investment Fund Group Profile, since a “Previous Issuer Information” field does not exist in respect of investment fund group profiles. If an electronic filer has changed its name in the course of a project, i.e., after the first submission was made in the project but before the final submission, the electronic filer is required to amend its filer profile in the manner discussed in Section 6.4(d)(vii). In such a case, the only filer profile accessible
by selecting “Issuer Profile” from the “Open Issuer Submission” in the particular project will be the one existing at the time the first submission in the project was filed. However, the more current filer profile can be obtained by searching that profile number in the “Search Profiles” module, as discussed above. The “Filer Profile Report Viewer” box will display the filer profile number and the date shown under the heading “Last Update” indicates the date when the filer profile was last modified in the SEDAR system.

6.6 Duplicate Filer Profiles
As noted in Section 6.5, the SEDAR Filer Software has a search function in the “Search Profiles” module. Prior to making an electronic filing for an existing electronic filer, this function should be used to search for, and transfer to a user’s local Profile Management list, a copy of the existing filer profile. A new filer profile should not be created until a search has been performed to determine if a filer profile already exists. If a duplicate filer profile is created in error, the electronic filer to which the filer profile relates, or a filing agent acting on its behalf, may request that the incorrect filer profile be deleted from the SEDAR Filer Profiles Database. See Section 9.1 (f) for the procedures regarding the removal of duplicate filer profiles. If the Filing Service Contractor becomes aware of a duplicate filer profile, the electronic filer in question will be contacted to confirm whether a duplicate exists. If the filer profile in question is a duplicate of an existing filer profile, appropriate action will be taken by the Filing Service Contractor. See Section 9.1(f).
6.7 Non-Payment of Annual filing fee
If payment of the Annual filing fee for Continuous Disclosure in respect of a filer profile is past due by more than 90 days, the filer profile will be removed from the SEDAR Filer Profiles Database without further notice to the relevant electronic filer or any subscriber that filed the filer profile unless a filing has been made against the filer profile. If an electronic filer that is a reporting issuer fails to pay the Annual filing fee for Continuous Disclosure contemporaneously with the filing of its “Annual Financial Statements” with the securities regulatory authorities as required in Section 6.2, the Filing Service Contractor may add the charges that were required to be paid electronically to the invoice of the subscriber who made the filing, whether or not the subscriber who made the filing was acting on its own behalf or as filing agent on behalf of the electronic filer. If a subscriber has an explanation for not paying all or any
part of the annual filing fee, it is the subscriber’s responsibility to notify the Filing Service
Contractor in writing, to the attention of the customer support representative, as soon as possible. The notice must include a reference to the type of filing, project number, issuer name, the amount and the reason why the charge or part of the charge is not owed on the current month’s invoice. If, after inquiry, the Filing Service Contractor is satisfied that the charge or part of the charge is not owed, then that amount will be credited to the subscriber’s subsequent monthly invoice to reverse the charge. Credits from the Filing Service Contractor, once approved, will be first applied to offset against fees and charges owing by the subscriber whether on its own behalf or on behalf of any other person(s) or reporting issuer(s).

7 PREPARATION OF DOCUMENTS FOR ELECTRONIC FILING
7.1 Introduction
This chapter applies to electronic filings other than filer profiles or amendments to filer profiles. The National Instrument requires electronic filers to file certain documents with the securities regulatory authorities in electronic format. Electronic format means the computerized format of a document prepared and transmitted in accordance with the standards, procedures and guidelines contained in this Manual. For ease of reference, a glossary of publishing terms is included in Section 7.5.
7.2 Electronic Formatting Requirements
(a) Separate Documents
Each document that is being transmitted as part of an electronic filing must be prepared as a single separate electronic file. For example, regardless of size or design, an annual report must not be divided into component parts and transmitted in two or more electronic files. As well, any material that ordinarily forms part of a document when it is presented in paper, including wrap-around material, appendices, exhibits and schedules, must be included within the single electronic file for that document, unless otherwise specified. The file name assigned to the electronic file by the filer must be no longer than thirty-two (32) characters, and must contain an extension of three (3) or four (4) characters that identifies the electronic format of the file, as prescribed below in Section 7.2 (g). (b) Acceptable Electronic Format A document that forms part of an electronic filing must be transmitted to the recipient agencies in an electronic format acceptable to the recipient agencies (“acceptable electronic format”). A document transmitted in the file format Portable Document Format (“PDF”), Microsoft Excel using the file extension of .xlsx (“XLSX”) or XBRL using the file extension of .xml or .xsd will be considered to be transmitted in acceptable electronic format if it complies with formatting requirements set out in this chapter. Certain document publishing software applications are capable of producing a PDF file directly. In other cases, a document is first created using a software application such as Microsoft’s Word or Excel or Corel’s WordPerfect, and the resulting document file is then converted to a PDF file. Software products known as Adobe Acrobat Exchange or other software applications capable of producing a document in PDF may be used to convert documents to PDF. Refer to Appendix C for a list of acceptable software. The PDF and XLSX file formats have been selected with a view to ensuring that SEDAR filings are submitted and archived in an electronic format that may be retrieved and read or printed by the recipient agencies as well as a large percentage of the personal computer user population. Filers can use the Adobe Acrobat Reader in order to view the PDF documents submitted in the acceptable electronic format.

Prior to September 1999, filers were allowed to submit documents to the recipient agencies in file formats created using the following additional software products:
(i) Corel WordPerfect for DOS or Windows, versions 5.1, 5.2, 6.0 and 6.1, using the file extension of “.w51” or “.w52” or “.w60” or “.w61” respectively; and (ii) Microsoft Word for Windows, versions 6.0x and 7.0, using the file extension of “.doc”. Documents filed in these previously acceptable formats continue to reside in the SEDAR Filings Database in these formats. Therefore, a subscriber may require the relevant software products or the corresponding viewer application in order to be able to retrieve, read and print these documents. The CSA will continue to monitor the applications and file formats used in the creation and publication of documents in electronic form. (c) General Formatting Requirements Filers must ensure that documents are formatted electronically in a manner that will reasonably facilitate viewing by the recipient agencies and the public. Any recipient agency may request that a document be resubmitted if it is not readily viewable. The special requirements and guidelines outlined below in Sections 7.2(d), (e), (f) and (g) have been provided to assist filers in complying with this requirement. (d) Special Requirements for Document Formatting Filers should comply with the following guidelines when creating or reformatting documents for electronic filing:
(i) Page Setup, Print Style and Other Specific Formatting Issues (A) Fonts Filers using Windows-based word processing products should use a True Type font such as Arial or Times New Roman. Filers using DOS-based word processing products should use the font most similar to Arial or Times New Roman, such as Helvetica or Times. (B) Type Sizes The body of a document should be presented in type at least as large as 11 point type, except that, to the extent necessary for convenient presentation, financial statements and other statistical or tabular data and the notes thereto may be in smaller type. (C) Page Size It is recommended that the size of each page in a document not exceed 8 1/2 inches by 11 inches or 21.5 centimetres by 28 centimetres.

(ii) Formatting of Tables and Columns
Information presented in tabular or columnar format that is included in a document filed in a word processing format should be entered or formatted using the tables function of the applicable word processing software product, and not by using tab or indent keys, except where such information is imported into the document from a spreadsheet or other non-word processing software application that does not involve use of the tables function. Any recipient agency may request that a document be resubmitted and/or may change the access level of the document to “Private–Incorrect Format” if the document cannot properly be read as a result of any non-compliance with these guidelines. (e) Special Requirements for PDF and XLSX Format Filers must comply with the following requirements when creating or reformatting documents in PDF or XLSX format:
(i) Restrictions on Enhancement of Documents
Except as provided below, documents should not be enhanced in any way. In particular, filers creating documents must not do any of the following:
(A) annotate a document. This includes embedding or attaching files, text, graphic or audio as well as annotation created with various other mark-up tools; (B) add web links or cross-document links to any document; (C) create “article threads” in any document; (D) assign any passwords or set any document security controls for any document; (E) use characters printed on a dark background if reading any of the characters may be difficult; (F) add form fields or form actions to a document; (G) add JavaScript to a document; (H) add page actions to a document; (I) add embedded audio or video to a document by way of annotation; or (J) add digital signatures.

Filers are permitted to add bookmarks and hyper-text links provided that they only refer to the existing document (i.e. no cross document links or web links). Thumbnails can also be added to PDF documents where appropriate for the purposes of assisting the viewers of these documents. Note to Adobe Acrobat Users:
In many cases, filers will be able to convert documents into PDF using the PDF Writer driver included with Adobe Acrobat. However, Acrobat Distiller will have to be used in certain cases, including a case where:
(A) the document to be converted to PDF is in a PostScript language; (B) the document to be converted to PDF contains placed Encapsulated PostScript (EPS) artwork or images; (C) the document has been prepared using an application that generates its own PostScript language files when printing or that produces the highest quality output on a PostScript printer; (D) the document to be converted to PDF contains high resolution images such that it is desirable to “downsample” (i.e. reduce image resolution and file size); or (E) PDF Writer produces unsatisfactory results, such as poor quality or a large file size (often the case if the document to be converted contains complex blends, gradient fills or EPS artwork or images). (ii) Limitation on Image Resolution for PDF Documents Filers that convert documents to PDF for filing through SEDAR must use reasonable efforts to ensure that image resolution for PDF documents is reduced as much as possible without impairing the viewability of the document so as to ensure efficient transmission of electronic files in PDF format. For example, documents that have large resultant file sizes when converted to PDF should be converted using Adobe Acrobat Distiller rather than Adobe Acrobat PDF Writer as the former document creation tool produces a much lower image resolution and file size without unduly impairing readability. In the case of documents having a resultant file size in excess of one (1) megabyte, the filer should reduce the image resolution as much as possible while ensuring readability but in any event the image resolution must not exceed 300 dots per inch. (f) Dealing with Graphics and Images in Electronic Filings Graphic or image material includes maps, photographs, graphs, graphics, charts and logos. The National Instrument provides that certain graphic and image material must be omitted from any electronic filing. Specifically, if a document to be filed in electronic format contains or is supplemented by a map or photograph and that map or photograph exceeds 8 1/2 inches by 11 inches or 21.5 centimetres by 28

centimetres, the map or photograph must be omitted from the electronic filing. However, if the map or photograph does not exceed 8 1/2 inches by 11 inches or
21.5 centimetres by 28 centimetres, then the map or photograph must be included in
the electronic filing. The National Instrument further provides that if a map or photograph is omitted from an electronic filing, the electronic filer shall include a reference to the omitted map or photograph in the electronic filing. By way of a further limited exception, any graphic or image material that does not constitute material information in the context of the document (such as a logo on letterhead) may be omitted from an electronic filing. If a logo is omitted from a document filed in electronic format, the filer must ensure that the author of that document is identified in the electronic format version of the document. Except for the foregoing restrictions and exceptions, graphic or image material that is presented in the paper format version of an electronic filing must be included in the electronic format version filed with the securities regulatory authorities. Any graphic or image material that is included in an electronic filing must be in acceptable electronic format. If graphic or image material created in non-acceptable electronic format is to be included in a document to be filed electronically, such material must be converted to acceptable electronic format prior to transmission. Graphics created in a format that is not the acceptable electronic format (i.e. a non– PDF format) may not be attached to a PDF document as a file annotation. Filers are reminded again that reasonable efforts must be used to reduce image resolution for PDF documents to ensure that file sizes are as small as possible, thereby ensuring more efficient transmission. See Section 7.2(e)(ii). The National Instrument provides that an electronic filer must make and retain a paper format copy of each map or photograph that is omitted from an electronic filing for six years after the date of the electronic filing. The National Instrument also provides that, upon request made by the securities regulatory authority within the six year period, an electronic filer shall deliver to the securities regulatory authority a paper format copy of a map or photograph omitted from an electronic filing. Any requested paper format copies will be retained on file by the applicable securities regulatory authorities and made available for inspection by the public. (g) Document Naming Requirements In order to ensure that documents filed with recipient agencies in electronic format may be retrieved and viewed following transmission via SEDAR, filers must use file names containing the three (3) or four (4) character extension indicated for the acceptable electronic format listed below. File Format Extension Portable Document Format, all prescribed versions .pdf Microsoft Excel, all prescribed versions .xlsx XBRL (eXtensible Business Reporting Language) .xml,.xsd

The SEDAR Filer Software will not allow a filer to submit or send a document with any extension in its file name, other than those indicated above, except that a filer may (i) submit a document bearing a different extension if the filer is “attaching” to a cover page a previously filed document that resides in the SEDAR Filing Database and that was submitted prior to the implementation of Release 6.0 of the SEDAR Filer Software; or (ii) use the “Send Files” function to send certain other document types to another user ID. When a previously filed document is attached to a cover page, the SEDAR Filings Database will record it as a new document that is part of the submission. However, the actual document residing in the SEDAR Filings Database for that submission is the previously filed document. Therefore, if the previously filed document was part of a filing submitted prior to Release 6.0, it may have a file extension of “.w51”, “.w52”, “.w60”, “.w61”, “.doc” or “.pdf”. See Section 8.3(m) for more information on submitting previously filed documents. When the “Send Files” function is selected to send a file to another user ID, a filer may send a document with a file name containing a three (3) or four (4) character extension for any of the electronic formats listed below. The “Send Files” feature is discussed in more detail in Section 4.12(c). Software Format Extension Corel WordPerfect – versions 5.1 or 5.2 .w51 or .w52 Corel WordPerfect – versions 6.0 or 6.1 .w60 or .w61 Microsoft Word – all supported versions .doc PDF – all supported versions .pdf XBRL .xml, .xsd, Microsoft Excel – all supported versions .xlsx Use of the appropriate extension to identify the accepted electronic format used in creating or reformatting a document will assist users retrieving the document in selecting the appropriate software product for viewing purposes. In order to avoid duplication of file names the SEDAR Filer Software will also restrict an electronic filer from attaching a document to the cover page of a submission if the document has the same file name as another document attached previously to that cover page for transmission as part of the same submission. The filer will be prompted by a warning message that the file name has already been assigned to a document in the list and that the filer should select a different file name before proceeding. Filers should ensure document names do not contain non-alphanumeric characters. These include but are not restricted to hyphens, underscores, commas, periods, colons, semi-colons, accents, any sort of brackets, quotation marks, exclamation marks, @, ^, *, #, ~ & or slashes. These characters may interfere with the downloading of the document. (h) Red Ink

The National Instrument provides that an electronic filer may satisfy any requirement that information be presented in red ink in a document to be filed in electronic format by presenting the information in the electronic format version of the document in bold face type and capital letters. In the electronic format version of a preliminary prospectus, the “red herring” language may, if the filer prefers, appear at the top of the first page of the document rather than on the left hand side as is generally the case with paper format versions of this document and may be presented in red ink or in black ink with bold face type in upper case. (i) Signatures in Electronic Filings The National Instrument provides that a signature to or within any electronic filing must be presented in typed form rather than manual form. Filers may include electronic facsimile signatures in any electronic filing, provided the name of the signatory is also presented in typed form in accordance with the National Instrument. See Section 9.5 for information concerning the additional requirement to file a Certificate of Authentication in certain circumstances. (j) Viruses Each document file that is to be transmitted to the SEDAR server as part of an electronic filing or for storage in a user workspace must be free of viruses, worms, trojan horses or other items of a destructive nature. If any such item is detected, the infected or defective document will be rejected by the applicable recipient agencies. In this case securities regulators will not consider the document to have been filed for purposes of the applicable securities legislation, notwithstanding that the document was transmitted to the SEDAR server or is listed in a submission with a status such as “Filed with SEDAR” or “Received By Agency”. As well, the access level of the relevant document will be changed by the applicable securities regulatory authority to “Private–Virus”. Once the access level of “Private–Virus” is assigned, the document can never be changed to any other access level. The SEDAR Filing Service Contractor or one of the applicable recipient agencies will contact the subscriber that submitted the infected or defective document and request that the document be disinfected or recreated and resubmitted as part of the same project by using the “Add To A Filing” feature in the “Filing Management” module. As a consequence of having submitted the infected or defective document, the electronic filer and/or any responsible filing agent may be subject to civil proceedings, administrative proceedings and/or penalties.

7.3 Converting Entire Documents to Acceptable Electronic Format
If a document that was originally created in non-acceptable electronic format is to be filed electronically, that document must be converted to acceptable electronic format prior to filing.
7.4 Recommendation to Avoid Scanning Documents
Documents required to be filed in electronic format that were originally prepared in paper format or in an electronic format which cannot be converted to an acceptable electronic format must be reproduced electronically and then converted to an acceptable electronic format, unless either the pre-existing document exemption is available or a continuing hardship exemption has been sought and obtained. The pre-existing document exemption is discussed in Section 9.2 and the continuing hardship exemption is discussed in Section 3.7(b). It is recommended that filers recreate these documents in acceptable electronic format, rather than scan these documents into electronic format and then reformat the electronic version into acceptable electronic format.
7.5 Publishing Terms
The following terms have the meanings set out below:
“font” - A predefined character set style; a collection of letters, numbers, and symbols in a distinctive typographic design size and weight. Each font is available in several different point sizes. “format” – A collective term for margins, spacing, page length, point size, and the general visual appearance of the printed page. When a user formats a document, the user determines how the document will look on the printed page. The user can change the margins, change the amount of space between lines or paragraphs, add page numbers, headers or footers, and so forth. “leading” - The amount of vertical spacing, measured in points, between the bottom of the text in one line and the top of the text in the line below it. “margin” – The distance between the edge of the page and the text. The blank border on each side of the print on a page. “point” – The size of characters in text measured in points (72 points equal one inch). The most common point sizes are 9, 10, 12, 14, 18 and 24 points.

8 ASSEMBLY AND TRANSMISSION OF ELECTRONIC FILINGS
8.1 Introduction
This chapter applies to electronic filings other than filer profiles or amendments to filer profiles. After all of the documents to be included in an electronic filing have been prepared in acceptable electronic format, they must be assembled for transmission to the SEDAR server. The documents must be assembled electronically using the SEDAR Filer Software and transmitted electronically to the SEDAR server for routing to, and downloading by, the selected recipient agencies. The assembly and transmission of an electronic filing involves the following:

Access to the SEDAR server is obtained by entering a valid user ID and password.
Assuming a filer profile has previously been created, is active and up to date for the
electronic filer, the “Search Profiles” module of the SEDAR Filer Software is used to download the latest version of the filer profile and to transfer it to the local profiles database in the “Profile Management” module. If required, the filer profile may be created or amended using the “Profile Management” module.
The “Filing Management” module is then used to create or amend an electronic “cover
page” for the filing.
The documents which have been prepared in acceptable electronic format are then
“attached” to the cover page for transmission. The appropriate recipient agencies are selected and any applicable fees are entered.
The SEDAR Filer Software is then used to gain access to the SEDAR server through a
VPN connection.
If applicable, additional user IDs and passwords may be required to authorize electronic
payment of CSA filing fees, market centre filing fees and/or SEDAR System Fees.
After entry and validation of required access and payment authorization codes, the
assembled documents are transmitted (i.e. uploaded) to the SEDAR server by selecting the submit button.
When transmission is completed, the SEDAR server records the receipt of the
transmitted documents by date and time. Using the “Filing Management” screen, the filer is able to confirm that the transmission has been completed when a permanent project and/or submission number is assigned to the filing and the date and time of transmission have been recorded in respect of the filing. Once the first electronic filing in any project has been submitted and a permanent project number has been assigned to the electronic filing by the SEDAR server, the subscriber that made the first electronic filing in the project (the “primary filer”) may give any other subscriber/user (a “secondary filer”) one of three types of access privilege to that project, enabling the secondary filer to “view”, “retrieve” and/or “submit” any electronic filings that

are part of the project. This is accomplished by using the “Filing Management” module to select the secondary filers to be given access as well as the particular type of access to be granted each secondary filer selected, as further outlined in Section 8.3(g).
8.2 Hours of SEDAR Operation
(a) SEDAR Business Hours
Electronic filings or search requests may be transmitted to the SEDAR server on any business day between the hours of 7:00 a.m. and 11:00 p.m. Eastern Standard Time or Eastern Daylight Savings Time, whichever is in effect in Toronto, Ontario, Canada (“SEDAR Business Hours”), and on any other day or at any other time that the securities regulatory authorities announce by press release. The SEDAR server will be shut down on Saturdays, Sundays and national holidays. Filers will be able to obtain technical support from the staff of the Filing Service Contractor during SEDAR Business Hours. Electronic transmissions which are commenced or still in process after 11:00 p.m. (but prior to 7:00 a.m.) Eastern Time will be disconnected as the SEDAR server is shut down daily at the end of SEDAR Business Hours, for scheduled maintenance or for any other reasons. If an electronic filing or search request is interrupted because the transmission is disconnected, that filing or search request will have to be resubmitted in its entirety when the SEDAR server is in operation. Accordingly, a filer that is making an electronic filing late in the day should ensure that there is sufficient time to transmit the entire filing before 11:00 p.m. Eastern Time if the filer wishes to be certain that the filing is completed on that day. (b) Date of Filing The National Instrument provides that a document filed in electronic format is, for purposes of securities legislation or securities directions, filed on the day that the electronic transmission of the document is completed. This allows an electronic filer to satisfy a requirement to file a document by a specific date by filing after business hours on the day when the document is due. In Quebec, an electronic filing is deemed to be completed only when it is downloaded by the Autorité des marchés financiers. (c) Commencement of Time Periods As a corollary, the National Instrument also provides that, for purposes of a time period in securities legislation or securities directions that begins on or immediately after the date of the filing of a document filed in electronic format, the date of filing of the document is the day on which the electronic transmission is completed unless it is not completed on a business day by 5:00 p.m. local time in the city where the securities regulatory authority is located, in which case the date of the filing is the next business day. This exception ensures that time periods mandated by the applicable securities legislation permitting the securities regulatory authorities or securityholders to receive notice and/or take action in relation to a particular matter will not be abbreviated or otherwise adversely affected in cases where filers choose to make electronic filings outside of normal business hours. In Quebec, for purposes

of time periods calculated by reference to the date of filing, an electronic filing is deemed to be completed on a business day by 5:00 p.m. local time if transmission of the filing to the SEDAR server has been completed by that time, whether or not the filing has been downloaded by the Autorité des marchés financiers.
8.3 Assembling a Submission
(a) Obtaining the Filer Profile
Prior to making an electronic filing, a filer must ensure that the appropriate filer profile(s) has/have previously been created and filed in SEDAR by or on behalf of the relevant electronic filer(s). The appropriate filer profile(s) must also be listed on the filer’s “Profile Management” screen in the “Profile Management” module in the SEDAR Filer Software. In the case of an investment fund filing, both the investment fund group profile and the appropriate investment fund issuer profiles must be listed on the “Profile Management” screen. The authorization process must be completed before making the first electronic filing (other than a third party filing) on any filer profile. While creating a project using an investment fund group profile reference only those investment funds that are referenced in the document attached to that project, for instance, a prospectus or annual financial statements. This can be done through the "Add Fund" feature when creating a project under an Investment Fund Group Profile. If all the investment funds in the Group Profile are to be referenced, one can click "Select All". To reference specific investment funds within the Fund Group, one should highlight the specific investment fund to be added and then click "OK". If any required filer profile is not listed on the “Profile Management” screen, the SEDAR Filer Software has a search function that will allow a filer to find and download existing filer profiles accessible to the filer and add them to the list on the filer’s “Profile Management” screen (see Section 6.5). This must be done prior to submitting a new filer profile in order to ensure that a duplicate filer profile is not created. (b) Refreshing and Checking the Filer Profile Prior to submitting an electronic filing, a filer should use the “Refresh Profile” feature on the filer’s “Profile Management” screen to retrieve the latest version of the filer profile. As well, the filer should review this latest version of the filer profile to ensure that the information disclosed therein is active, accurate and up-to-date. If necessary, the filer must amend the filer profile to reflect any changes in the information disclosed therein and use the “Submit” feature to file the amended filer profile by transmitting it to the SEDAR server. The SEDAR Filer Software has a function that allows a filer to amend previously created filer profiles. The procedure for making amendments to filer profiles is outlined in detail in Section 6.4, “Amending a Filer Profile”. (c) Selecting the Appropriate Cover Page for a New Filing

In order to make a new filing, a filer must use the SEDAR Filer Software to locate the appropriate “cover page” by selecting the filer category, the filing category, and the filing type. To be sure that a specific recipient agency will be among the choice of “Agency Types” available, the filer must be careful to select the appropriate filing type. See Section 8.3 (k). Preceding each filing type is one of three symbols. Each symbol denotes the Agency Type that may be selected as a recipient agency for that filing type. Symbol Colour in Symbol Agency Type none Market Centres and Securities Regulatory Authorities graph line in blue Market Centres only New Filing - Commissions v2.ico Scales in green Securities Regulatory Authorities only The appropriate cover page (which may consist of more than one page for certain filing types) will then appear for the filer to complete. The cover page will facilitate the entry of certain key information in electronic fields and will provide a list of documents to be attached. This list is composed of documents that are usually required for the filing in question. In the case of market centre only filings, subheadings may appear in the filing subtype document list to assist the filer in locating the appropriate document type. If the list does not include a description of the type of document to be attached, the filer should select the “Other” document type. The categories of electronic filers (“category of filer”) are as follows:
(i) Investment Fund Issuers
(ii) Other Issuers
(iii) Third Party Filer
The general filing categories and the specific filing types are listed in Part I of
Appendix B to this Manual and on the SEDAR website at www.sedar.com. The
cover page information to be entered by the filer will vary depending on the filer category, the filing category and filing type. In certain cases, there are subtypes within a filing type (“filing subtype”). The specific types of documents (“document type”) commonly required to be included in a filing type, filing subtype or subheading are listed in Part II of Appendix B. Some filing types are listed in the folder for filing type as “general filings” and others are listed as “local filings” (e.g. “British Columbia Filings”, and “Quebec Filings”). The differences between local filings and general filings are discussed in Section 9.4.

(d) Projects
For purposes of the SEDAR system, the term “project” is used to identify a set of electronic filings that are all related to a particular matter such as a prospectus offering. For example, all of the documents filed by or on behalf of an electronic filer in respect of a distribution of securities by prospectus would be identified in the SEDAR system as part of one project. In this example, the electronic filings making up the project would include the preliminary prospectus, the final prospectus and all formal correspondence submitted by the primary filer, any secondary filer and the recipient agencies during the waiting period. Any documents issued by the recipient agencies in electronic format in response to an electronic filing (e.g. receipts) will also be identified within the SEDAR system as part of the relevant project. The “project” concept permits the recipient agencies that are selected as such, the primary filer (i.e., the subscriber/user that initiated the project), and any secondary filers that have been granted an access privilege by the primary filer, to track a series of related electronic filings and related regulatory responses. A new project must be created every time a new series of electronic filings relating to a discrete and separate transaction is commenced. For example, where a pro forma (or renewal) simplified prospectus is filed to renew the offering of investment fund securities for another year, the pro forma simplified prospectus must be filed as the first submission of a new project rather than as part of the project from the previous year. On the other hand, an amendment or a supplement to a prospectus must be filed as part of the existing project, rather than as a new project. A new project must also be created in certain circumstances (described in greater detail in section 8.3(k), if, after submitting an electronic filing to the SEDAR server, the filer wishes to add a recipient agency of a type not selected in the earlier submission. For example, a filer cannot add a market centre to a project if the “Agency Type” selected for the first submission in the project was “Commissions.” A filer may add new recipient agencies of the same “Agency Type” (although previously selected recipient agencies cannot be deleted) when adding a new document to the submission. To submit the electronic filing or any part of it to a recipient agency of a different type, the filer must create a new project. (e) Creating a New Project To create a new project, a filer must pull down on the “File” menu bar in the “Filing Management” module and select “Create a New Filing”. The “New Filing” screen will appear after the filer is prompted to ensure that the filer profile to be used is upto-date in the filer’s local workspace. The filer must then select the filer category, the filing category and the filing type. By referring to the symbols that precede each filing type (discussed in Section 8.3(c)), the filer can check the “Agency Type(s)”
that may be selected as a recipient agency for that particular filing type. The appropriate cover page will then appear. For certain projects, a list of filing subtypes will be present and the filer must select the filing subtype that will be the first electronic submission to be made in the project. For market centre only filings, the

subheadings for that filing type may appear when the cover page is opened and the filer must select the one that applies. A list of document types will then appear. The filer must only select and attach files to those document types for the filing subtype to be submitted. The filer must not select document types from more than one filing subtype in making a single submission within a project. “Filing subtype” refers to a situation where the filing type consists of several filings which together form a project. For example, under the “Long Form Prospectus” filing type there are several filing subtypes, including “Preliminary Long Form Prospectus”, “Amendment to Preliminary Long Form Prospectus”, “Final Long Form Prospectus” and “Amendment to Final Long Form Prospectus”. If a document to be submitted in a particular filing subtype is not listed as one of the document types, then the “Other” document type should be selected and the filer must then input the specific type of the document to be attached. Categories of filing subtypes and specific document types are listed in Part II of
Appendix B to this Manual and on the SEDAR website at www.sedar.com.
The process of completing the cover page, attaching document types, selecting recipient agencies, entering applicable fees and submitting the electronic filing is described below. (f) Project Number and Submission Number Each electronic filing is assigned a unique set of numbers within the SEDAR system consisting of a project number and a submission number. (i) Project Number The project number assigned to an electronic filing identifies the particular project with which the electronic filing is associated. A new project number is assigned each time a “new” electronic filing is selected, assembled and submitted using SEDAR. For this purpose, a “new” electronic filing is one which is unrelated to any previous electronic filing made in respect of the same transaction or regulatory approval process. A French or English language translation of any filed document must be submitted as part of the same project as the filed document that is being translated. A temporary project number TMP##### is automatically generated and assigned by the system to a “new” electronic filing until it is transmitted to the SEDAR server. The temporary project number is unique for each “new” filing. Once the filing is transmitted to the SEDAR server, a permanent eight digit project number is assigned. Note: Whenever there is a SEDAR code update, all filings that have been saved but not submitted (TMP files) will be automatically deleted by the SEDAR Software by changing the status of the TMP projects to “deleted”. To actually delete any TMP filings from the Filing Management list, highlight the project and select File / Remove Unsubmitted Filings from the filing Management module.

(ii) Submission Number
The submission number identifies each electronic filing of documents or formal correspondence made within the same project. When an electronic filer assembles an electronic filing that is related to a previous electronic filing made in respect of the same transaction or regulatory approval process (e.g., a final prospectus filing or a response to a comment letter from a securities regulatory authority relating to a preliminary prospectus filing), a temporary submission number SUB ##### (for filings within a project) or FOR ##### (for formal correspondence within a project) is automatically generated and assigned by the system to the filing until it is transmitted to the SEDAR server. The temporary submission number is unique for each additional electronic filing within a project. Once the filing is transmitted to the SEDAR server, a permanent eight digit submission number is assigned. After transmission to the SEDAR server, the subscriber who submitted the submission, any secondary filer with an access privilege in respect of the project and any recipient agency can access the submission. The system automatically assigns a submission number of 00000001 to the first submission in a project. The next filing in the same project would be assigned a submission number of 00000002, and so on. Fees remitted within a project can be monitored and added to by highlighting any submission in the project and selecting “Fees” from the “View” pulldown menu in the “Filing Management” module or by selecting “Fees” from the “Open Issuer Submission.” If electronic payment instructions are submitted and validated without any documents or formal correspondence, a new submission number is not assigned. (g) Primary and Secondary Filers A primary filer, once authorized, (i.e., the subscriber that assembled and submitted the first electronic filing in a particular project) may designate one or more other subscribers, at the user ID level, to participate as a secondary filer on that project. In addition, the primary filer may assign to the secondary filer one of three different types of access privilege for the particular project. The three types of access privileges that may be granted to a secondary filer are as follows:
(i) “View” access permitting the secondary filer to view the cover page information and status of the project; (ii) “Retrieve” access permitting the secondary filer to view and retrieve documents submitted in respect of the project; or (iii) “Submit” access permitting the secondary filer to view, retrieve and submit electronic filings as part of that project.

The ability to involve secondary filers in the electronic filing process is intended to facilitate filings in a variety of special circumstances including the filing of French language translations of prospectuses and various continuous disclosure documents as well as the filing of material specifically requested by a non-principal securities regulatory authority from the secondary party where this is acceptable to the primary filer and the principal securities regulatory authority. This functionality also permits others with an interest in the review and acceptance process for a particular filing to monitor the status of the filing without having to contact the primary filer. While the foregoing features of the SEDAR Filer Software provide added flexibility for filers, the CSA wishes to ensure that traditional filing practices and procedures are not altered in a way that impacts adversely on the review and acceptance process. In particular, the securities regulatory authorities will generally expect to receive submissions from a primary filer that is in control of the filing process. The primary filer is responsible for ensuring that secondary filers are given access for the purpose of submitting material only in appropriate circumstances. For example, primary filers must ensure that all supporting documents to an electronic filing are filed with the principal filing material contemporaneously in a single electronic submission. As well, as has been the case historically in the context of paper filings, the securities regulatory authorities will generally only correspond directly with the primary filer. In general, the securities regulatory authorities consider the primary filer to be the party responsible for ensuring the appropriateness of any actions taken in respect of a project by any secondary filers given access privileges. It is the responsibility of the primary filer to control and monitor the involvement of secondary filers in any project. (i) Creating a Filer List A primary filer may create and maintain its own “Filer List” from which to select secondary filers for projects, much like an address book. The Filer List is stored on a primary filer’s local workspace, not on the SEDAR server. The primary filer may list up to 100 filers on its Filer List, and may amend secondary filer references, add new secondary filers and/or delete existing secondary filers from time to time. The filer list is accessed in Filing Management under “Options / Filer List”. Changes made to the Filer List, if any, are stored in the primary filer’s local workspace only. Therefore, if the primary filer also wants the changes to be effective for a particular project, it must, in addition, make changes to the particular project’s “Secondary Filer List” as described below. (ii) Assigning Secondary Filers to a Project Once an electronic filing has been transmitted to the SEDAR server and assigned a project number, the primary filer may assign one or more secondary
filers to the project. To add a secondary filer to a project, a primary filer must have the user ID of the secondary filer in their “Filer List”. Once the secondary filer is added to

a subscriber’s filer list, they can be added to a project by selecting that filing, selecting “View / Secondary Filer Access” and select the secondary filer to add to the project. For each secondary filer assigned, the primary filer must select the type of access privilege, if any, that the secondary filer is to be granted in respect of the project. Details of the status (including the three types of access privileges) that may be granted to secondary filers are as follows:
Status Granted Nature of Access Available to the Secondary Filer “None” The secondary filer has no access to the project (this is the default status which is established when a secondary filer is assigned to a project). “View” Permits the secondary filer to view the cover page information, status details (as described in Section 10.2(b)), fees, the primary filer’s subscriber profile, the electronic filer’s filer profile, recipient agencies, the user IDs and name and phone number, if completed, of secondary filers in the project and their access privileges, all in respect of submissions made in respect of the project by the primary filer or by a secondary filer with the “submit” access privilege. “Retrieve” In addition to the access granted with the view access privilege, permits the secondary filer to download any documents that have been submitted in respect of the project, whether or not they are publicly accessible. “Submit” In addition to the access granted with the view and retrieve access privileges, permits the secondary filer to submit electronic filings as part of the project, make electronic payments from the secondary filer’s EDI account in respect of the project and update modifiable fields on the cover page for the project. If any EDI payments are made by the secondary filer in payment of SEDAR System Fee(s) and are rejected by the secondary filer’s financial institution and not re-submitted prior to the end of that month, the outstanding SEDAR System Fee(s) will be reflected on the primary filer’s invoice. After the type of access privilege is selected, the “Submit” feature must be selected to transmit the new access privilege instructions to the SEDAR server and the “Filing Management” screen will then appear confirming that the secondary filer access granted has been made effective for the project. Only a primary filer may add or delete secondary filers on the list of those assigned to a project or change the type of access privilege given to a secondary filer. For any such changes to be effective, the “Submit” feature must be selected and a connection to the SEDAR server must be in effect or

obtained. Changes made to information concerning secondary filers listed in a “Secondary Filer List” for a project do not automatically update the same information on the Filer List maintained by a primary filer on its local workspace. Changes to the Filer List must be made separately, as discussed above. (iii) Accessing a Project as a Secondary Filer A secondary filer that has been granted an access privilege with respect to a project by a primary filer may access the project from the “Filing Management” module. Since secondary filer access to a project is assigned at the user ID level, another user representing the same subscriber that the secondary filer represents will not have access to the project or any submissions in the project unless that other user is also granted an access privilege with respect to the project by the primary filer. If an access privilege has been revoked from a secondary filer while the secondary filer is working on a filing in the project, the authorization check may fail when that filing is transmitted to the SEDAR server and an error will be received by the secondary filer. (iv) Verifying the Type of Access Privilege Granted to a Secondary Filer A secondary filer may verify the type of access privilege granted to it in respect of a project by selecting and highlighting the project on the “Filing Management” screen and selecting “Secondary Filer Access” from the “View” pull-down menu. The primary filer and all secondary filers granted an access privilege may identify all user IDs given access privileges on the project. (h) Adding to an Existing Project (i) Additions by the Original Subscriber Before a filer can add another submission to an existing project using the cover page for the project, that project must be listed on the filer’s “Filing Management” screen. After the first filing in a project has been transmitted to the SEDAR server, the project will automatically appear on the “Filing Management” screen of the user that has made the electronic filing (i.e., the primary filer). If a project was created by one user representing a particular subscriber, a second user representing that same subscriber can also use the “Refresh List” feature to connect to the SEDAR server and obtain the cover page that was previously filed by the first user. Once this is done, the project will appear on the “Filing Management” screen of the second user who may thereafter use the “Refresh Project” feature to obtain current information in respect of the project.

Any number of users representing the same subscriber may, using one or more workstations licensed for installation of the SEDAR Filer Software, view, submit or otherwise participate in filings on behalf of that subscriber. Users may use the “Quick Search Inquiries” or “Advanced Inquiries” feature on the “Filing Management” screen to facilitate such activity. The process of attaching document types and completing the filing is described below. To add formal correspondence to an existing project, the filer should follow the procedures described in Section 10.3(a). (ii) Additions by a Different Subscriber that is not a Secondary Filer If the next submission in a project is to be made by a subscriber other than the subscriber that created the project (e.g., the filing agent who filed a preliminary prospectus on behalf of an electronic filer has ceased to be involved and another filing agent has been retained to file the final prospectus), the new subscriber cannot use the “Add to a Filing” feature to add to the existing project unless the subscriber that created the project has granted the appropriate secondary filer access privilege in respect of the project to the new subscriber. If the appropriate secondary filer access privilege has not been granted, the new subscriber must create a new project and file a cover letter disclosing the existence of two project numbers due to a change in the primary filer. (iii) Additions by a Secondary Filer with the “Submit” Access Privilege If a filer has been assigned to a particular project as secondary filer and has been granted the “submit” access privilege, the secondary filer may make submissions in respect of the project by selecting the particular project on the “Filing Management’ screen. If the secondary filer is only making an electronic payment in respect of a particular project, the secondary filer must select “Fees” from the “View” pull-down menu. The payment of additional fees in respect of an existing project effects an amendment to the fee information for that project but does not generate a new submission in the project. (i) Completing Cover Page Information for Type of Filing Cover page information is a discrete set of information that is required to be entered in electronic fields and transmitted to the SEDAR server as part of every electronic filing. Cover page information is, in effect, filed with any securities regulatory authority or market centre that is a recipient agency on the relevant project. In the SEDAR Filer Software, there are six different types of cover pages, as follows:

(i) Investment Funds Cover Page – This cover page is to be used for filing securities offering documents for mutual funds. An Investment Funds Cover
Page must include the information in Appendix J.
(ii) General Investment Funds Cover Page – This cover page is to be used for filing continuous disclosure documents and exemption and other applications for mutual funds. A General Investment Funds Cover Page must include the information in Appendix K. (iii) Issuer Cover Page – This cover page is to be used for filing securities offering documents for issuers that are not mutual funds and for filing a prospectus under section 12 of the Quebec Securities Act contained in the Quebec folder. An Issuer Cover Page must include the information in
Appendix L.
(iv) General Cover Page – This cover page is to be used for filing continuous disclosure documents, documents for going private and related party transactions, and exemption and other applications for issuers that are not mutual funds. A General Cover Page must include the information in
Appendix M.
(v) Third Party Cover Page – This cover page is to be used for filings relating to take-over bids, exempt take-over bids, non-management proxy solicitation and securities acquisition filings (early warning). A Third Party Cover Page must include the profile for the Filer (offeror), the Issuer (offeree) and the information in Appendix N. (vi) Exempt Market Offerings and Disclosure Cover Page – This cover page is to be used for filings relating to exempt market offerings and disclosure. An Exempt Market Offerings and Disclosure Cover Page must include the information in Appendix M (ii). Certain electronic fields in these cover pages are “mandatory” to the extent that these fields must be completed before a filer may proceed to transmit a submission. Other electronic fields are “optional” to the extent that the SEDAR system does not require completion of these fields prior to accepting a submission. However, notwithstanding that an electronic field is optional for the purposes of the SEDAR Filer Software, it must still be completed if the requested information is prescribed by the relevant appendix to this Manual, unless the requested information is not applicable to the electronic filer or the electronic filing, as the case may be. All fields that are “mandatory” are identified in italics in the SEDAR Filer Software and each of these mandatory fields provides valuable information that may be utilized for search purposes by the filer, the applicable recipient agency and, if applicable, the public. If the filer is making an additional submission (other than formal correspondence) in an existing project, the filer can add to the original selection of recipient agencies available for that filing type when adding a new document type to a submission, but cannot delete any recipient agencies, subject to certain exceptions described in Section 8.3(k).

The SEDAR Filer Software will permit the filer to prepare a cover page in advance of an electronic filing even though all the documents to be attached to the cover page have not been prepared. The contact person referred to in the cover page should be a person familiar with the filing to whom questions may be directed by any applicable recipient agency. After a project has been created and transmitted to the SEDAR server, it will be listed on the filer’s “Filing Management” screen in the “Filing Management” module of the SEDAR Filer Software. Contact information and several other fields in the cover pages can be modified at the time of making any subsequent submission in respect of a project. Information in modifiable fields that was not available or could not be completed when any previous submission in the project was filed must be completed or amended, as appropriate, if that information is available at the time of any subsequent submission in respect of the project. For a complete list of the modifiable fields for each of the cover page types, see Appendices J, K, L, M and N. (j) The “List” Feature The first step in completing a cover page involves the use of the “List” feature that appears on all cover pages to select the name of the investment fund or other issuer that is making the electronic filing. In the case of third party filings, both the name of the Issuer (offeree) that is the subject of the electronic filing and the name of the Filer (offeror) must be selected on third party cover pages. The issuer name field on any cover page may only be completed in this manner. If the name of the issuer to be selected cannot be found using the “List” feature, the filer should refer to Section 8.3(a) – Obtaining the Filer Profile. (i) Issuers Other Than Mutual Funds In the case of issuers other than mutual funds, a filer must select the “List” feature on the cover page. A list of profiles for the selected category of filer that are stored in the filer’s profile database will then be displayed. The filer must select the name of the relevant issuer and the selection will then be captured in the issuer name field of the cover page. (ii) Mutual Funds In the case of mutual funds, a filer must select the “List” feature on the cover
page. A list of the investment fund group profiles that are stored in the filer’s
profile database will then be displayed. The filer must select the name of the mutual fund group and the selection will then be captured in the investment fund group name field on the cover page. The filer must then select the “Add Fund” feature and a list of investment fund issuer profiles belonging to that group which are stored in the filer’s profile database will then be displayed. The filer must select the name of the mutual fund or funds making the electronic filing and the selection will then be captured in the investment fund issuer name field on the cover page. In the case of prospectus filings, all mutual fund issuers in the mutual fund group should be selected (see Section

6.3(a)(i) for the definition of a mutual fund group). Once a submission has been made, the filer cannot use the “List” feature on the cover page in subsequent submissions to add or delete funds. (iii) Third Party Filings
Chapter 9 of the SEDAR Filer Manual has specific guidelines on the use of
the “List” feature in the context of third party filings.
An offeror that is filing a take-over bid circular or notice of change or variation in respect of a take-over bid must comply with the requirements of
Section 9.20(b).
An offeree that is filing a directors’ circular or an amendment or supplement thereto in respect of a take-over bid must comply with the requirements of
Section 9.20(c)(i).
Individual directors or officers that are filing individual director’s or officer’s circulars or an amendment or supplement thereto in respect of a take-over bid must comply with the requirements of Section 9.20(c)(ii). A third party filer that is making an exempt take-over bid filing must comply with the requirements of Section 9.21. A third party filer that is filing a news release and report under the “early warning” reporting system must comply with the requirements of Section 9.22. A third party filer that is filing proxy solicitation materials must comply with the requirements of Section 9.23. (k) The “Agencies” Feature Agencies selected as recipient agencies on a filing can view all documents and correspondence contained in submissions on that project. Recipient agencies are defined at the filing type level, not just for the category of filer and category of filing. In some cases, this means that market centres or securities regulatory authorities cannot be selected as an “Agency Type” for a particular filing. Preceding each filing type is one of three symbols that denotes the Agency Type that may be selected as a recipient agency for that filing type. See Section 8.3(c).
Appendix B, Part I contains a detailed list of the categories and types of electronic
filings available in the SEDAR system is available on the SEDAR website at www.sedar.com, which also identifies the Agency Type for each filing type in the two right-hand columns: the symbol “CSA” is used to denote securities regulatory authorities and the symbol “MC” is used to denote the market centres. To be sure that a specific recipient agency will be among the choice of Agency Types available, the filer must be careful to select the appropriate folder for the filing type.

If the incorrect folder for the filing type is selected, the desired Agency Type may not be available. To select the securities regulatory authorities and/or market centres to which an electronic filing is to be directed, a filer must select the “Agencies” feature from the cover page. The “Add a Recipient Agency” screen will appear. Depending on the category of filer, the category of filing, and the filing type selected for the particular electronic filing, two or more of the following options will appear under “Agency Type”:
– Commissions
– Market Centres (Exchanges)
– Commissions AND Market Centres (Exchanges)
– Test Filing
In some cases an electronic filing may be filed with both the applicable securities regulatory authorities and any applicable market centres. In these cases, the only options provided under “Agency type” will be:
– Commissions AND Market Centres (Exchanges)
– Test Filing
If the option “Test Filing” is not selected, the SEDAR Filer Software will then offer the following additional options:
– a filer may highlight the button “Select All Commission Agencies”; – a filer may highlight the button “Select All Market Centre Agencies”; or – a filer may highlight under the “Agencies” box one or more individual “Commissions” and/or “Market Centres”. In other cases, depending on the category of filing, category of filer and the filing type, either the “Commissions” or the “Market Centres (Exchanges)” option will be displayed. If the filing is of a type that may be filed with one or more securities regulatory authorities, then the option “Commissions” appears and the filer may select one or more securities regulatory authorities. If the filing is of a type that may be filed with one or more market centres, the option “Market Centres (Exchanges)” appears and the filer may select one or more market centres. If a filer wants to make a filing for test or training purposes only, the filer must select “Test Filing” under the category of “Agency Type”. The only choice the filer then has in the “Agency” box is “Test Filing”. In order to select a particular securities regulatory authority as a “principal regulator” as determined by Multilateral Instrument 11-102 Passport System (“MI 11-102”), the filer must select the box in the “Principal Regulator” column next to the name of the appropriate securities regulatory authority in the “Recipient Agencies” screen at the time of making the initial submission in the project, since the principal regulator cannot be amended after the initial submission has been transmitted to the SEDAR server. Only one securities regulatory authority can be selected as a principal

regulator. A principal regulator is not required for Market Centre and Non-Reporting issuer filings. In order to amend the PR information for a filing, the filer should attach a document explaining the change and reasoning to the document type “Letter concerning recipient agency”. The filer can then use the “Agencies” feature to change the PR for that filing. New recipient agencies, of the “Agency Type” defined for that filing type, may be added at any time after a project has been initiated, although previously selected recipient agencies cannot be deleted. To add a new recipient agency, a filer must add the new recipient agency in SEDAR and file a document “Letter concerning recipient agencies”. Depending upon the filing type selected in the first submission in the project, the “Agency” box will be populated with one of the following:
– Commissions
– Market Centres (Exchanges)
– Commissions AND Market Centres (Exchanges)
The filer may select one or additional recipient agencies, select “OK” and then proceed with the filing. When a filer is only adding one or more additional recipient agencies to an existing project (but not additional documents), the filer must attach to the cover page a cover letter that explains this under the document type “Letter concerning recipient agency” and then select “Submit”. Once the transmission of the new information to the SEDAR server is complete, a new submission will be generated for that project. A filer must not select a recipient agency if the filing type or filing subtype is not required to be filed with that recipient agency. Once a particular securities regulatory authority or market centre has been selected as a recipient agency in connection with a submission in a particular project then that recipient agency will have access to all submissions and related documents or information relating to that project. (l) The “Fees” Feature To indicate the amount of any CSA filing fees and/or market centre filing fees payable in respect of an electronic filing, a filer must select the “Fees” feature and the “Add/Modify Fees” screen will appear. The various types of CSA filing fees will be displayed for each securities regulatory authority. The fee list for the market centres will be set out in the respective market centre filing requirements. The fee description and fee notes will be displayed in accordance with the applicable market centre filing fee list. The filer must enter the fee amount beside the appropriate fee description for the particular filing. If tax applies to the fee, the tax amount will be calculated based on the fee amount entered and will be displayed in the GST, HST

or QST column. This process must be completed for each securities regulatory authority to which CSA filing fees are payable and/or for each market centre to which market centre filing fees are payable, provided in the latter case that payment of such fees through SEDAR is permitted by the applicable market centre filing requirements and payment of any applicable taxes is included in the payment. Furthermore, this process must be completed for each issuer separately if there is more than one issuer involved in the filing (this will be the case for certain filings on behalf of an investment fund group). When finished, the filer must select the “OK” feature and the “Summary of Filing Fees” screen will appear. This “read only” screen and the related EDI payment process are described in Chapter 5. Once all of the fees have been entered, the filer should select the “OK” feature and return to the main cover page for the filing. (m) Accessing Documents Stored on Disk Drives, the SEDAR Workspace or the SEDAR Filings Database Documents in acceptable electronic format which are to be included in an electronic filing may be stored in various locations for purposes of the assembly of the electronic filing. Document files which are to be transmitted as part of an electronic filing may be stored and accessed from the filer’s personal computer or from a network server linked to the filer’s personal computer. Documents can also be stored in a filer’s SEDAR workspace, a personalized storage area on the SEDAR server which is allocated to each user ID requested by and assigned to a subscriber as described in Section 4.12(c) of this Manual. A filer may upload and store document files in its SEDAR workspace for future filing or may receive document files in its SEDAR workspace from other subscribers. The filer may retain documents received from other subscribers for future filing or may download them to the filer’s personal computer in order to modify or store them. The filer may use the SEDAR Filer Software to attach the stored documents directly to a cover page when making the electronic filing, as described below in Section 8.3(n). In effect, the SEDAR workspace is like any other drive in which documents can be stored and from which documents can be retrieved. It is also possible to access certain documents that have been previously filed and are part of the SEDAR Filings Database to attach them to an electronic filing. Selecting a document that has already been filed in a project eliminates duplicate documents from being stored on the SEDAR server. Documents that can be accessed in this way include documents contained in an electronic filing associated with the same profile number for the electronic filing to be transmitted or, in the case of an investment fund issuer, the profile number of the investment fund group. In addition, the document must be part of a public filing or, if a private filing, the filer must be a primary filer or a secondary filer with either
the “Retrieve” or “Submit” access privilege. A document that has the access level of “Private”, “Private–Draft”, “Private–Virus”, “Private–Incorrect Filing”, “Private–Incorrect Format” or formal correspondence documents cannot be accessed. The SEDAR Filer Software also permits a filer to search for appropriate projects and applicable documents for an issuer’s profile number by selecting the “Search” button.

(n) Attaching Documents to the Cover Page
As stated in Chapter 7, each document that is being transmitted as part of an electronic filing must be prepared as a single separate electronic file in acceptable electronic format. This is necessary in part to ensure that individual documents may be made publicly accessible and retrieved separately from other documents comprising an electronic filing. There is a list of document types on each cover page that identifies the types of documents that are ordinarily required or permitted to be filed in respect of the filing type or filing subtype selected. The filer must select each of the document types on the list for which a document is to be included in the electronic filing. For each document type selected, the filer must select the “Attach File” feature which will give the filer the choice to select and attach a file from a computer workspace (which could include a network drive), from the filer’s SEDAR workspace or from previously filed documents that are stored on the SEDAR server and part of the SEDAR Filings Database. If a document has been attached to a cover page, it may be replaced before (but not after) the filing is submitted. This is done using the “Detach File” feature. If a previously filed document has been attached to a cover page, when the cover
page is submitted, the SEDAR Filings Database will record a new document as part
of that submission, but the document on the SEDAR server will be the same document as attached to the original project. The access level of the new document will be private or automatically set to public depending on the filing type, regardless of the access level of that document in the original project. If a filer is required to file two or more of a particular document type on the cover
page list (e.g. it may be necessary to file two auditors’ consent letters with a
prospectus where the issuer has changed auditors in a recent year), the filer must select the document type on the list and select the “Attach File” feature to attach the first of the documents from the filer’s PC workspace, SEDAR workspace or the SEDAR Filings Database. The filer must then select the “Duplicate” feature and attach the second of the documents and so on. The “Other” category referred to below should not be used if there is a document type available (e.g. English and French cover letters should each be attached as a “Cover letter”) and should not be used to file material which is not required or permitted to be filed through SEDAR, such as reports of exempt trades or insider trading reports. An electronic filer cannot attach a document to the cover page if the electronic filer has previously attached a document to the cover page with the same file name. In these cases, the electronic filer must change the file name and then return to the cover page screen to continue assembling the filing. It is not necessary to attach a document to all of the document types appearing in the list. For example, if a cover letter is not required for a particular filing, the filer may omit this document type. The filer must, however, include all required documents

and all required information either in the electronic cover page, a separate cover letter or another document included in the electronic filing. If a filer is required to file a document that is not on the list of document types, the filer must select the “Other” category on the list and select the “Add Document” feature, enter a short description of the document and attach the document. The attached document will then appear on the document list with the short description assigned by the filer. For any electronic filing made in more than one jurisdiction, the cover page information and all attached documents will be available only to the selected “Recipient Agencies” for purposes of the project to which the electronic filing relates. Filings that are not required by a particular securities regulatory authority selected as a “Recipient Agency” will ordinarily not be downloaded by that securities regulatory authority. Despite the fact that a document may be a supporting document for a filing in the “Securities Offerings” category for “Investment Fund Issuers” or “Other Issuers”, as applicable, if that document has previously been filed under a “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable, it is not necessary to refile the document with the filing in the “Securities Offerings” category. If annual financial statements are required to be filed as a supporting document with a filing under the Securities Offerings category of filing, and those financial statements have been previously filed under the Continuous Disclosure category of filing, then the financial statements must not be refiled. As indicated in Section 9.14(e), the annual financial statements of an investment fund must be filed using the cover page for “Annual Financial Statements” located under the “Continuous Disclosure” category for “Investment Fund Issuers”. If this has been done previously, it is not necessary to file these annual financial statements again under the cover page for “Simplified Prospectus and Annual Information Form” located under the “Securities Offering” category for “Investment Fund Issuers”. (o) Multiple Filings After a filer has attached documents to a cover page for a filing, the filer can either (i) submit the filing or (ii) save it and complete one or more additional filings and submit all of the completed filings together as a multiple filing. This is done by selecting several temporary (unsubmitted) filings from the “Filing Management” screen on the SEDAR Filer Software and selecting the “Submit” feature. A filer may include filings from any number of different electronic filers in a multiple filing. However, multiple filings can only be made with document filings that are submitted using a cover page. New or amended filer profiles cannot be transmitted as part of a multiple filing. (p) Pre-existing Supporting Documents

Supporting documents prepared and issued, published or distributed prior to January 1, 1997 may be filed in paper format under the exemption for pre-existing documents. In this case, an electronic copy of SEDAR Form 4 must be attached to the relevant document type in lieu of the supporting document to be filed in paper format. The exemption for pre-existing documents is discussed in greater detail in
Section 9.2.
(q) Privacy Considerations
Filers are reminded that when they submit information to SEDAR, they are responsible for complying with the applicable privacy laws. Since electronic filings can become publicly accessible, filers should ensure that any personal information they will be submitting is limited to what is necessary in order to meet the filing requirement in question. Under the “Exempt Market Offerings and Disclosure” category of filing, filers are required to confirm that Schedule 1 is being filed separately from the report and is being filed under the document types “Schedule 1 of report of exempt distribution (45-106F1) and “Schedule 1 of report of exempt distribution Form 5”. Failure to do so will result in the personal information on
Schedule 1 becoming publicly available. Refer to section 9.1(e) for the procedure to
request a change in access level.
8.4 Payment of CSA Filing Fees, Market Centre Filing Fees and SEDAR System Fees
If CSA filing fees and/or SEDAR System Fees are payable in respect of a filing, payment instructions must be transmitted electronically with the electronic filing. If market centre filing fees are payable to a market centre in respect of a filing, payment instructions may be transmitted electronically. The procedures are explained in Chapter 5. The applicable SEDAR System Fees are described in the System Fee Rules and the SEDAR Filer Software automatically calculates these charges. Refunds of CSA filing fees, market centre filing fees and/or SEDAR System Fees may be issued by cheque and the procedures are discussed in Section 5.3(g).
8.5 Transmitting a Submission
The SEDAR system assigns every submission (of documents or formal correspondence) a unique 8-digit number. When the 8-character temporary number (SUB ##### or FOR #####) changes to a permanent 8-digit number without the SUB or FOR prefix, the submission has been received and accepted by the SEDAR system. At that point, the status indicates that the filing has been successfully submitted to SEDAR, regardless of when the payment is approved or when the securities regulatory authorities or other recipient agencies begin downloading and processing the filing. However, the filing will not be accepted by a securities regulatory authority unless it has been transmitted in acceptable electronic format with the required CSA filing fees. Subscribers do not have to address a filing individually to a specific department (such as Corporate Finance or Disclosure) of a recipient agency. Instead, the applicable recipient agency will route the filing internally to the staff member who will process it.

Subscribers must check for correspondence and status of filing information (e.g. whether each recipient agency has received a filing) by using the “Filing Management” screen or the “Filing Status” screen in the SEDAR Filer Software. No other notification service for subscribers exists in the SEDAR system.
8.6 Transmission Problems
(a) Introduction
Filers are reminded that they are legally obligated to file electronically with the securities regulatory authorities. An adequate amount of time should be allowed for each submission. This time allotment should allow for: i) document preparation, ii) document transmission (as the date and time of receipt is only recorded at the end of a successful transmission), and iii) unforeseen mishaps. During normal operation of the SEDAR system, a number of occurrences (e.g. SEDAR network problem) may require the user to call the CSA Service Desk for assistance and other occurrences (e.g. personal computer problem) might have to be solved by the user. Filers must maintain those minimum software and hardware requirements listed in Appendix C to this Manual. For certain occurrences, there is a “temporary hardship exemption” available if the problem is not readily correctable. The temporary hardship exemption is described in Section 3.7(a). (b) Helpline If an answer to a technical problem cannot be found using the User Guide or the “SEDAR Help” feature included in the SEDAR Filer Software, the user can contact the CSA Service Desk at 1-800-219-5381 during SEDAR Business Hours. The user must identify himself or herself as a SEDAR user, provide the relevant subscriber ID and user ID, and the call will be handled accordingly. The CSA Service Desk has its own procedures in place for responding to all problem calls, including a process for escalating the problem to the next level of support should the need arise. The CSA Service Desk will inform the caller as to the status of its efforts to resolve the problem on a regular basis.
8.7 Test Filings
For purposes of testing and training, a subscriber can conduct test filings on the SEDAR system. A test filing will never be viewed or retrieved by a recipient agency and will not be available in the SEDAR Filings Database. The procedures for making a test filing are the same as those for an actual filing as described in Section 8.3, with the following exceptions:
(a) Since the test filing must not be sent to a recipient agency, after selecting the “Agencies” feature, the filer must only select “Test Filing” as the “Agency Type” on the “Add a Recipient Agency” screen; and

(b) To test the payment of filing fees, a filer may select the “Fees” feature and the “Add/Modify” screen will appear. The filer may then select “Test Filing” in the “Agency” box and enter an amount between $0.01 and $1.00 in the “Amount” column in the “Filing Fees” box. When finished, the filer must select the “OK” feature and the “Summary of Filing Fees” screen will appear. If the test fee amount is correct, the filer should select the “OK” feature and return to the main cover page of the filing. When the test filing is submitted, the test fee amount will actually be processed in the manner set out in Chapter 5.
8.8 Searching Public Filings
After a filing has been created by a filer and transmitted to the SEDAR server, it will be listed as a project on the filer’s “Filing Management” screen in the “Filing Management” module of the SEDAR Filer Software. The “Filing Management” screen is where all of the filings that have been created and submitted by the primary filer and any secondary filers are recorded. To view the cover
page for a filing that appears on the “Filing Management” screen, the filer should select the filing
to be viewed and select “Open”. To ensure that the filer has the most current information on one or more filings, the filer should select and highlight the projects (a maximum of ten) and select the “Refresh Project” feature. This will initiate a connection to the SEDAR server and result in any updated information appearing on the “Filing Management” screen for the project(s) already selected. To view the cover page for a filing that was created by the filer and sent to the SEDAR server and later deleted from the “Filing Management” screen of the filer, the filer can use the “Refresh List” feature of the SEDAR Filer Software to connect to the SEDAR server, obtain what was previously filed and have it listed on the “Filing Management” screen (assuming the project satisfies the criteria which the filer set for inquiries using the “Quick Search Inquiries” or “Advanced Inquiries” feature under the “Options” menu on the “Filing Management” screen). A document filed in electronic format will become publicly accessible in the SEDAR Filings Database in the following circumstances:
– the document is made accessible to the public following receipt by one of the recipient agencies; – the document is filed under the “Continuous Disclosure” category of filing and not under the “Other Filings” filing type. Once the document has been made accessible to the public, any subscriber using the SEDAR Filer Software that submits an appropriate search inquiry may locate and retrieve the document from the SEDAR Filings Database. (a) Building Search Inquiries Any user representing a subscriber can build a customized search inquiry using the criteria choices available in the “Search Filings” module. The inquiry can be saved or submitted to the SEDAR server. Once the inquiry is submitted it will be saved (in case it was not already saved) on the user’s local workspace and will be displayed in the list of filing inquiries every time the user opens the module. Existing inquiries

can be modified and resubmitted and changes made to any existing inquiry will be saved. Once an inquiry is deleted all associated reports will also be deleted. (b) Downloading and Retrieving Search Results Once an inquiry is submitted, a report is returned listing all of the projects containing documents that are publicly accessible and matching the search criteria. Once the user opens the report, the user can select those projects or documents that the user wishes to download to the user’s computer. Furthermore, any documents that remain “private” (including those given an access level of “Private–Draft”, “Private–Virus”, “Private-Nonpublic”, “Private–Incorrect Filing” or “Private–Incorrect Format”) but that the user is authorized to view (e.g. a document in a project that the user’s responsible subscriber created or a document in a project to which the user has been granted a secondary filer access privilege) will also be listed as part of the report. The filings database report will include a list of filings displaying the name of the issuer, the filing type and the date and time of the filing. When the search inquiry selected is “Issuer/Filer Name” in English or French, or “Profile Number”, the report returned will include projects from previous issuer profiles if the “Previous Issuer Information” field in a filer profile had been correctly completed. The projects listed in the “Filing Management” screen with an asterisk in the first position of the left hand column identifies previous issuer projects. The user can view and print certain project details including the cover page, the list of recipient agencies to which the filing was submitted and the list of the documents that were filed. One or more selected documents or the entire project can be retrieved if they are public documents or if they are the filings to which the user has access as described above. Users should structure searches in order to allow sufficient time to receive reports (as there may be a large number of filings meeting the criteria of the inquiry) and to retrieve documents (as the document may be a large file). Users should also be careful to display the list of documents included in a project and to initiate retrieval on a document-by-document basis to avoid incurring retrieval costs in respect of all documents included in the project. Finally, users should avoid retrieving documents with the access level of “Private–Virus”. (c) Viewing Downloaded Documents A user can retrieve documents which have been filed previously and made publicly accessible in the SEDAR Filings Database in the SEDAR system. Users can use the Adobe Acrobat software product to view and print the document. Documents that were filed prior to the introduction of Release 6.0 of the SEDAR Filer Software in the file format of Corel WordPerfect for DOS or Windows, version 5.1, 5.2, 6.0, and 6.1 or Microsoft Word for Windows, versions 6.0x and 7.0 may require a user to use Corel WordPerfect or Microsoft
Word software products in order to be able to view and print such documents. For further information, see
Section 7.2. Documents filed pursuant to the CSA’s XBRL Voluntary Filing
Program may be viewed by downloading all files related to a filing and using an XBRL viewer.

9 SPECIAL REQUIREMENTS FOR CERTAIN ELECTRONIC FILINGS
9.1 Correcting Errors In Electronic Filings
(a) Refiling Documents with Errors
A filer seeking to correct a material typographical or administrative error or omission in an electronic filing must refile the entire corrected document using the appropriate cover page for the filing type and a covering letter or a face page in the corrected document describing the correction with the date of the correction. If information in the refiled document is materially different from information in the originally filed document, please refer to Part 11.5 of NI 51-102 Continuous Disclosure Obligations for the procedure to be followed for refiling. When filing a corrected version of a previously filed document, the filer must select the corresponding filing (i.e. project number) on the “Filing Management” screen, then select under the “File” pull-down menu the “Add to a Filing” feature and select “Document”. A cover page for the corrected filing will then appear. The filer must then select the appropriate document type for attaching the corrected document, select the “Attach File” feature and select the corrected version of the document from the filer’s personal computer workspace or SEDAR workspace. The corrected document is now ready to be “submitted”. When refiling a document with materially different information or filing re-stated information, the document should be attached to the document type that is identified as “Amended” or “Restated”. For example, if an amended material change report is being filed, it should be attached to the document type “Material change report (amended)”. If an amended NI 43-101 technical report is being field, it should be attached to the document type “Amended & restated technical report (NI 43-101)”. (b) Filing Documents Inadvertently Omitted from Earlier Filing If a filer submits a filing and later discovers that a supporting document was inadvertently omitted from that filing (e.g., a filer files a final long form prospectus and inadvertently omits an auditors’ consent letter), the filer must file the omitted supporting document as an additional filing of the same filing subtype within the same project. Using the previous example, in order to file the auditors’ consent letter, the filer must select the relevant project on the “Filing Management” screen and then pull down on the “File” menu bar, select the “Add to a Filing” feature and select “Document”. The cover page for that project will then appear. The filer must then select the relevant filing subtype (in this case, final long form prospectus) and attach the previously omitted document (i.e., the auditors’ consent letter) to the relevant document type. The filer should then submit the filing. Using the previous example, the filing will then show up on the SEDAR Filings Database as a subsequent “Final Long Form

Prospectus” submission within the same project, but with a different submission number. (c) Refiling Documents Filed under an Incorrect Filing Type or Category of Filing A filer seeking to correct an electronic filing submitted under an incorrect filing type or category of filing must resubmit the entire electronic filing as a new project by using the appropriate cover page for the correct filing type or category of filing together with a covering letter describing the correction. If the corrected version is filed after the relevant document is already accessible to the public, then both projects and versions of the document may be accessible to the public unless, whether upon request or otherwise, a recipient agency determines to change the access level of the incorrect filing from “Public” to “Private–Incorrect Filing”. See
Section 9.1(e) below.
(d) Restricting Public Access to Documents in the SEDAR Filings Database In very limited circumstances, the principal regulator, or, in case of a filing made in the “Exempt Market Offerings and Disclosure” filing category, a recipient agency may restrict public access to a document that is normally publicly accessible within the SEDAR Filings Database and SEDAR.com. These circumstances include an electronic filing transmitted to a recipient agency that contains erroneous or inaccurate information, personal or commercially sensitive information that would meet the confidentiality requirements in securities legislation, or personal or commercially sensitive information that is not required to be filed or a submission against the wrong issuer profile. An issuer’s principal regulator or, in case of a filing made in the “Exempt Market Offerings and Disclosure” filing category, a recipient agency, may restrict public access to a document by changing the access level of the document from “Public” to “Private” or one of the specific private statuses, as appropriate. See Section 9.1(e). (e) Procedure to Request a Change in Access Level All requests to restrict public access to a document in the SEDAR filings database should be made to the issuer’s principal regulator in writing. In exceptional circumstances, a recipient agency that is not the issuer’s principal regulator may restrict public access to a document in the SEDAR filings database, (e.g., where the filing has not been made to the principal regulator’s jurisdiction or a document is specific to a non-principal jurisdiction) pending final consideration by the issuer’s principal regulator. In cases where an issuer does not have a principal regulator (ie:
non-reporting issuers), a recipient agency may restrict public access to a document in the SEDAR filings database. Publicly available documents are posted to the website at www.sedar.com within 15 minutes of being made publicly available on SEDAR. Whether or not the principal regulator or a recipient agency will make a document private on SEDAR.com and the process for making such a request depends upon the circumstances of each case. A formal application to make a document private may be required in certain

situations and the principal regulator or a recipient agency may not make the document private until the issuer has made such application. An issuer’s principal regulator or a recipient agency will make documents private on SEDAR.com, with no need to file a formal application, in the following circumstances:

if an issuer is entitled to file redacted versions of material contracts or
agreements, the issuer has used electronic redaction software and through technical software errors, a non-redacted version was filed;
if a recipient agency inadvertently made a document public in connection
with a prospectus filing if that document should have remained private;
if an issuer inadvertently includes in a report of exempt distribution filing the
detailed purchaser information that should have been filed under a document type with a private access level;
if an issuer filed a document that is later found to contain a virus;
if an issuer filed a document under an incorrect issuer profile; or
if a third party has made an unauthorized filing against an issuer’s profile.
Depending upon the circumstances, a document that has been filed but is not required to be filed by securities law will qualify to have the filing access updated to a private access level. In some cases, the principal regulator or a recipient agency will make documents private upon a request made in writing. In other cases, the principal regulator or a recipient agency will not make the document private until the filer has submitted a formal application and the regulator or a recipient agency has made a decision in the favour of the filer. Documents automatically designated as public will be made available to SEDARDDS customers on a near to real-time basis and published in the public domain after being filed through SEDAR. Hence, even if a document has been changed to a “private” access, it may remain in the public domain through the facilities of SEDAR-DDS customers. (f) Refiling a Filer Profile Submitted Using an Incorrect Filer Profile Type & Removal of Duplicate Filer Profiles A filer seeking to correct a filer profile submitted under an incorrect filer profile type must resubmit the filer profile as a new filer profile by using the proper filer profile type. If the creation of the corrected filer profile is done before any electronic filings have been made in respect of the incorrect filer profile, then only the corrected filer profile is publicly accessible. If the corrected filer profile is created and filed after the incorrect filer profile has been made accessible to the public, both filer profiles may be accessible to the public. An electronic filer or filing agent acting on behalf of an issuer may request the deletion of the incorrect filer profile from the SEDAR Filer Profiles Database. The

“Duplicate Profile Deletion Request Form” is available at www.sedar.com and must be delivered to the CSA Service Desk at:
CSA Service Desk
Attn: SEDAR Filing Service Contractor
12 Millennium Blvd, Suite 210
Moncton, NB E1C 0M3 sedar@csa-acvm.ca or sent by facsimile to 1-866-729-8011 to the attention of the SEDAR Filing Service Contractor. The request must be signed by an authorized officer of the electronic filer or the filing agent, as applicable. The request must contain the following information:
electronic filer’s name, profile number of incorrect filer profile, profile number of corrected filer profile, and, if applicable, a request to apply any prepaid annual filing fees for continuous disclosure in respect of the incorrect filer profile to the new filer profile. (g) Adding or removing recipient agencies to a previously submitted SEDAR project A filer seeking to add a recipient agency to a previously submitted project may do so using the "Add to a Filing" function under the "File" pull-down menu from the Filing Management module. The filer must attach a document containing the changes to the recipient agencies, using the document type "Letter concerning recipient agency", that notifies all the recipients of the change. The cover page allows the filer to return to the Recipient Agencies page by selecting the “Agencies” button from the General cover page screen and use the "Add" function to indicate the new recipient agencies and submit the change. While SEDAR does not allow a filer to remove a recipient agency from a project once a filing has been submitted, by using the same document type "Letter concerning recipient agency", the filer can notify the recipient agencies of the jurisdiction(s) they wish to withdraw from the filing.
9.2 Exemption For Pre-existing Documents
The National Instrument provides that any supporting document, written correspondence or other written material relating to a document required to be filed with the securities regulatory authority in electronic format may be filed in paper format if the supporting document, written correspondence or other written material was prepared and issued, published or distributed before January 1, 1997. The form to be used in connection with the exemption for pre-existing documents is SEDAR Form 4, which is set out in Appendix O. When the exemption for pre-existing documents is used, the document in question may be filed with the securities regulatory authorities in paper format. However, a filer using this exemption must comply, in respect of the document in question, with the paper format rules of the securities regulatory authorities which govern filings not covered by the National Instrument.

If a filing in paper format is being made under the exemption for pre-existing documents, a copy of the SEDAR Form 4 must be filed in electronic format with the electronic filing to which the exemption relates (the signature in the electronic filing must be presented in typed form rather than manual format). To file SEDAR Form 4 in electronic format, the filer must select the name of the document which is subject to the exemption from the document list on the cover page for the electronic filing and select the “Attach” feature. The filer must then select the electronic format of the SEDAR Form 4 from their PC workspace or from their SEDAR workspace. For example, if the pre-existing document being filed in paper format is a material contract made prior to January 1, 1997 that is required to be filed with a long form prospectus, the filer will select “Other material contract(s)” from the document list on the applicable cover page and attach the SEDAR Form 4.
9.3 Documents Incorporated by Reference
There is a document list on every cover page for an electronic filing that lists certain documents that are ordinarily required or permitted to be filed in respect of the type of filing selected. If a filer is required to file a document (or part thereof) incorporated by reference as a supporting document in circumstances where it is not on the document list, the filer must select the “Other” category on the list and select the “Add Document” feature, enter a short description of the document and attach the document. The attached document would then appear on the document list with the short description assigned by the filer. It should be noted that if annual financial statements or an AIF have been filed under the “Continuous Disclosure” categories noted in Section 9.14, it is not necessary to refile them with a prospectus if they are incorporated by reference into that prospectus. However, if a continuous disclosure document is filed in electronic format as a supporting document to an electronic filing (such as a prospectus filing), that continuous disclosure document must also have been filed in the manner required of a “Continuous Disclosure” document in the National Instrument and this Manual. In this case, the procedure to attach a previously filed document that is already part of the SEDAR Filings Database should be used. See Section 8.3(n) for more information. Similarly, if an annual report and management proxy circular have been filed under the cover pages for those items located in the “Continuous Disclosure” category for “Other Issuers”, it is not necessary to refile them with an AIF if they are incorporated by reference into that AIF. As noted in Section 9.14, an issuer must file its AIF and annual report as separate projects (i.e. under separate cover pages). Electronic filers that file a Form 10-K or Form 20-F in lieu of an AIF through SEDAR may incorporate by reference all or part of a document that is a required exhibit to such filing if that document was previously filed in electronic format through SEDAR as part of a Form 10-K or Form 20-F for a previous year.
9.4 General Filings and Local Filings
There are cover pages for certain filing types that are required or permitted to be filed with the securities regulatory authorities in a number of jurisdictions. These filing types are listed as “General” filings in the folder for filing type which appear in the SEDAR Filer Software and which are reproduced in Part I of Appendix B.

There are also cover pages for certain filing types that are only applicable in a single jurisdiction and, therefore, would ordinarily be filed only with a single securities regulatory authority and/or the market centre in that same jurisdiction. These local filing types are listed under the name of a particular local jurisdiction in the folder for filing type which appear in the SEDAR Filer Software and which are reproduced in Part I of Appendix B (e.g. “British Columbia”, “Quebec”). In general, a local filing type should only be used if a filing appropriate to the specific filing type is being made only in a single jurisdiction. For example, the information required to be filed under
Section 115 of the regulations made under the Securities Act (Quebec) is a document type
(“Information document (QC Sec. 115 Reg.)”) under the Quebec filing type for “ProspectusDistribution outside Quebec (QC Sec. 12 Act)”. This information should be filed using the cover
page for that local filing type located under the “Quebec” folder for filing type under the “Securities
Offerings” category for “Other Issuers”.
If the filing is being made in more than one jurisdiction, it should be filed under a single filing type which is a general filing type rather than a local filing type and the applicable local policy should be identified in the “Local Policy Statement Elections” field on page two of the cover page. However, the filer should ensure that the supporting documents appropriate to the local filing type are included in the general filing. In circumstances where such supporting documents are not listed as document types under the general filing type, the filer must add the additional “local” documents to the list of documents for the general filing by selecting the “Other” category on the list, selecting the “Add Document” feature, entering a description of the local document (which would be the same description as used for the local document in the local filing type) and attaching the document. The attached document would then appear on the cover page in the document list for the general filing with the short description entered by the filer.
9.5 Certified Disclosure Documents - Certificate of Authentication
The National Instrument also provides that no prospectus, take-over bid circular, issuer bid circular, directors’ circular, officers’ circular, annual information form for a mutual fund, or an amendment or supplement to any of these documents, that contains a certificate signed by a person or company, shall be filed in electronic format unless that person or company has manually signed a Certificate of Authentication on SEDAR Form 6. This form is available in Appendix O to this Manual. The market centre filing requirements may also contain requirements for the execution and delivery of a Certificate of Authentication in respect of a particular electronic filing. An electronic filer that makes an electronic filing of the type indicated must file the manually signed Certificate of Authentication with the SEDAR Filing Service Contractor within three days after the electronic filing is made. A Certificate of Authentication is not required for a preliminary or pro forma prospectus. (Signatures in reports, consents and other material contained in, forming part of, or accompanying any of, the above-mentioned documents do not have to be confirmed by a Certificate of Authentication.) The Certificate of Authentication can be delivered to the Filing Service Contractor. The address is as follows:
CSA Service Desk
Attn: SEDAR Filing Service Contractor
12 Millennium Blvd, Suite 210
Moncton, NB E1C 0M3 sedar@csa-acvm.ca

9.6 Prospectus Pre-marketing and Marketing Materials
Marketing materials for a bought deal filed under Part 7 of NI 44-101 Short Form Prospectus Distributions are filed using the filing subtype “Marketing materials for bought deal” and before the filing of a preliminary short form prospectus. CSA staff will not make marketing materials public and SEDAR System Fees and CSA filing fees will not be charged until after the preliminary short form prospectus is filed and receipted. Confidential marketing materials will remain private.
9.7 Blacklined Documents
Applicable securities legislation or securities directions require that certain documents filed with the securities regulatory authorities be “blacklined” to reflect changes made to a document filed previously. Electronic filers must file a blacklined copy of a document in electronic format through SEDAR if the applicable securities legislation or securities directions require the filing of a blacklined copy of a document. Filers may create blacklined copies of electronic filings either in manual form using word processing software or in automated form using document comparison software, provided that the “blacklined” copy of the revised document reasonably identifies any material changes to the previously filed document and are submitted in acceptable electronic format. Blacklined prospectuses must not be filed under the filing subtype “Amendment to Preliminary” or the filing subtype “Amendment to Final”. A blacklined copy of a document filed through SEDAR should be submitted using the appropriate document type listed under the relevant filing type or filing subtype. For example, there is a document type for “Blacklined pro forma simplified prospectus” listed under the “Pro Forma” filing subtype on the cover page for “Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101)” located under the “Securities Offering” category for “Investment Fund Issuers”. If there is no appropriate document type listed under a filing type or filing subtype, then the “Other” document type should be used to attach the blacklined copy of the document and the document should be described as “Blacklined (insert document name)”.
9.8 Applications or Requests for Exemptive Relief
National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions (NP 11-
203) describes the process for the filing and review of an application for Exemptive relief in more
than one Canadian jurisdiction. NI 81-102 applications filed through SEDAR should be done in accordance with NP 11-203. The National Instrument provides that electronic filers must file all applications and requests made pursuant to NI 81-102, in electronic format using SEDAR. It is not relevant whether applications and requests of this type are related to the filing of a prospectus. These applications and requests must be assembled and transmitted using the cover page for “Applications (NI 81-102)” located in the “Exemptions and Other Applications” category for “Investment Fund Issuers”. This filing type must be used for these applications and requests even where they are being filed at the same time as a prospectus filing (if the application or request does relate to a prospectus filing, this should be identified in a covering letter filed with the application or request). In addition, all correspondence

and other material relating to these types of applications, including draft orders, must be filed in this manner. The National Instrument provides further that an electronic filer may file an application or request for exemptive relief from, or approval under, the securities legislation in electronic format if:
(a) the application or request relates to a prospectus filed or to be filed in electronic format; and (b) the exemptive relief or approval being sought is reasonably required to facilitate a distribution of securities to which the prospectus relates. These types of applications and requests must be assembled and transmitted using the cover page for “Exemptions and Other Applications – in connection with a Prospectus Filing” located in the “Exemptions and Other Applications” category for “Investment Fund Issuers” or “Other Issuers”, as applicable. If the application or request is being filed in connection with a prospectus filing, the relevant field in the applicable cover page must indicate that the application or request is being so filed. Except as discussed above, all applications or requests for exemptive relief must be filed in paper format.
9.9 Technical Reports - Oil and Gas or Mining
The National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities, (NI 51-101) states that an oil and gas report that is prepared and filed as a supporting document shall not be filed in electronic format, except for any part that is a summary of the report. The Companion Policy to NI 51-101 states that the Statement of Reserves Data and Other Information (Form 51-101F1), Report of Independent Qualified Reserves Evaluator or Auditor (Form 51-101F2) and Report of Management and Directors (Form 51-101F3) referred to in section 2.1 of NI 51-101, must be filed in electronic format via SEDAR. National Instrument 43-101 Standards of Disclosure for Mineral Projects, (NI 43-101) requires the filing of technical reports in connection with mineral projects in a wide variety of circumstances. A technical report should be filed in electronic format via SEDAR under the filing type “Technical report (NI 43-101)” located under the “Continuous Disclosure” category for “Other Issuers”. To deal with the voluminous nature of these materials a filer should reduce the resolution of the PDF documents, change documents from colour to black and white and remove any unnecessary photographs. If photographs are removed, the area where the photograph resided in the documents should be marked with a description of the removed photograph. Details of how to request the complete version of the technical report should be included in a cover letter.
9.10 Simplified Prospectus and Annual Information Form for Several Investment Funds
Where one simplified prospectus and annual information form is used to qualify the mutual fund securities of more than one mutual fund, the simplified prospectus and annual information form must be filed using the cover page for “Simplified Prospectus and Annual Information Form (NI 81-101)” located under the “Securities Offering” category for “Investment Fund Issuers”. This cover page has space to list all of the mutual funds whose securities are qualified by the filing. In

this situation, SEDAR System Fees are only payable in respect of the combined filing and not in respect of each mutual fund.
9.11 Preliminary Prospectus and Pro forma Prospectus
(a) Combined Initial Mutual Fund Offering and Continued Mutual Fund Offering NI 81-101 provides that, prior to the filing of a simplified prospectus, the mutual fund shall file either a preliminary simplified prospectus in the case of an initial offering of mutual fund securities or a pro forma (or renewal) simplified prospectus in the case of an offering of mutual fund securities that is being continued. Where a single annual information form and a single simplified prospectus are used to qualify the distribution of securities of more than one mutual fund and it is desired at the time of filing the pro forma simplified prospectus relating to a continued offering of mutual fund securities to include the securities of a mutual fund which have not been previously qualified for distribution, it is permissible to include the securities of such mutual fund in a pro forma simplified prospectus relating to the continued offering, provided that such pro forma simplified prospectus is identified in the manner provided in NI 81-101 as being a preliminary simplified prospectus in respect of the securities of the new mutual fund and as a pro forma simplified prospectus in respect of the securities of the mutual fund(s) in respect of which it is a pro forma simplified prospectus. For purposes of electronic filings through SEDAR, if the same offering documents are used to qualify both a continuing offering of securities of the existing mutual funds and a new offering of securities of another mutual fund (with a legend so indicating), these offering documents must be filed as part of the same project using the cover page for the “Combined Preliminary and Pro Forma Simplified Prospectus” filing subtype in respect of the mutual fund whose securities had not been previously qualified for distribution and in respect of the mutual funds whose offerings are being continued. When making a combined submission of this type, a filer must select only from the document types listed for the particular filing subtype (e.g. Preliminary) to be submitted and must not attach document files to document types listed under other filing subtypes (e.g. Final) since this will change the filing subtype for the submission. If a document to be submitted as part of a particular filing subtype does not correspond to any of the document types listed for that filing subtype, then the “Other” document type must be selected and the filer must specifically name the document to be attached. (b) Initial Offering in one Jurisdiction and Continued Offering in Another Jurisdiction A mutual fund may offer securities as part of an initial offering in one jurisdiction and a continued offering in another jurisdiction. In this situation, the initial offering would require the filing of a preliminary prospectus while the continued offering would require the filing of a pro forma prospectus.

If the same prospectus is used for both the initial offering jurisdiction and the continued offering jurisdiction (with a legend so indicating), it must be filed as part of the same project using the cover page for the combined preliminary and pro forma prospectus filing subtype for purposes of both jurisdictions. When making a submission of this type, a filer must select only from the document types listed for the particular filing subtype to be submitted and must not attach document files to document types listed under other filing subtypes or otherwise the subtype could change. If a document to be submitted as part of a particular filing subtype does not correspond to any of the document subtypes listed for that filing subtype, then the “Other” document type must be selected and the filer must specifically name the document to be attached. (c) Joint Filings by Mutual Fund Groups For business reasons, two or more mutual funds may prepare and file a joint AIF or other common disclosure document even though one (or more) of such mutual funds has filed a separate simplified prospectus from the others and, therefore, belongs to a separate mutual fund group. In these cases, the joint AIF or other common disclosure document must be filed separately in SEDAR in respect of each separate Investment Fund Group Profile. This will require multiple submissions of the document or the “attach previously filed document” functionality can be used. (d) Non-Mutual Fund Prospectus with More Than One Issuer If a non-mutual fund prospectus has more than one issuer, the prospectus must be filed separately by each issuer using the issuer’s filer profile. A cover letter must be filed separately by each issuer indicating the basis for and particulars of the multiple filings. The principal regulator will select one of the projects and will submit correspondence on that project to indicate status in respect of each project involved. Applicable CSA filing fees and SEDAR System Fees must be paid separately in respect of each project. Receipts will be submitted separately by the securities regulatory authorities in respect of each project.
9.12 Process for Prospectus Reviews in Multiple Jurisdictions
The Canadian securities regulatory authorities have adopted National Policy 11-202 “Process for Prospectus Reviews in Multiple Jurisdictions” (NP 11-202), that describes procedures specific to the filing and review of a preliminary prospectus, prospectus and related materials in more than one Canadian jurisdiction under the Multilateral Instrument 11-102 Passport System (MI 11-102). NP 11-202 requires a filer to file “materials” with all applicable “non-principal regulators” contemporaneously with the filing of such materials with the “principal regulator” (PR). The electronic filing of the materials with the applicable principal regulator and non-principal regulators through SEDAR will constitute contemporaneous filing in accordance with NP 11-202. The principal regulator will review the materials in accordance with its securities legislation and securities directions and based on its review procedures, analysis and precedents.

The filer should indicate in its electronic filing on SEDAR the principal regulator for the prospectus offering and that it is filing materials under MI 11-102 and NP 11-202. To identify a PR, click the “Principal” column beside the name of the appropriate securities commission. The selection of the Principal Regulator is now mandatory. For further guidance on identifying the PR for prospectus - related filings, refer to NP 11-202.
9.13 Going Private Transaction Filings and Related Party Transaction Filings
In certain jurisdictions there are special filings required in connection with “going private transactions” and “related party transactions”. To the extent applicable, a document relating to a going private transaction or a related party transaction shall be filed using the cover page for the general filing type appropriate to the document. For example, a notice of meeting, a management proxy/information circular and form of proxy relating to a going private transaction or a related party transaction would be filed using the cover page for the “Management Proxy Materials” located under the “Continuous Disclosure” category for “Other Issuers”. If there is no other applicable filing type for the particular document, then the document should be filed using the cover page for “Going Private Transaction Filings” or “Related Party Transaction Filings”, as applicable, located under the “Going Private/Related Party Transactions” category for “Other Issuers”. Issuers often prepare (and may continue under SEDAR to prepare) management proxy/information circulars which contain, as appendices, certain documents (such as formal valuations and prior valuations) required to be filed in certain jurisdictions in connection with a going private transaction or a related party transaction. If there is a separate filing requirement relating to the document or disclosure item and the document or disclosure item is not listed as a document type under the “Management Proxy Materials” filing type, then such document or disclosure item must also be filed separately in the SEDAR system using the cover page for “Going Private Transaction Filings” or “Related Party Transaction Filings”, as applicable, located under the “Going Private/Related Party Transactions” category for “Other Issuers”.

9.14 Annual Information Forms, Management’s Discussion and Analysis and FutureOriented Financial Information, Annual and Interim Management Reports of Fund
Performance, Annual Financial Statements and Interim Financial Statements/Report General Information An electronic filer must file continuous disclosure documents using the appropriate cover
page under the “Continuous Disclosure” category of filings for investment fund or other
issuers, as applicable. Reporting issuers often prepare and disseminate annual reports to security holders which contain the issuer’s annual financial statements, management’s discussion and analysis of financial condition and results of operations (“MD&A”) or management report of fund performance (“MRFP”) and, if required, future-oriented financial information. Reporting issuers are also required to prepare and file interim MD&A or MRFP in accordance with NI 51-102 or NI 81-106. For purposes of SEDAR, if there is a separate requirement to file a particular document or particular disclosure material, the document or other disclosure material must be filed separately in the SEDAR system using an appropriate cover page for the particular filing type or subtype and paying any applicable CSA system and filing fees for that filing type or subtype. The above-mentioned filing types for annual and interim filings are located under the “Continuous Disclosure” categories for “Investment Fund Issuers” and “Other Issuers”, as applicable. Specifically, the following documents (if they are required to be filed) must be filed as separate projects (i.e. under separate cover pages) as described in greater detail in the subsections below:
(a) Annual Information Forms;
(b) Annual and Interim MD&A;
(c) Annual Reports;
(d) Annual and Interim Management Report of Fund Performance; (e) Financial Statements; (f) Annual and Interim Certificates; (g) Business Acquisition Report; (h) Documents Affecting the Rights of Security Holders/Material Documents; (i) Voting Results. (a) Annual Information Forms (i) Mutual Funds An annual information form (“AIF”) for a mutual fund issuer under NI 81- 101 must be filed using the cover page for “Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101)”, located under the “Securities Offerings” category for “Investment Fund Issuers”. Where disclosure for more than one mutual fund is contained in the AIF, the procedure to be followed for listing the relevant mutual funds is set out in
Section 9.10.
(ii) Other Issuers

With the implementation of National Instrument 51-102, all non-investment fund reporting issuers with the exception of venture issuers are required to file an AIF and must file it in the filing type “Annual Information Forms”. A venture issuer must file an AIF if the venture issuer intends to use or already uses the short form prospectus system under National Instrument 44-101. With the implementation of National Instrument 81-106, all non-redeemable investment fund reporting issuers and mutual fund reporting issuers that do not have a “current prospectus as at its financial year end are required to file an AIF and must file it in the filing type “Annual Information Form (NI 81- 106)”. With the implementation of NI 44-101, short form prospectus issuers must file a one-time “NI 44-101 Notice of Intent to Qualify” one time under the filing type “NI 44-101 Notice of Intent” filing type. The notice is effective until withdrawn. Issuers must then continue to comply with their AIF filing obligations. As noted in Section 9.3, electronic filers that file a Form 10K or Form 20F in lieu of an AIF may omit an exhibit to that Form 10K or Form 20F if the exhibit is incorporated by reference from a Form 10K or Form 20F for a previous year that included the exhibit and that was filed in electronic format through SEDAR under the filing type “Annual Information Forms”. (b) Annual and Interim MD&A All issuers, except investment fund issuers, are required to file Annual and Interim MD&A (some exemptions may apply). An electronic filer that is required to prepare and file Annual and Interim MD&A disclosure, must file this disclosure in electronic format through SEDAR as a separate project using the cover page for “Annual MD&A” or “Interim MD&A”, as applicable, located under the “Continuous Disclosure” category for “Other Issuers”. If Annual Financial Statements or Interim Financial Statements/Report are sent to security holders, Annual or Interim MD&A is required to be sent at the same time. (c) Annual Reports (i) Mutual Funds Mutual funds that are required to file an annual report, including any annual report sent to their security holders, must assemble and transmit the filing using the cover page for “Annual Report” located under the “Continuous Disclosure” category for “Investment Fund Issuers”.

(ii) Other Issuers
Other reporting issuers that are required to file an annual report, including any annual report sent to their security holders, must assemble and transmit the filing using the cover page for “Annual Report” located under the “Continuous Disclosure” category for “Other Issuers”. (d) Annual and Interim Management Report of Fund Performance Investment Fund Issuers must file annual and interim management report of fund performance for each financial year or interim period under the appropriate filing type at the same time it files its annual financial statements or interim financial statements/report for that financial period. If Annual Financial Statements or Interim Financial Statements/Report are sent to security holders, the annual or interim management report of fund performance is required to be sent at the same time. (e) Financial Statements (i) Annual Financial Statements or Interim Financial Statements/Report Annual financial statements and interim financial statements/report must be filed using the cover page for “Annual Financial Statements” and “Interim Financial Statements/Report”, respectively, located under the “Continuous Disclosure” category for “Investment Fund Issuers” and “Other Issuers”, as applicable. The filing of an annual financial statement triggers the annual filing fee for continuous disclosure, this charge must be paid by or on behalf of the electronic filer by electronic payment at the same time as the annual financial statements are filed with one or more securities regulatory authorities. (ii) Draft Financial Statements If draft financial statements are being submitted as part of an existing project (e.g. draft financial statements being filed with a second response letter in a prospectus filing), the filer would use the “Formal Correspondence” screen in the SEDAR Filer Software. The filer would select the project on the “Filing Management” screen and then pull down on the “File” menu bar and select “Add To A Filing” and then select “Formal Correspondence.” The “Formal Correspondence” screen would then appear. The screen contains a list of document types to be attached. The filer would select “Other Correspondence” on the list and select the “Add Document” feature, enter a description of the document (e.g. “Attachment Second Response Letter”) and attach the document. The attached document would then appear on the document list with the short description assigned by the filer. If draft financial statements are being submitted as part of pre-filing correspondence (i.e. correspondence submitted before the filing of a preliminary prospectus or other document), then they must be submitted in paper format only (see discussion in Section 10.3(e)).

(iii) Annual Financial Statements – Non-Reporting Issuers or Interim Financial Statements/Report – Non-Reporting Issuers Non-Reporting issuers that are required to file Annual Financial Statements and Interim Financial Statements/Report on SEDAR must file them using the cover page for “Annual Financial Statements” and “Interim Financial Statements/Report”, respectively, located under the “Continuous Disclosure” category for “Investment Fund Issuers”. The filing of an annual financial statement will not trigger the annual filing fee for non-reporting issuers. (f) Annual and Interim Certificates Other issuers that are required to file Annual and Interim Certificates in accordance with National Instrument 52-109, must file using the cover page for “Annual Certificates (NI 52-109)” and “Interim Certificates (NI 52-109)”, respectively, located under the “Continuous Disclosure” category for “Other Issuers”, as applicable. (g) Business Acquisition Report A reporting issuer that is required to file a Business Acquisition Report in accordance with NI 51-102, must file the document as a separate project using the cover page for “Business Acquisition Report” located under the “Continuous Disclosure” category for “Other Issuers”. (h) Documents Affecting the Rights of Security Holders/Material Documents National Instrument 51-102 provides that a reporting issuer must file copies of documents affecting the rights of security holders, constating documents and/or material documents as a separate project, using the cover page for “Documents Affecting the Rights of Security Holders/Material Documents” located under the “Continuous Disclosure” category for “Other Issuers”. (i) Voting Results NI 51-102 provides that a reporting issuer that is not a venture issuer to file a report of voting results promptly following a meeting of security holders at which a matter was submitted to a vote. The report should be filed in SEDAR under the filing type “Management Proxy Materials” using the document type “Report of voting results”.
9.15 News Releases and Material Change Reports
If a material change occurs in the affairs of a reporting issuer, that creates a legal obligation under NI 51-102 or NI 81-106 as applicable, to file a news release and a material change report. The news release issued in respect of the material change must be filed using the cover page for “News Releases” located in the “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable. Filers must then select the document type “News Release.”

The material change filing (which often has a copy of the news release attached) must be filed as a separate filing using the cover page for “Material Change Report” located in the “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable. Filers must then select the document type “Material Change Report.” Other news releases that are required to be filed electronically must also be filed using the cover
page for “News Releases” located in the “Continuous Disclosure” category for “Investment Fund
Issuers” or “Other Issuers”, as applicable. Other news releases that are subject to these requirements include the following:
(a) news releases issued under NI 43-101, NI 51-101, NI 51-102 or NI 81-106; and (b) news releases that are required to be issued or filed in connection with related party transactions. Despite the foregoing, news releases filed by a third party in respect of an issuer that is an electronic filer are subject to the following requirements:
(a) news releases issued by a third party under the “early warning” reporting requirements must be filed in the manner set out in Section 9.22; and (b) news releases issued by a third party in connection with a take-over bid circular or notice of change or variation filed by that third party must be filed in the manner set out in Section 9.20(b). News releases and, where required, material change reports should not be filed with a securities regulatory authority in a jurisdiction if the electronic filer does not have a legal obligation to do so.
9.16 Documents Sent to Security Holders
Except for documents that are specifically identified in the SEDAR Filer Software, documents that are being filed electronically with a securities regulatory authority solely pursuant to a requirement to file documents sent by an issuer to its security holders, must be filed using the cover page for “Other Filings” located in the “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable.
9.17 Documents Filed with Other Agencies and Stock Exchanges Outside the Local
Jurisdiction
Except for documents that are specifically identified in the SEDAR Filer Software, documents that are being filed solely pursuant to a requirement to file documents filed with a governmental agency or stock exchange in a jurisdiction outside the local jurisdiction, must be filed using the cover page for “Other Filings” located in the “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable.
9.18 Management Proxy Materials
The “Management Proxy Materials” filing type contains document types for “Notice of Meeting” and “Management Information Circular”. Although some issuers circulate these documents to

security holders as a combined document, Section 7.2(a) requires each document that is being transmitted as part of an electronic filing must be prepared as a separate electronic file.
9.19 Notice of Securityholders’ Meeting and Record Date
A notice of securityholders’ meeting and record date under National Instrument 54-101 must be filed by selecting the “Notice of the meeting and record date” filing type located under the “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable. The balance of the material relating to the particular meeting of securityholders must be filed under the “Management Proxy Materials” filing type located under the “Continuous Disclosure” category for “Investment Fund Issuers” or “Other Issuers”, as applicable.
9.20 Third Party Filings - Take-over Bid Filings
(a) General
All documents that are required to be filed under the filing type “Take-over Bid Filings” must be filed under a single type of cover page called “Third Party Cover
Page”. Before proceeding with a filing of this type, a filer must first verify that the
latest version of the filer profile for the issuer (offeree) and the filer (offeror) is on the filer’s local profiles database by performing a refresh on these profiles while in the “Profile Management” module or completing a search in “Search Profiles” to obtain the profile(s). (b) Filings by Offeror A filer (offeror) that is filing a take-over bid circular or notice of change or variation in respect of a take-over bid must file these documents and any supporting documents under the cover page for “Take-over Bid Filings”. When using the cover page for “Take-over Bid Filings”, the filer must use the “List” feature on the cover page and view the “Issuer Name (Offeree):” field. A window listing “Investment Fund Issuers, Other Issuers and Other Filers” will appear and the filer must select the name of the offeree to populate that field from the profiles of all three types that are displayed. The filer must then use the “List” feature on the cover
page and view the “Filer Name (Offeror):” field. A window listing “Investment Fund
Issuers, Other Issuers and Other Filers” will appear and the filer must select the name of the offeror to populate that field from the profiles of all three types that are displayed to select the name of the offeror to populate that field. This process will ensure that the filing is recorded both against the target issuer and the offeror in the SEDAR Filings Database. This process is particularly important in the case of a securities exchange take-over bid where the take-over bid circular is, in effect, a prospectus of the offeror. If a news release is required to be filed in connection with a take-over bid circular or notice of change or variation filed by that party in respect of a take-over bid, the filer must select the “other” category on the document list under the cover page for “Takeover Bid Filings – Offeree” and the cover page for “Take-over Bid Filings – Offeror”. In each case, the filer must then select the “Add Document” feature, enter

a short description of the news release and attach the news release. The attached news release would then appear on the document list with the short description assigned by the filer. The electronic filing take-over bid circular against the filer profiles of the offeror and the offeree is made using a single project in the SEDAR system. A notice of change or variation in respect of the take-over bid and any supporting documents must also be filed as part of the project using the “Notice of Change or Variation” filing subtype. (c) Filings by Directors or Officers of Offeree (i) Directors’ Circular Where the directors of an issuer that is the target of a take-over bid are required or permitted to file a directors’ circular in respect of a take-over bid, such filings shall be assembled electronically using the SEDAR Filer Software and transmitted electronically to the SEDAR server by the offeree (i.e. the target of the take-over bid) on behalf of the directors. Such an offeree (or a filing agent acting on its behalf) must file these filings and any supporting documents under the cover page for “Take-over Bid Filings”. After selecting the appropriate cover page, the filer would select the filing subtype “Directors’ Circular”. When using the cover page for “Take-over Bid Filings”, the filer must use the “List” feature on the cover page and view the “Issuer Name (Offeree):” field to select the name of the offeree to populate that field. The filer must then use the “List” feature on the cover page and view the “Filer Name (Offeror):” field to select the name of the offeror to populate that field. The filing of a directors’ circular against the filer profiles of the offeror and the offeree is made using a single project in the SEDAR system. A followup directors’ circular, in response to a notice of change or variation filed in respect of the same take-over bid, must also be filed as part of that project. In the case of hostile take-over bids, the issuer may not be able to get secondary access to the Take-over bid filing done by the offeror to file the take-over bid circular. In such cases only, the issuer should create a new project under the category “Third Party Filers” using the filing type “Takeover Bid Filings” and file the directors’ circular and subsequent follow-up directors’ circulars under the sub-type “Directors’ Circular”. A refund of SEDAR filing fees paid by the issuer for the new project can be requested through the CSA Service Desk by indicating the reason for the new project, i.e. due to a hostile bid and inability to get access to the original project. (ii) Individual Director’s or Officer’s Circular Where individual directors or officers are required or permitted to file individual director’s or officer’s circulars in respect of a take-over bid or an

amendment or supplement thereto (i.e. in response to a notice of change or variation made by the offeror), these filings must be assembled electronically using the SEDAR Filer Software and transmitted electronically to the SEDAR server by the director or officer in question or a filing agent acting on its behalf. In this case, the filer must submit these filings and any supporting documents under the cover page for “Take-over Bid Filings”. After selecting the cover page, the filer must select the filing subtype “Director’s or Officer’s Circular (Individual)”. When using the cover page for “Take-over Bid Filings, the filer must use the “List” feature on the cover page and view the “Issuer Name (Offeree):” field to select the name of the offeree to populate that field. The filer must then use the “List” feature on the cover page and view the “Filer Name (Offeror):” field to select the name of the offeror to populate that field. The filing of an individual director’s or officer’s circular against the filer profiles of the offeror and the offeree is made using a single project in the SEDAR system. An amendment or supplement of the same individual (i.e., in response to a notice of change or variation filed in respect of the same take-over bid) must also be filed as part of that project. Please refer to 9.20 (c) (i) for the procedure to be followed in the case of hostile take-over bids. (d) CSA Filing Fees and SEDAR System Fees The CSA filing fees and SEDAR System Fees payable in connection with the “Takeover Bid Filings” under the cover page for “Take-over Bid Filings” are associated only with the “Issuer Name”. The “Filer Name” will not appear on the “Payment Status Detail” or “Summary of Filing Fees” screens in respect of the filing.
9.21 Third Party Filings - Exempt Take-over Bid Filings
If a third party that is an electronic filer is required to file exempt take-over bid filings, such filings must be made using the cover pages for “Exempt Take-over Bid Filings” located in the “Third Party Filers” category. A filer making this type of filing must use the “List” feature on the third party cover page to select the name of the offeree issuer (the target of the exempt take-over bid) to populate the “Issuer Name (Offeree):” field. Note that the name of the third party filer must not be selected in the “Issuer Name (Offeree):” field even though the third party filer itself may be an issuer of securities. The filer must then use the “List” feature on the cover page and select the name of the third party filer (offeror) to populate the “Filer Name (Offeror):” field.
9.22 Third Party Filings - Securities Acquisition Filings
If a third party that is an electronic filer is required to file a news release and report under the “early warning” reporting system, such filings must be made using the cover page for “Securities Acquisition Filings (Early Warning)” or “Securities Acquisition Filings (Alternative Monthly

Report)”, as applicable, located in the “Third Party Filers” category and selecting the applicable filing subtype. Although the news release, early warning report and disqualification report are filed under separate filing subtypes under the filing type “Securities Acquisition Filings (Early Warning”), and may be filed in separate submissions, all of these documents must be filed as part of the same project. A filer making this type of filing must select the “List” feature on the third party cover page to select the appropriate name to populate the “Filer Name (Offeror):” and “Issuer Name (Offeree):” fields.
9.23 Third Party Filings - Proxy Solicitation Materials
If a third party that is an electronic filer is required to file proxy solicitation materials, such filings must be made using the cover page for “Proxy Solicitation Materials” located in the “Third Party Filers” category. A filer making this type of filing must use the “List” feature on the cover page and view the “Issuer Name” field to select the name of the reporting issuer to populate that field. The third party filer must not select its own name in the “Issuer Name” field even where the third party filer itself is a reporting issuer. The third party filer must then use the “List” feature on the cover page and view the “Filer Name” field to select the name of the person or company that is soliciting the security holders of the reporting issuer to populate that field.
9.24 Exempt Market Offerings and Disclosure
With the amendments to Appendix A – Mandated Electronic Filings of the National Instrument 13- 101, certain jurisdictions require specific documents relating to exempt market offerings and disclosure to be filed in electronic format on SEDAR. (a) Report of Exempt Distribution (NI 45-106) An issuer that is required to file reports of exempt distribution under Part 6 of National Instrument 45-106 must file the report and Schedule 1 separately, using the filing type “Report of Exempt Distribution (NI 45-106)”. (b) Offering Memorandum (2.9 of NI 45-106) An issuer that is required to file an offering memorandum must file on SEDAR using the filing type “Offering Memorandum (2.9 of NI 45-106)”. (c) Disclosure Documents (QC Sec. 37.2 Reg.) An issuer that is required to file offering documents in Quebec under section 37.2 of Securities Regulation must file on SEDAR using the filing type for “Disclosure Documents (QC Sec. 37.2 Reg.)”. (d) Distributions under the Start-Up Crowdfunding Exemptions An issuer that is required to file reports of exempt distribution under the start-up crowdfunding registration and prospectus exemptions on SEDAR must file the report and Schedule 1 separately, using the filing type “Start-Up Crowdfunding – Report of Exempt Distribution (Form 5)”. The issuer will also generally be required

to file the offering document that was made available to purchasers using the filing type “Start-Up Crowdfunding – Offering Document”. (e) Distributions under MI 45-108 - Crowdfunding An issuer that is required to file on SEDAR an offering document under MI 45-108

Crowdfunding must file using the filing type “Crowdfunding - Offering Document
(NI 45-108)”.
(f) Annual Financial Statements – Non Reporting Issuers An issuer that is required to file annual financial statements on SEDAR must file using the filing type “Annual Financial Statements – Non-Reporting Issuers”. (g) Notice of Use of Proceeds An issuer that is required to file notice of use of proceeds on SEDAR must file using the filing type “Notice of Use of Proceeds”.

10 MANAGEMENT OF ELECTRONIC FILINGS AFTER TRANSMISSION AND CORRESPONDENCE USING SEDAR
10.1 Introduction
(a) General
After a filing has been transmitted electronically to the SEDAR server, the recipient agencies that were designated in the project cover page information will ascertain that the filing has been submitted by checking for new filings on the SEDAR server. Staff of the recipient agencies will then review the filing and download any documents attached to the cover page that need to be reviewed by the recipient agency. This chapter applies to electronic filings other than filer profiles or amendments to filer profiles. (b) Formal Correspondence If appropriate, the recipient agencies will use the SEDAR system to send correspondence (applicable to that particular recipient agency) to the filer who sent the electronic filing. Furthermore, the securities regulatory authorities will only use the SEDAR system to send correspondence on filings under the filing categories of “Securities Offerings” or “Exemptions and Other Applications”. Filers must respond to this correspondence by using the “Formal Correspondence” screen in the SEDAR Filer Software. For example, receipts for prospectuses and comment letters will be sent to filers by a securities regulatory authority using the SEDAR system and response letters to these comment letters should also be sent in the SEDAR system. Correspondence on filings within the other categories of filings will not generally be sent using the SEDAR system since these filing categories, which include “Continuous Disclosure”, are generally for filing of public documents only. Normally, formal correspondence can only be read by the filer or recipient agency that sent it, the recipient of the formal correspondence and the other recipient agencies that received the original filing unless a recipient agency makes a formal correspondence document a publicly accessible document. However, if a secondary filer is granted an access privilege in respect of a project, that secondary filer may be able to view the existence of the formal correspondence, or download it. (c) Informal Correspondence E-mail must not be used to file documents or to submit correspondence that is intended to be formal or part of the files of the recipient agencies. If a filer sends Email messages to a securities regulatory authority containing material which would normally be considered to be formal correspondence, the securities regulatory authority will ask the filer to resend the material using the “Formal Correspondence” screen. SEDAR E-mail is described in Section 4.12(b).

10.2 Status Tracking
(a) General
A subscriber that has submitted the electronic filing or a secondary filer with an access privilege is able to monitor both the completion of the transmission to the SEDAR server and the status of the filing with each of the recipient agencies. This monitoring is facilitated using a status tracking function which requires the subscriber to access the SEDAR server for an updated status report. A subscriber, including a secondary filer with an access privilege, is also able to determine when its particular filing has been made accessible to the public or, in certain cases, the reason why the filing is private. This is done by viewing the “Access” column on the appropriate open submission screen. Although the Filing Service Contractor has staff available to assist filers in making electronic filings and to address issues relating to electronic transmission problems, staff of the Filing Service Contractor or applicable recipient agencies will not ordinarily respond orally or in writing to inquiries as to whether an electronic filing has been received by the SEDAR server or downloaded by the recipient agencies to which it has been addressed. Receipts and other confirmations of acceptance issued by recipient agencies in respect of electronic filings will generally be transmitted electronically to the SEDAR server. The filer must regularly use the “Refresh List” or “Refresh Project” feature in the “Filing Management” module of the SEDAR Filer Software to ascertain the status of its filings. (b) Status Details A subscriber or a secondary filer with an access privilege can check the status of a project by using the “Filing Status” screen in the “Filing Management” module in the SEDAR Filer Software. The “Filing Status” screen will show one of the following for each project that has been electronically filed using the SEDAR system:

Types of Filing Status for Recipient Agencies:
Filed with SEDAR - The filing has been successfully uploaded or transmitted to the server. Received by Agency - The recipient agency has successfully downloaded the filing. Note: This status applies to only the documents which the recipient agency has selected to download. Types of Filing Status for Securities Regulatory Authorities:
Not Clear for
Amendment to
Preliminary

The PR is not satisfied with the responses to its comments on the
amended preliminary prospectus and cannot issue a preliminary receipt or decision document for an amended prospectus. Clear for Amendment to Preliminary
The PR is satisfied with the responses to its comments but has not yet
issued a preliminary receipt or decision document for an amended prospectus. Under Review - The filing is under review. Issued Preliminary Receipt
The PR has issued a preliminary receipt.
Issued Decision
Document (Preliminary)
The PR has issued a preliminary decision document via formal
correspondence.
Issued Receipt for
Amendment to
Preliminary Prospectus
The PR has issued a receipt for an amendment to a preliminary prospectus
via formal correspondence.
Issued Decision
Document (Amendment to Preliminary)
The PR has issued a decision document for an amendment to a
preliminary prospectus via formal correspondence.
Opt Out - The non-principal regulator has opted out of the dual review filing. Sent Notice of Opting Out - The non-principal regulator has sent notice it has opted out of the dual review filing via formal correspondence. Sent Objection Letter - An objection letter has been sent via formal correspondence. Sent First Comment Letter
The PR has sent the first comment letter via formal correspondence.
Received First Response
Letter
The filer’s first response letter has been received via formal
correspondence.
Sent Second Comment
Letter
The PR has sent the second comment letter via formal correspondence.

Received Second
Response Letter

The filer’s second response letter has been received via formal
correspondence.
Sent Subsequent
Comment Letter
The PR has sent a subsequent comment letter via formal correspondence.
Received Subsequent
Response Letter
The filer’s subsequent response letter has been received via formal
correspondence.
Sent Other
Correspondence
The PR has sent other correspondence via formal correspondence.
Received Other
Correspondence
The filer’s other correspondence has been received via formal
correspondence.
Clear for Final - The PR is clear to receive final material.
Not Clear for Final - The PR is not satisfied with the response to its comments and is not clear to receive final material. Opt Back In - Clear for Final
The non-principal regulator has opted back in to the dual review and is
clear to receive final material.
Reconfirmation of Clear for Final Requested
The PR has requested the non-principal regulator to confirm it is “Clear
for Final” via formal correspondence.
Reconfirmed Clear for
Final
The non-principal regulator has reconfirmed that it is “Clear for Final”.
ERA – Opt Back In –
Agree with Principal
Regulator
The non-principal regulator has indicated that it agrees with the PR’s
decision for an exemptive relief application.
Issued Decision
Document (Final)
The PR has issued a decision document for the final prospectus via formal
correspondence.
Issued Final Receipt - The PR has issued a final receipt via formal correspondence. Opt Out - First Amendment to Final
The non-principal regulator has opted out of the dual review for the first
amendment to a final prospectus.
Clear for First
Amendment to Final
The PR is clear to receive final material for the first amendment to a final
prospectus.
Not Clear for First
Amendment to Final
The PR is not satisfied with the responses to its comments and is not
ready to receive final materials for the first amendment to a final prospectus.

Opt Back In - Clear for
First Amendment to Final

The non-principal regulator has opted back into the Dual Review for the
first amendment to a final prospectus.
Reconfirmation of Clear for Final Requested – First Amendment to Final
The PR has requested the non-principal regulator to confirm it is “Clear
for Final” for the first amendment to final prospectus via formal correspondence. Reconfirmed Clear for First Amendment to Final
The non-principal regulator has reconfirmed that it is “Clear for Final” for
the first amendment to final.
Issued Decision
Document (First
Amendment to Final)
The PR has issued a final decision document for the first amendment to a
final prospectus via formal correspondence.
Opt Out - Second
Amendment to Final
The non-principal regulator has opted out of the Dual Review for the
second amendment to a final prospectus.
Not Clear for Second
Amendment to Final
The PR is not satisfied with the responses to its comments and is not
ready to receive final materials for the second amendment to a final prospectus. Clear for Second Amendment to Final
The PR is clear to receive final material for the second amendment to a
final prospectus.
Opt Back In - Clear for
Second Amendment to
Final
The non-principal regulator has opted back into the Dual Review for the
second amendment to a final prospectus.
Reconfirmation Clear for
Second Amendment to
Final Requested
The PR has requested the non-principal regulator to confirm it is “Clear
for Final” for the second amendment to final via formal correspondence. Reconfirmed Clear for Second Amendment to Final
The non-principal regulator has reconfirmed that it is “Clear for Final” for
the second amendment to a final prospectus.
Issued Decision
Document (2nd
Amendment Final)
The PR has issued a final decision document for the second amendment to
a final prospectus via formal correspondence.
Opt Out - Third
Amendment to Final
The non-principal regulator has opted out of the Dual Review for the third
amendment to a final prospectus.
Not Clear for Third
Amendment to Final
The PR is not satisfied with the responses to its comments and is not
ready to receive final materials for the third amendment to a final prospectus. Clear for Third Amendment to Final
The PR is satisfied with the response to its comments and is clear to
receive final material for the third amendment to a final prospectus, but has not yet issued a receipt or decision document.

Opt Back In - Clear for
Third Amendment to
Final

The non-principal regulator has opted back into the Dual Review for the
third amendment to a final prospectus.
Reconfirmation Clear for
Third Amendment to
Final Requested
The PR has requested the non-principal regulator confirm it is “Clear for
Final” for the third amendment to a final prospectus via formal correspondence. Reconfirmed Clear for Third Amendment to Final
The non-principal regulator has reconfirmed that it is “Clear for Final” for
the third amendment to a final prospectus.
Issued Decision
Document (3rd
Amendment Final)
A final decision document for the third amendment to a final prospectus
has been issued via formal correspondence.
Opt Out – Subsequent
Amendment to Final
The non-principal regulator has opted out of the dual review for the
subsequent amendment to a final prospectus.
Not Clear for Subsequent
Amendment to Final
The PR is not satisfied with the responses to its comments and is not
ready to receive final materials for the subsequent amendment to a final prospectus. Clear for Subsequent Amendment to Final
The PR is clear to receive final material for the subsequent amendment to
a final prospectus.
Opt Back In – Clear for
Subsequent Amendment to Final
The non-principal regulator has opted back into the Dual Review for the
subsequent amendment to a final prospectus.
Reconfirm. Clear Final
Requested-Subseq.
Amend. Final
The PR has requested the non-principal regulator to confirm it is “Clear
for Final” for the subsequent amendment to a final prospectus via formal correspondence. Reconfirmed Clear for Subsequent Amendment to Final
The non-principal regulator has reconfirmed that it is “Clear for Final” for
the subsequent amendment to a final prospectus.
Issued Decision
Document (Subseq.
Amend. to Final)
The PR has issued a final decision document for the subsequent
amendment to a final prospectus via formal correspondence.
Issued Receipt for
Amendment to Final
Prospectus
The PR has issued a receipt for an amendment to the final prospectus via
formal correspondence.

Sent Comment Letter for
Amendment to
Prospectus

The PR has sent a comment letter for an amendment to a prospectus via
formal correspondence.
Sent Acknowledgement to
Evidence Exemption by a
Receipt
The PR has sent acknowledgement to evidence exemption by a receipt via
formal correspondence.
Sent Notice of Acceptance for Filing
The PR has sent a notice of acceptance for filing via formal
correspondence.
Sent Notice of Refusal to
Evidence the Exemption
The PR has sent notice of its refusal to evidence exemption via formal
correspondence.
Sent Acceptance of
Prospectus Supplement
The PR has sent notice of its acceptance of a prospectus supplement via
formal correspondence.
Sent Notice of Review - The PR has sent notice of its review via formal correspondence. Issued Exemption Order - An exemption order has been issued via formal correspondence. Sent Draft Order - A draft order has been sent via formal correspondence. Granted Relief/Approval - An order granting relief or providing approval has been sent via formal correspondence. Agree with Principal Regulator Decision
The non-principal regulator has indicated that it agrees with the PR’s
decision for an exemptive relief application.
Refused - The PR has refused to receipt or accept, as the case may be, the filing. Review of Submission Completed
The PR has completed the review of a specific submission contained in
the filing.
Withdrawn - The issuer has withdrawn the filing.
Closed - The PR has closed the file.
Approved - The PR has approved the filing.
Conditionally Approved - The PR has conditionally approved the filing. No Objection - The PR has no objection with the content of the filing. Furthermore, the principal regulator’s latest status will be indicated as the “Current General Status” on the “Filing Status” screen. Types of Filing Status for Market Centres:
Under Review - The market centre is reviewing the filing. Although this status may be used for any filing type or subtype, it will be used most frequently with

filings requiring an approval or other form of clearance from a market centre. Examples of the types of filings include new company listings, private placements and rights offerings. Sent First Comment Letter

The market centre has sent the first comment letter via formal
correspondence.
Received First Response
Letter
The market centre has received the filer’s first response letter via formal
correspondence.
Sent Second Comment
Letter
The market centre has sent the second comment letter via formal
correspondence.
Received Second
Response Letter
The market centre has received the filer’s second response letter via
formal correspondence.
Sent Subsequent
Comment Letter
The market centre has sent a subsequent comment letter via formal
correspondence.

Note: Comment letters originating from market centres may contain an
official approval of filing.
Received Subsequent
Response Letter

The market centre has received the filer’s subsequent response letter via
formal correspondence.
Sent Other
Correspondence
The market centre has sent other correspondence via formal
correspondence.
Sent Conditional
Approval Letter
A conditional approval letter has been sent via formal correspondence.
Sent Amended
Conditional Approval
Letter
An amended conditional approval letter has been sent via formal
correspondence.
Sent Refusal Letter - A refusal letter has been sent via formal correspondence. Received Other Correspondence
The market centre has received the filer’s other correspondence via
formal correspondence.
Approved - The market centre has approved the filing.
Conditionally Approved - The market centre has conditionally approved the filing. No Objection - The market centre has no objection with the content of the filing. Refused - The market centre has refused to accept or approve, as the case may be, the filing. Sent Confirmation of Listing
The market centre has sent confirmation of listing via formal
correspondence.

Withdrawn - The market centre has accepted a request from the filer to withdraw the filing. Closed - The market centre has closed the file. Review of Submission Completed

The market centre has completed the review of a specific submission
contained in the filing.

10.3 Correspondence with a Recipient Agency
(a) Correspondence within a Project - “Formal Correspondence” (i) Formal Correspondence Screen Correspondence related to an electronic filing is considered to be part of the same project. Such correspondence must be submitted using the “Formal Correspondence” screen in the SEDAR Filer Software. However, special requests for access changes should not be submitted using SEDAR, particularly where the request relates to a filing type in which correspondence would not normally be expected by a recipient agency, such as most types of “Continuous Disclosure” Filings. For correspondence during the waiting period between the filing of a preliminary prospectus and the filing of a final prospectus, the securities regulatory authorities will communicate using the “Formal Correspondence” screen. Since the SEDAR Filer Software does not permit any particular recipient agency to direct such correspondence to a single filer in the project to the exclusion of others, such correspondence will be accessible to all recipient agencies to which the filing was submitted and all secondary filers assigned by the primary filer and granted an access privilege in respect of the project. The securities regulatory authorities will be issuing formal correspondence using documents formatted in an approved PDF format (depending on the regulatory authority). Filers can use the Adobe Acrobat Reader to view correspondence from securities regulatory authorities. The filer’s “Formal Correspondence” screen contains a list of possible document types to be sent to the recipient agencies as part of an existing project. The document types are:
First Response Letter – This document type is for the filer’s response to the first comment letter received from a recipient agency for a particular filing such as a prospectus filing; Second Response Letter – This document type is for the filer’s response to the second comment letter received from a recipient agency for a particular filing such as a prospectus filing; Subsequent Response Letter – This document type is for the filer’s response to any subsequent comment letter received from a recipient agency for a particular filing such as a prospectus filing; and Other Correspondence – This document type is for any other correspondence that a filer wants to send to a recipient agency within a project.

(ii) Attaching Documents to Formal Correspondence Screen As noted in Chapter 7, each document which is being transmitted as part of an electronic filing must be prepared as a separate electronic file. As noted above, there is a list of document types on every “Formal Correspondence” screen that lists certain documents that are ordinarily required or permitted to be filed as formal correspondence as part of a project. The filer must select one of the document types on the list which is to be included in the filing and select the “Attach File” feature which will give the user the choice to either select a file from their PC workspace (which could include a network attached disk drive) or from their SEDAR workspace. If a document has been attached to a cover page, it may be replaced before (but not after) the filing is transmitted. This is done by using the “Detach File” feature. If a filer is required to file “Other Correspondence”, the filer would select “Other Correspondence” on the list and select the “Add Document” feature, enter a description and date of the document (e.g. “Letter.Jan.26.96”) and attach the document. The attached document would then appear on the document list with the short description assigned by the filer. If a filer is required to file an attachment with a letter (e.g. draft financial statements are being filed with a second response letter), the filer would select “Other Correspondence” on the list and select the “Add Document” feature, enter a description of the document (e.g. “Attachment Second Response Letter”) and attach the document. The attached document would then appear on the document list with the short description assigned by the filer. (b) Types of Formal Correspondence from Securities Regulatory Authorities The types of formal correspondence that a filer would receive from a securities regulatory authority are as follows:
Decision Document (Preliminary) – a preliminary decision document; Preliminary Receipt – a receipt for a preliminary prospectus; Decision Document (Amendment to Preliminary) – a preliminary prospectus amendment decision document; Receipt for Amendment to Preliminary Prospectus – a receipt for an amendment to a preliminary prospectus; Acknowledgement of Receipt for an ERA Application – an acknowledgement of receipt of an exemptive relief application;

Objection Letter – an objection letter relating to a filing from a securities regulatory authority; First Comment Letter – the first comment letter regarding a particular filing (such as a preliminary prospectus filing) from the PR; Second Comment Letter – the second comment letter regarding a particular filing (such as a preliminary prospectus filing) from the PR; Subsequent Comment Letter – subsequent comment letters regarding a particular filing (such as a preliminary prospectus filing) from the PR; Comment Letter for Amendment to Prospectus – comment letter regarding an amendment to a prospectus from the PR; Memo to Regulators – Reconfirmation Requested – a memo from the principal regulator to the non-principal regulators requesting that each non-principal regulator reconfirm that it is “Clear for Final”; Notice of Opting Out – notice from a non-principal regulator that it has opted out of the dual review filing; Decision Document(s) for ERA – English –document(s) in the English language relating to an exemptive relief application; Decision Document(s) for ERA – French –document(s) in the French language relating to an exemptive relief application; Decision Document (Final) – a final decision document; Final Receipt – a receipt for a final prospectus; Memo-Reconfirm. - First Amend. To Final Requested – memo from PR requesting that non-principal regulator confirm it is “Clear for Final” for the first amendment to a final prospectus; Decision Document (First Amendment to Final) – a first prospectus amendment decision document; Memo-Reconfirm. - Second Amend. To Final Requested – memo from PR requesting that non-principal regulator confirm it is “Clear for Final” for the second amendment to a final prospectus; Decision Document (Second Amendment to Final) – a second prospectus amendment decision document; Acknowledgement to Evidence Exemption by a Receipt – the issuance of a receipt will be evidence of the granting of an exemption from any form or content requirement;

Notice of Refusal to Evidence the Exemption – a notice that the recipient agency intends to refuse to evidence the exemption; Memo-Reconfirm. - Third Amend. To Final Requested – memo from PR requesting that non-principal regulator confirm it is “Clear for Final” for the third amendment to a final prospectus; Decision Document (Third Amendment to Final) – a third prospectus amendment decision document; Memo-Reconfirm. - Subseq. Amend. To Final Requested – memo from PR requesting that non-principal regulator confirm it is “Clear for Final” for the subsequent amendment to a final prospectus; Decision Document (Subsequent Amendment to Final) – a subsequent prospectus amendment decision document (select number of Amendment from picklist); Receipt for Amendment to Final Prospectus – a receipt for an amendment to a final prospectus; Acceptance of Prospectus Supplement – a notice of acceptance of a prospectus supplement; Notice of Acceptance for Filing – a notice of acceptance for filing; Notice of Acceptance for Mutual Fund AIF – a notice of acceptance for mutual fund annual information form; Notice of Review – a notice of review sent; Exemption Order – an exemption order; Draft Order – a draft order; Relief/Approval – correspondence indicating that the PR has granted a request for relief/approval (this letter may be issued in respect of applications for relief/approval that are filed in connection with a prospectus or pursuant to NI 81-102); Refusal Letter – a letter indicating that the securities regulatory authority has refused the filing; Cease Trade Order – a cease trade order in connection with a defective prospectus; Other Correspondence – any other correspondence from a securities regulatory authority in relation to a project. (c) Types of Formal Correspondence from Market Centres

The types of formal correspondence that a filer would receive from a market centre are as follows:
First Comment Letter – the first comment letter regarding a particular filing from a market centre*; Second Comment Letter – the second comment letter regarding a particular filing from a market centre*; Subsequent Comment Letter – subsequent comment letters regarding a particular filing from a market centre*; *Note: Comment letters originating from market centres may contain an official approval of filing. Refusal Letter – a letter indicating that the market centre has refused to accept or approve the filing; Conditional Approval Letter – conditional approval letter indicating conditional approval of a filing by a market centre; Amended Conditional Approval Letter – a letter from a market centre amending a Conditional Approval Letter; Confirmation of Listing – a letter indicating that the market centre has confirmed the listing; Other Correspondence – any other correspondence from a market centre in relation to a project. (d) Checking for Formal Correspondence from Recipient Agencies To check for new formal correspondence from a recipient agency, a filer (including a secondary filer granted an access privilege in respect of the project) must highlight the project number and press “Refresh Project” or select the “Refresh List” feature on the “Filing Management” screen, or pull down on the “File” menu bar and select “Refresh List” or “Refresh Project”. The “Refresh Project” feature will update the screen to reflect what is on the SEDAR server for that project, including any new formal correspondence submitted by the securities regulatory authorities and the market centres, subject to the market centre filing requirements. The “Refresh List” feature will update all of the projects that satisfy the criteria specified using the “Quick Search Inquiries” or “Advanced Inquiries” feature in the “Filing Management” module to reflect what is on the SEDAR server, including any new formal correspondence submitted by the recipient agencies. The new formal correspondence (e.g. “First Comment Letter”) will then appear with a submission number and as part of an existing project on the filer’s “Filing Management” screen. To view the new formal correspondence, the filer (including any secondary filer granted the access privilege to “retrieve” or “submit”) would select the new formal

correspondence item which is now listed on the “Filing Management” screen and then select the “Retrieve” feature or pull down on the “File” menu bar and select “Retrieve Submission(s)”. (e) Pre-Filing Correspondence Any pre-filing correspondence (i.e. correspondence submitted before the filing of a preliminary prospectus or other document) will be submitted in paper format only. For example, a letter to a securities regulatory authority requesting guidance concerning financial statements to be included in a prospectus would be sent in paper format to the securities regulatory authority where the prospectus is to be filed. When the prospectus is eventually filed, the filer must indicate, using the designated field on the cover page, that there is a pre-filing submission on file so that this information will be known to the individual at the securities regulatory authority to which the prospectus is directed. It should be noted, however, that certain requests made to a securities regulatory authority in advance of a filing of a preliminary prospectus (e.g. a request to have a listing statement in a preliminary prospectus) are more properly the subject of an application or request for exemptive relief (discussed in Section 9.8).
10.4 Communication between Subscribers
SEDAR allows an exchange of information between subscribers before and after the filing is actually submitted. For example, an issuer’s auditor could send correspondence or a file of financial information to the issuer’s counsel through the SEDAR workspace (discussed in Section 4.12(c)), if both were subscribers. No cover page is required.
10.5 Official Copies and Paper Copies
For purposes of the securities legislation, securities directions or any other related purpose, the official copy of a document filed in electronic format by an electronic filer or issued or delivered in electronic format by the securities regulatory authority is the electronic format version stored electronically in SEDAR, except in Quebec where the official copy is the electronic format version downloaded and stored by the Autorité des marchés financiers. The Filing Service Contractor will not provide copies or certified copies of a document which has been electronically submitted to the SEDAR system, as this function will be performed by securities regulatory authorities when required by applicable securities law. Where a document which has been electronically submitted incorporates a document which has not been electronically submitted, copies of the incorporated document can be obtained from the appropriate recipient agency. Certificates of authentication which are sent to the Filing Service Contractor will be kept on file by the Filing Service Contractor and the Filing Service Contractor will furnish any person with a copy or certified copy of such a certificate of authentication. After an appropriate number of copies have

been made for its files, the Filing Service Contractor will forward the original signed copy of a certificate of authentication to the Autorité des marchés financiers upon its request. As noted in Section 7.2(f), if maps and photographs are omitted from an electronic filing, a securities regulatory authority may require the filer to submit a paper copy of the map or photograph which was omitted from the electronic filing. It is recommended that electronic filers retain paper copies (and, where applicable, original signed copies) of the documents which have been electronically submitted to SEDAR. Commercial copies of documents in paper format that have been submitted electronically via SEDAR are not required to be filed with the recipient agencies, unless specifically requested by a recipient agency.

APPENDICES
Appendix A Glossary of Terms and Abbreviations Used
In this Manual, the following terms have the ascribed meanings, unless the context indicates otherwise:
acceptable electronic format – the computerized format of a document prepared in the format used by the software product(s) set out in Section 7.2 of the Manual; access codes – codes used in the SEDAR system to control access to the SEDAR server by persons seeking to transmit electronic filings, issue electronic payments and search for and retrieve documents from the SEDAR public databases. Access codes include subscriber IDs, user IDs, banking authorizations and passwords; access privilege – one of three types of privileges that may be granted by a primary filer to a secondary filer giving the secondary filer access to a particular project initiated by the primary filer and enabling the secondary filer to “view”, “retrieve” and/or “submit” electronic filings in the project; ASC – Alberta Securities Commission; bit – acronym for binary digit. The smallest unit of information usually described in digital terms as either a 1 or 0 (one or zero); bits per second or bps – a measurement of transmission speed; business day – any day other than a Saturday, Sunday or statutory holiday in the local jurisdiction; cover page – a screen in the Filing Management module of the SEDAR Filer Software to be completed by the filer and to contain the cover page information; cover page information – the information that is specified in the SEDAR Filer Manual and that is required to be filed as part of an electronic filing; CSA – the Canadian Securities Administrators; document – any or all of “document”, “information” and “material” as those terms are used in securities legislation; document type – a type of document that is filed with an electronic filing; EDI banking account – an electronic data interchange banking account arranged by a filing service subscriber with a financial institution to facilitate electronic payment of SEDAR system and filing fees to the securities regulatory authority and/or market centres; electronic filer – a person or company that is required to comply with the National Instrument;

electronic filing (or filing) – a document that is filed under securities legislation or securities directions in electronic format or the act of filing a document under securities legislation or securities directions in electronic format, as the context indicates; electronic format – the computerized format of a document prepared and transmitted in accordance with the standards, procedures and guidelines contained in the SEDAR Filer Manual; electronic mailbox – the electronic message service of the SEDAR system which makes use of a personal computer to send and receive messages. These electronic mailbox messages are only for messages and informal correspondence. They are not for filings or formal correspondence; E-mail – electronic mail. A message sent through the SEDAR electronic mailbox; filer– electronic filer or filing agent or any of their respective representatives; filer list – the list of secondary filers stored on a primary filer’s local workspace from which it can select secondary filers to assign to a project; filer profile – a set of information providing a profile of an electronic filer; filing – an electronic filing; filing agent – a person or company that is authorized to make an electronic filing on behalf of an electronic filer; Filing Service Contractor – the SEDAR Filing Service Contractor; filing service subscriber (or subscriber) – an electronic filer or a filing agent that enters into an agreement with the SEDAR Filing Service Contractor to make electronic filings through SEDAR; filing subtype – a type of electronic filing that forms part of a project and that generates a list of document types to be attached to cover pages in the SEDAR system; filing type – a type of electronic filing that generates either a list of filing subtypes or a list of document types to be attached to cover pages in the SEDAR system; foreign issuer (SEDAR) – an issuer that is incorporated or organized under the laws of a foreign jurisdiction, unless; (a) voting securities carrying more than 50 percent of the votes for the election of directors are held by persons or companies whose last address as shown on the books of the issuer is in Canada and either (i) the majority of the senior officers or directors of the issuer are citizens or residents of Canada, or (ii) assets of the issuer representing more than 50 percent of the total of all assets of the issuer are located in Canada, or

(iii) the business of the issuer is administered principally in Canada; or (b) the issuer has a class of its equity securities listed and posted for trading on a stock exchange in Canada and does not have any of its equity securities listed and posted for trading on a stock exchange or quoted in a published market in any foreign jurisdiction; formal correspondence – correspondence among a filer and a recipient agency using the formal correspondence screen in the SEDAR Filer Software; general filing – a filing type that is required or permitted to be filed with the securities regulatory authorities and/or market centres in a number of jurisdictions; informal correspondence – correspondence among a filer, a securities regulatory authority and/or market centre using E-mail; local filing – a filing type that is only applicable in a single jurisdiction and, therefore, would ordinarily be filed only with a single securities regulatory authority and/or a single market centre; local implementing instrument – an instrument used by a local jurisdiction to implement the National Instrument; Manual – the SEDAR Filer Manual; market centre filing requirements – the provisions of any legislation, regulations or rules made in any province or territory of Canada, or of any by-laws, rules, decisions, orders, rulings, policies or any other similar instrument made by any of the market centres which are in effect from time to time, in whole or in part and which require or permit issuers of securities and other third parties dealing with such issuers or their securities to file, deliver or otherwise submit documents or information with or to any of the market centres; market centre – The TSX Venture Exchange Inc., or its successors and assigns; MI – a multilateral instrument, including any successor instrument; multiple filing – the transmission of two or more separate filings using a single connection to the SEDAR server; multi-jurisdiction issuer – an issuer which is an electronic filer in more than one jurisdiction; mutual fund group – a group of one or more mutual funds that have a common manager, whose affairs are conducted in a similar manner and that file one simplified prospectus and annual information form under NI 81-101 or that otherwise file one prospectus; National Instrument – National Instrument 13-101 – System for Electronic Document Analysis and Retrieval (SEDAR), which sets out general rules relating to electronic filing of securities documents with the Canadian securities regulatory authorities using SEDAR; non-reporting issuer – an issuer that is not a reporting issuer.

NI – a national instrument, including any successor instrument; NP – a national policy, including any successor instrument; paper format – the format of a document printed on paper; password – six to eight character word or phrase assigned to a user ID which must be used in combination with the user ID to access the SEDAR system; primary filer – the subscriber or user, as applicable, that transmits the first electronic filing in a particular project to the SEDAR server; Principal Contact – an individual designated by a filing service subscriber to administer the subscriber’s SEDAR operations; principal regulator – one of the securities regulatory authorities determined in accordance with MI 11-102, NP 11-202 or NP 11-203; profile number – a number assigned to each electronic filer that completes a filer profile. This is the number that uniquely identifies each filer; project – a collection of related electronic filings, each having a submission number; project number – the number which uniquely identifies each filing; recipient agency – one or more of a securities regulatory authority and/or market centre; reporting issuer – a defined term in the securities legislation of certain jurisdictions which refers to an issuer that is required to file certain prescribed public disclosure documents; secondary filer – a subscriber or user that is granted an access privilege by a primary filer in respect of a project initiated by the primary filer; SEDAR – the computer system for the transmission, receipt, acceptance, review and dissemination of documents filed in electronic format known as the System for Electronic Document Analysis and Retrieval; SEDAR Business Hours – any business day between 7:00 a.m. and 11:00 p.m. Eastern Standard Time or Eastern Daylight Savings Time, whichever is in effect in Toronto, Ontario, Canada; SEDAR Filer Profiles Database – a database of file profiles that have been transmitted to the SEDAR server; SEDAR Filer Software – the software provided under license to electronic filers and filing agents by the SEDAR Filing Service Contractor; SEDAR Filing Service Contractor – Filing Service Contractor - the ASC or a successor appointed by the securities regulatory authority to provide services in respect of electronic filings;

SEDAR Filings Database – a database of filings that have been transmitted to the SEDAR server; SEDAR server – the computer that is operated by the SEDAR Filing Service Contractor for the purpose of receiving and storing electronic filings; SEDAR System Fees - means those fees in the System Fee Rules that are charged in connection with SEDAR; Short Form Prospectus issuer – an issuer that participates in the short form prospectus distribution system; single jurisdiction issuer – an issuer in only one jurisdiction; submission – a single transmission of documents and/or electronic payment instructions from a filing service subscriber, a securities regulatory authority or a market centre to the SEDAR server; submission number – the number which identifies each submission made within a particular project; subscriber – a filing service subscriber; subscriber ID – an ID which identifies the person or company that has entered into an agreement with the SEDAR Filing Service Contractor and that is responsible for payment of all service charges incurred by its users; supporting document – a document required to be filed in support of, or otherwise in connection with, a filing made under securities legislation or securities directions; System Fee Rules - means Multilateral Instrument 13-102 System Fees for SEDAR and NRD, and similar regulations adopted in Alberta, Manitoba, Saskatchewan and Québec, which set out the system fees payable in connection with SEDAR and the National Registration Database (NRD); third party filer – a person or company required to file a document because of an activity relating to or affecting an issuer or the issuer’s securityholders; user - an individual permitted to access the SEDAR system using a subscriber’s ID and the SEDAR Filer Software; user ID – an ID which identifies the individuals who are authorized to access the SEDAR server as representatives of the subscriber; workspace – a partition of the SEDAR server hard drive that is completely confidential and is allocated to each user ID.

In this Manual, the following abbreviations are used to refer to the identified terms:
Jurisdictions
QC – Quebec
ON – Ontario
SK – Saskatchewan
AB – Alberta
BC – British Columbia
NS – Nova Scotia
NF – Newfoundland and Labrador
NB - New Brunswick
Other Terms
EDI – Electronic Data Interchange
LPS – Local Policy Statement
NI – National Instrument
NP – National Policy
PDF – Portable Document Format
XLSX – Excel Spreadsheet compatible with the Open XML format

Appendix B Categories and Types of Electronic Filings
Part I: Categories of Filings, Folders for Filing Types, Filing Types, Filing Subtypes and
Subheadings
Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres Investment Fund Issuers Securities Offerings General 1. Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101)  Preliminary  Pro Forma  Combined Preliminary and Pro Forma  Amendment to Preliminary or Combined Preliminary and Pro Forma  Final  Amendment to Final CSA
2. Stage 2 Fund Facts CSA
3. Long Form Prospectus
 Preliminary
 Pro Forma
 Combined Preliminary and Pro Forma
 Amendment to Preliminary or Combined Preliminary and Pro Forma  Final  Amendment to Final CSA
4. Initial Summary Disclosure Document
 Initial summary disclosure document
CSA
5. Other Filings CSA
Continuous
Disclosure
General 1. Material Change Report CSA
2. News Releases CSA
3. Interim Financial Statements/Report
 Interim Financial Statements/Report
 Amended Interim Financial Statements/Report CSA
4. Interim Financial Statements/Report – Non-Reporting Issuers
 Interim Financial Statements/Report – Non-Reporting Issuers  Amended Interim Financial Statements/Report – Non-Reporting Issuers CSA
5. Interim Financial Statements/Report – XBRL CSA
6. Interim Management Report of Fund Performance
 Interim Management Report of Fund Performance  Amended Interim Management Report of Fund Performance CSA
7. Annual Financial Statements
 Interim Financial Statements/Report
 Amended Interim Financial Statements/Report CSA
8. Annual Financial Statements – Non-Reporting Issuers
 Annual Financial Statements – Non-Reporting Issuers  Amended Annual Financial Statements – Non-Reporting Issuers CSA
9. Annual Financial Statements – XBRL CSA
10. Annual Management Report of Fund Performance
 Annual Management Report of Fund Performance  Amended Management Report of Fund Performance CSA
11. Annual Report CSA
12. Annual Information Form (NI 81-106)
 Annual Information Form
 Revised Annual Information Form
CSA
13. Notice of the Meeting and Record Date CSA
14. Management Proxy Materials CSA
15. Compliance Reports (NI 41-101) CSA
16. Compliance Reports (NI 81-102) CSA
17. Change of Auditor Filings CSA
18. Change in Year End Filings CSA
19. Change in Legal Structure Filings CSA
20. Material Documents CSA
21. Report of Management Company CSA
22. Proxy Voting Record of an Investment Fund CSA

Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres
23. Reports under NI 81-107 CSA
24. Other Filings CSA
Exemptions and Other
Applications
General 1. Applications (NI 81-102) CSA
2. Exemptions and Other Applications - In Connection with a Prospectus
Filing
CSA
Exempt
Market
Offerings and
Disclosure
General 1. Report of Exempt Distribution (NI 45-106)  Report of Exempt Distribution (45-106F1)  Amended Report of Exempt Distribution (45-106F1) CSA
2. Offering Memorandum (2.9 of NI 45-106)
 Offering Memorandum (2.9 of NI 45-106)
 Amended Offering Memorandum (2.9 of NI 45-106) CSA Québec 1. Disclosure Documents (QC Sec. 37.2 Reg.)  Disclosure Document (QC Sec. 37.2 Reg.)  Amended Disclosure Document (QC Sec. 37.2 Reg.) CSA Other Issuers Securities Offerings General 1. Short Form Prospectus (NI 44-101)  Marketing Materials for Bought Deal  Preliminary  Amendment to Preliminary  Final  Amendment to Final  Supplemented Short Form PREP Prospectus (NI 44-103) CSA
2. Shelf Prospectus - (NI 44-102)
 Preliminary
 Amendment to Preliminary
 Final
 Amendment to Final
 Prospectus Supplement
CSA
3. Prospectus – MJDS (NI 71-101)
 Preliminary
 Amendment to Preliminary
 Final
 Amendment to Final
 Prospectus Supplement
CSA
4. Long Form Prospectus
 Preliminary
 Pro Forma
 Amendment to Preliminary
 Final
 Amendment to Final
 Supplemented Long Form PREP Prospectus (NI 44-103) CSA
5. NI 44-101 Notice of Intent
 NI 44-101 Notice of Intent to Qualify
 NI 44-101 Withdrawal Notice
CSA
6. Rights Offering Material
 Initial Filing
 Amended Initial Filing
 Closing Filing
 Amended Closing Filing
 Rights Offering – Minimal Connection
 Amended Rights Offering – Minimal Connection CSA
7. Other Filings CSA
8. New Company Listing or Quotation
 Prospectus and Offerings
 Material Contracts and Reports
 Financial Statements and Information Documents  Resolutions and Articles  Market Centre Documents and Forms  Commission Documents and Forms  General MC

Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres
9. New Security Issue (Supplemental Listing)
 Prospectus and Offerings
 Material Contracts and Reports
 Resolutions and Articles
 Market Centre Documents and Forms
 Commission Documents and Forms
 General
MC
10. Additional Listing by Prospectus
 Prospectus and Offerings
 Material Contracts and Reports
 Resolutions
 Market Centre Documents and Forms
 Commission Documents and Forms
 General
MC
11. Private Placement
 Prospectus and Offerings
 Material Contracts and Reports
 Financial Statements and Information Documents  Resolutions and Articles  Market Centre Documents and Forms  Commission Documents and Forms  General MC
12. Shares for Debt (TSX-V)
 Material Contracts and Reports
 Financial Statements
 Market Centre Documents and Forms
 General
MC
13. Exchange of Securities - Amalgamation or Reorganization
 Material Contracts and Reports
 Financial Statements and Information Documents  Resolutions and Articles  Market Centre Documents and Forms  Commission Documents and Forms  General MC
14. Acquisition/Disposition of Assets - Share Transactions (TSX-V)
 Major Acquisition/Disposition (TSX-V)
 Minor Acquisition/Disposition (TSX-V)
 CPC Qualifying Transactions (TSX-V)
MC
15. CPC Prospectus (TSX-V)
 Preliminary
 Amendment to Preliminary
 Final
 Amendment to Final
 Market Centre Documents (TSX-V)
CSA MC
British
Columbia
1. IPO Prospectus (BC LPS 41-601,TSX-V)
 Preliminary
 Amendment to Preliminary
 Final
 Amendment to Final
CSA MC
2. Prospectus (BC LPS 41-601)
 Preliminary
 Amendment to Preliminary
 Final
 Amendment to Final
CSA
Quebec 1. Prospectus - Distribution outside Quebec (QC sec.12 Act) CSA Continuous Disclosure General 1. Material Change Report CSA MC
2. News Releases CSA MC
3. Interim Financial Statements/Report
 Interim Financial Statements/Report
 Amended Interim Financial Statements/Report CSA MC
4. Interim Financial Statements/Report – XBRL CSA

Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres
5. Interim Certificates (NI 52-109)
 Interim Certificates (52-109F2)
 Interim Certificates (52-109FV2)
 Refiled Interim Filings (52-109F2R)
 Interim Certificates (52-109F2-IPO/RTO)
CSA
6. Interim MD & A
 Interim MD & A
 Amended Interim MD & A
CSA
7. Interim Management Report of Fund Performance
 Interim Management Report of Fund Performance  Amended Interim Management Report of Fund Performance CSA
8. Annual Financial Statements
 Annual Financial Statements
 Amended Annual Financial
CSA
9. Annual Financial Statements – XBRL CSA MC
10. Annual Certificates (NI 52-109)
 Annual Certificates (52-190F1)
 Annual Certificates (52-109FV1)
 Refiled Annual Filings (52-109F1R)
 Annual Certificates (52-109F1-AIF)
 Annual Certificates (52-109F1-IPO/RTO)
CSA
11. Annual MD & A
 Annual MD & A
 Amended Annual MD & A
CSA
12. Annual Management Report of Fund Performance
 Annual Management Report of Fund Performance  Amended Annual Management Report of Fund Performance CSA
13. Annual Report CSA
14. Annual Information Forms
 Annual Information Forms
 Revised Annual Information Forms
CSA MC
15. Annual Information Form (NI 81-106)
 Annual Information Form
 Revised Annual Information Form
CSA MC
16. Compliance Reports (NI 41-101) CSA
17. Compliance Reports (NI 81-102) CSA
18. Resale of Securities (MI 45-102)
 Notice of Intention to Distribute Form 45-102F1 CSA
19. Technical Report(s) (NI 43-101)
 Technical Report
 Amended & Restated Technical Report
CSA
20. Oil and Gas Annual Disclosure (NI 51-101)
 Oil and Gas Annual Disclosure Filing
 Revised Oil and Gas Annual Disclosure Filing  Oil and Gas Interim Filing  Summary Report CSA
21. Notice of the Meeting and Record Date CSA
22. Notice of Securities Granted to Insiders NI 55-101 CSA MC
23. OTC Issuer Registration Statement MI 51-105 CSA
24. OTC Issuer Ceases to be an OTC Reporting Issuer 51-105F1 CSA MC
25. Notice of Promotional Activities 51-105F2 CSA MC
26. Personal Information Form and Authorization 51-105F3A CSA MC
27. Personal Information Form and Authorization 51-105F3B CSA MC
28. Notice – Issuer Ceases to be an OTC Reporting Issuer 51-105F4 CSA MC
29. Statement of Executive Compensation (Form 51-102F6) CSA MC
30. Management Proxy Materials CSA
31. Change of Auditor Filings CSA MC
32. Code of Conduct CSA MC
33. Change in Year End Filings CSA MC
34. Change in Corporate Structure Filings CSA MC
35. Change in Legal Structure Filings CSA MC
36. Change in Status Filings CSA

Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres
37. Business Acquisition Report CSA MC
38. Documents Affecting the Rights of Security Holders/Material
Documents
 Documents Affecting the Rights of Security Holders  Material Documents CSA MC
39. Short Form Offering Document CSA MC
40. Report of Management Company CSA MC
41. Proxy Voting Record of an Investment Fund CSA
42. Reports Under NI 81-107 CSA
43. For Regulator’s Use Only CSA
44. OTC Issuer Notice of Investor Relations (BCI 51-509) CSA
45. OTC Issuer Registration Statement (BCI 51-509) CSA MC
46. OTC Issuer Personal Information Form and Authorization (BCI 51-
509)
CSA MC
47. OTC Issuer Ceases to be a Reporting Issuer BCI 51-509) CSA MC
48. Other Filings CSA MC
49. Change in Transfer Agent Filings CSA MC
50. Change in address Filings (Head Office, Executive Office, Internet)
 General
MC
51. Change in Solicitor Filings
 General
MC
52. Dividend Declaration
 Cash Dividend
 Stock Dividend
MC
53. Filing Statement MC
54. Listing Application CSA MC
55. Promotional Material
 Information Documents
 General
MC
Exemptions and Other
Applications
General 1. Applications (NI 81-102) CSA
2. Exemptions and Other Applications – in connection with a Prospectus
Filing
CSA
Exempt
Market
Offerings and
Disclosure
General 1. Report of Exempt Distribution (NI 45-106)  Report of Exempt Distribution (45-106F1)  Amended Report of Exempt Distribution (45-106F1) CSA
2. Offering Memorandum (2.9 of NI 45-106)
 Offering Memorandum (2.9 of NI 45-106)
 Amended Offering Memorandum (2.9 of NI 45-106) CSA
3. Annual Financial Statements – Non-Reporting Issuers
 Annual Financial Statements – Non-Reporting Issuers  Amended Annual Financial Statements – Non-Reporting Issuers CSA
4. Notice of Use of Proceeds
 Notice of Use of Proceeds
 Amended Notice of Use of Proceeds
CSA
5. Crowdfunding – Offering Document (MI 45-108)
 Crowdfunding – Offering Document (MI 45-108)  Amended Crowdfunding – Offering Document (MI 45-108) CSA
6. Start-Up Crowdfunding – Offering Document
 Start-Up Crowdfunding – Offering Document
 Amended Start-Up Crowdfunding – Offering Document CSA
7. Start-Up Crowdfunding – Report of Exempt Distribution (Form 5)
 Start-Up Crowdfunding – Report of Exempt Distribution (Form 5)  Amended Start-Up Crowdfunding – Report of Exempt Distribution (Form 5) CSA Quebec 1. Disclosure Documents (QC Sec. 37.2 Reg.)  Disclosure Document (QC Sec. 37.2 Reg.)  Amended Disclosure Document (QC Sec. 37.2 Reg.) CSA Going Private / Related Party Transactions General 1. Going Private Transaction Filings CSA
2. Related Party Transaction Filings CSA
3. Other Filings CSA

Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres Securities Acquisitions General 1. Formal Issuer Bid Filings  Issuer Bid Circular  Notice of Change or Variation CSA
2. Exempt Issuer Bid Filings CSA
3. Other Filings CSA
4. Normal Course Issuer Bid
 Financial Statements and Information Documents  Market Centre Documents and Forms  General MC
5. Small Shareholder Selling and Purchase Arrangement
 Information Documents
 Resolutions
 General
MC
6. Redemption or Retraction of Securities
 Information Documents
 General
MC
7. Substantial Issuer Bid Filings (Stock Exchange or by Circular)
 Offering Documents
 Information Documents and Notices
 Material Contracts and Reports
 Resolutions and Articles
 Market Centre Documents and Forms
 Commission Documents and Forms
 General
MC
Other
Reviewable
Transactions
(Market
Centres)
General 1. Material Change Policy Filings (TSX-V)  Material Contracts and Reports  Financial Statements and Information Documents  Resolutions and Articles  Market Centre Documents and Forms  Commission Documents and Forms  General MC
2. Stock Option/Share Purchase Arrangement
 Material Contracts and Reports
 Information Documents
 Resolutions
 Market Centre Documents and Forms
 Commission Documents and Forms
 General
MC
3. Listed Capital Reporting Filings (Monthly Issued Shares and Option
Grants)
 Market Centre Documents and Forms
 General
MC
4. Dividend Reinvestment Plan/Stock Dividend
 Material Contracts and Reports
 Information Documents
 Resolutions
 General
MC
5. Stock Split
 Information Documents
 Resolutions and Articles
 General
MC
6. Consolidation
 Material Contracts and Reports
 Financial Statements and Information Documents  Resolutions and Articles  Market Centre Documents and Forms  General MC
7. Change in Name
 Information Documents
 Resolutions and Articles
 Market Centre Documents and Forms
 General
MC

Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres
8. Reclassification or Redesignation of Shares
 Material Contracts and Reports
 Information Documents
 Resolutions and Articles
 Market Centre Documents and Forms
 General
MC
9. Restricted Shares and Coattails Policy Filings
 Material Contracts and Reports
 Information Documents
 Resolutions and Articles
 General
MC
10. Shareholder Rights Plan Filings
 Material Contracts and Reports
 Information Documents
 Resolutions and Articles
 Commission Documents and Forms
 General
MC
11. Change in Articles/Memorandum
 Information Documents
 Resolutions and Articles
 General
MC
12. Voluntary Delisting or Dequotation
 Resolutions and Articles
 Market Centre Documents and Forms
 General
MC
13. Escrowed Shares - Release or Transfer
 Material Contracts and Reports
 Financial Statements
 Resolutions
 Market Centre Documents and Forms
 Commission Documents and Forms
 General
MC
14. Transfer of Shares to Non-Residents
 Material Contracts and Reports
 General
MC
15. Change in Directors/Officers Filings
 Market Centre Documents and Forms
 General
MC
16. Sustaining Fee Payment MC
17. Change in Market Centre Status
 Application for Change in Tier Status (TSX-V) MC
18. Acquisition/Disposition of Assets – Non-Share Transactions (TSX-V)
 Major Acquisition/Disposition (TSX-V)
 Minor Acquisition/Disposition (TSX-V)
 CPC Qualifying Transactions (TSX-V)
MC
British
Columbia
1. Loans/Bonus (TSX-V)
 Material Contracts and Reports
 General
MC
2. Management Remuneration/Investor Relations Agreements (TSX-V)
 Material Contracts and Reports
 Information Documents
 General
MC
Third
Party
Filers
Third Party
Filings
General 1. Take-over Bid Filings
 Take-over Bid Circular
 Directors' Circular
 Director's or Officer's Circular (Individual)  Notice of Change or Variation CSA
2. Exempt Take-over Bid Filings CSA
3. Securities Acquisition Filings (Early Warning)
 Press Release
 Early Warning Report
 Disqualification Report
CSA
4. Securities Acquisition Filings (Alternative Monthly Report) CSA
5. Proxy Solicitation Materials CSA

Category of
Filer
Category of
Filing
Folder FILING TYPE/FILING SUBTYPE Agency Type CSA= Securities Regulatory Authorities MC= Market Centres
6. Take-over Bid Filings (Stock Exchange or by Circular)
 Offering Documents
 Information Documents and Notices
 Material Contracts and Reports
 Resolutions and Articles
 Market Centre Documents and Forms
 Commission Documents and Forms
 General
CSA MC
7. Sale from Control Block
 Material Contracts and Reports
 Resolutions
 Market Centre Documents and Forms
 Commission Documents and Forms
 General
MC
British
Columbia

Acquisition of Shares (TSX-V)
 Resolutions and Articles
 Market Centre Documents and Forms
 General
MC

Part II: SEDAR Filing Types, Filing Subtypes and Document Types
Category of Filer: Investment Fund Issuers
Category of Filing: Securities Offerings
Folder for Filing Type: General
Filing Type: Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101) Filing Subtype: Preliminary Document Types:
Cover letter
Preliminary simplified prospectus - English
Preliminary simplified prospectus - French
Blacklined preliminary simplified prospectus - English Blacklined preliminary simplified prospectus - French Preliminary annual information form - English Preliminary annual information form - French Blacklined preliminary annual information form - English Blacklined preliminary annual information form - French Preliminary fund facts – English Preliminary fund facts – French Preliminary summary disclosure document – English Preliminary summary disclosure document - French Draft statement of financial position – English Draft statement of financial position – French Audited statement of financial position - English Audited statement of financial position - French Audited annual financial statements - English Audited annual financial statements – French Interim financial statements/report - English Interim financial statements/report - French Auditors’ comfort letter regarding audited financial statements Application for exemption from NI 81-101 Non-issuer’s submission to jurisdiction and appointment of agent Documents affecting the rights of securityholders (or amendment thereto) Declaration of trust (or amendment thereto) Management agreement (or amendment thereto) Portfolio advisory agreement (or amendment thereto) Custodian agreement (or amendment thereto) Sub-custodian agreement (or amendment thereto) Other material contracts (or amendment thereto) Confirmation re preliminary materials Personal information form and authorization Letter of withdrawal Other

Filing Type: Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101) Filing Subtype: Pro Forma Document Types:
Cover letter
Pro forma simplified prospectus - English
Pro forma simplified prospectus - French
Blacklined pro forma simplified prospectus - English Blacklined pro forma simplified prospectus - French Pro forma annual information form - English Pro forma annual information form - French Blacklined pro forma annual information form - English Blacklined pro forma annual information form – French Pro forma fund facts – English Pro forma fund facts – French Blacklined pro forma fund facts – English Blacklined pro forma fund facts – French Pro forma summary disclosure document – English Pro forma summary disclosure document - French Application for exemption from NI 81-101 NI 81-102 section 19.2(3) letter Non-issuer’s submission to jurisdiction and appointment of agent Documents affecting the rights of securityholders (or amendment thereto) Declaration of trust (or amendment thereto) Management agreement (or amendment thereto) Portfolio advisory agreement (or amendment thereto) Custodian agreement (or amendment thereto) Sub-custodian agreement (or amendment thereto) Other material contracts (or amendment thereto) Personal information form and authorization Other Filing Type: Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101) Filing Subtype: Combined Preliminary and Pro Forma Document Types:
Cover letter
Preliminary and pro forma simplified prospectus - English Preliminary and pro forma simplified prospectus - French Blacklined preliminary and pro forma simplified prospectus - English Blacklined preliminary and pro forma simplified prospectus - French Preliminary and pro forma annual information form - English Preliminary and pro forma annual information form - French Blacklined preliminary and pro forma annual information form - English Blacklined preliminary and pro forma annual information form - French Preliminary fund facts - English Preliminary fund facts - French Pro forma fund facts - English Pro forma fund facts - French Blacklined preliminary and pro forma fund facts – English Blacklined preliminary and pro forma fund facts – French Preliminary summary disclosure document – English Preliminary summary disclosure document – French Pro forma summary disclosure document – English Pro forma summary disclosure document - French NI 81-102 section 19.2 (3) letter Draft statement of financial position – English Draft statement of financial position – French Audited statement of financial position - English

Audited statement of financial position - French Audited annual financial statements - English Audited annual financial statements - French Interim financial statements/report -English Interim financial statements/report - French Auditors’ comfort letter regarding audited financial statements Application for exemption from NI 81-101 Non-issuer’s submission to jurisdiction and appointment of agent Documents affecting the rights of securityholders (or amendment thereto) Declaration of trust (or amendment thereto) Management agreement (or amendment thereto) Portfolio advisory agreement (or amendment thereto) Custodian agreement (or amendment thereto) Sub-custodian agreement (or amendment thereto) Other material contracts (or amendment thereto) Personal information form and authorization Confirmation re preliminary materials Letter of withdrawal Other Filing Type: Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101) Filing Subtype: Amendment to Preliminary or Combined Preliminary and Pro Forma Document Types:
Cover letter
Amendment to (or amended) preliminary simplified prospectus - English Amendment to (or amended) preliminary simplified prospectus - French Blacklined amended preliminary simplified prospectus - English Blacklined amended preliminary simplified prospectus - French Amendment to (or amended) preliminary annual information form - English Amendment to (or amended) preliminary annual information form - French Blacklined amended preliminary annual information form - English Blacklined amended preliminary annual information form - French Preliminary fund facts – English Preliminary fund facts – French Preliminary summary disclosure document – English Preliminary summary disclosure document – French Auditors’ comfort letter regarding audited financial statements Application for exemption from NI 81-101 Personal information form and authorization Confirmation re preliminary prospectus amendment materials Letter of withdrawal Other Filing Subtype: Final Document Types:
Cover letter
Final simplified prospectus - English
Final simplified prospectus - French
Blacklined final simplified prospectus - English Blacklined final simplified prospectus – French Final annual information form - English Final annual information form - French Blacklined final annual information form - English Blacklined final annual formation form – French Final fund facts – English Final fund facts – French Blacklined final fund facts – English

Blacklined final fund facts – French
Final summary disclosure document – English
Final summary disclosure document - French
Audited statement of financial position - English Audited statement of financial position - French Auditors’ comfort letter regarding audited financial statements Auditors’ consent letter Consent letter(s) of legal counsel Consent letter(s) of other expert(s) Application for exemption from NI 81-101 Declaration of trust (or amendment thereto) Management agreement (or amendment thereto) Portfolio advisory agreement (or amendment thereto) Custodian agreement (or amendment thereto) Sub-custodian agreement (or amendment thereto) Other material contracts (or amendment thereto) Report/valuation for which consent is required Non-issuer’s submission to jurisdiction and appointment of agent Certificate/notice(s) re proceeds of distribution Confirmation re final materials Personal information form and authorization Other undertakings Other Filing Type: Simplified Prospectus, Annual Information Form and Fund Facts (NI 81-101) Filing Subtype: Amendment to Final Document Types:
Cover letter
Amendment to (or amended) final simplified prospectus - English Amendment to (or amended) final simplified prospectus - French Blacklined amended final simplified prospectus - English Blacklined amended final simplified prospectus - French Amendment to (or amended) final annual information form - English Amendment to (or amended) final annual information form - French Blacklined amended final annual information form - English Blacklined amended final annual information form - French Amended and restated final fund facts – English Amended and restated final fund facts - French Blacklined amended final fund facts - English Blacklined amended final fund facts - French Preliminary fund facts – English Preliminary fund facts – French Final fund facts – English Final fund facts – French Blacklined final fund facts – English Blacklined final fund facts – French Amended and restated final summary disclosure document – English Amended and restated final summary disclosure document - French Preliminary summary disclosure document - English Preliminary summary disclosure document - French Final summary disclosure document - English Final summary disclosure document - French Auditors’ comfort letter regarding audited financial statements Auditors’ consent letter Consent letter(s) of legal counsel Consent letter(s) of other expert(s) Application for exemption from NI 81-101 Declaration of trust (or amendment thereto)

Management agreement (or amendment thereto)
Portfolio advisory agreement (or amendment thereto) Custodian agreement (or amendment thereto) Sub-custodian agreement (or amendment thereto) Other material contracts (or amendment thereto) Personal information form and authorization Confirmation re prospectus amendment materials Other Filing Type: Stage 2 Fund Facts Document Types:
Cover letter
Letter concerning recipient agency
Stage 2 fund facts - English
Stage 2 fund facts - French
Filing Type: Long Form Prospectus
Filing Subtype: Preliminary
Document Types:
Cover letter
Preliminary long form prospectus – English
Preliminary long form prospectus – French
Preliminary summary disclosure document - English Preliminary summary disclosure document - French Auditors’ comfort letter regarding audited financial statements Declaration of trust Management agreement Portfolio advisory agreement Custodianship agreement Sub-custodianship agreement Other material contracts Appraisal reports and certificates of qualification Confirmation re preliminary materials Personal information form and authorization Letter of withdrawal Other Filing Subtype: Pro Forma Document Types:
Cover letter
Pro forma long form prospectus – English
Pro forma long form prospectus – French
Blacklined pro forma long form prospectus – English Blacklined pro forma long form prospectus – French Pro forma summary disclosure document - English Pro forma summary disclosure document - French Seasoned prospectus certificate Declaration of trust Management agreement Portfolio advisory agreement Custodianship agreement Sub-custodianship agreement Other material contracts Appraisal reports and certificates of qualification

Certificate/notice(s) re proceeds of distribution Personal information form and authorization Other Filing Type: Long Form Prospectus Filing Subtype: Combined Preliminary and Pro Forma Document Types:
Cover letter
Preliminary and pro forma long form prospectus – English Preliminary and pro forma long form prospectus – French Blacklined preliminary and pro forma long form prospectus – English Blacklined preliminary and pro forma long form prospectus – French Preliminary summary disclosure document - English Preliminary summary disclosure document - French Pro forma summary disclosure document – English Pro forma summary disclosure document - French Statement of investment restrictions and practices – English Statement of investment restrictions and practices – French Seasoned prospectus certificate Auditors’ comfort letter regarding audited financial statements Declaration of trust Management agreement Portfolio advisory agreement Custodianship agreement Sub-custodianship agreement Other material contracts Appraisal reports and certificates of qualification Confirmation re preliminary materials Certificate/notice(s) re proceeds of distribution Personal information form and authorization Letter of withdrawal Other Filing Subtype: Amendment to Preliminary or Combined Preliminary and Pro Forma Document Types:
Cover letter
Amendment to (or amended) preliminary long form prospectus – English Amendment to (or amended) preliminary long form prospectus – French Blacklined amended preliminary long form prospectus – English Blacklined amended preliminary long form prospectus – French Preliminary summary disclosure document – English Preliminary summary disclosure document - French Auditors’ comfort letter regarding audited financial statements Auditors’ consent letter Consent letter(s) of legal counsel Consent letter(s) of other expert(s) Confirmation re preliminary prospectus amendment materials Letter of withdrawal Other

Filing Type: Long Form Prospectus
Filing Subtype: Final
Document Types:
Cover letter
Final long form prospectus – English
Final long form prospectus – French
Blacklined final long form prospectus - English Blacklined final long form prospectus - French Final summary disclosure document - English Final summary disclosure document - French Issuer’s submission to jurisdiction and appointment of agent Non-issuer’s submission to jurisdiction and appointment of agent Auditors’ comfort letter regarding audited financial statements Auditors’ consent letter Consent letter(s) of legal counsel Consent letter(s) of other expert(s) Declaration of trust Management agreement Portfolio advisory agreement Custodianship agreement Sub-custodianship agreement Underwriting or agency agreement Other material contracts Certificate/notice(s) re proceeds of distribution Confirmation re final materials Personal information form and authorization Other undertakings Other Filing Subtype: Amendment to Final Document Types:
Cover letter
Amendment to (or amended) final long form prospectus – English Amendment to (or amended) final long form prospectus – French Blacklined amended final long form prospectus – English Blacklined amended final long form prospectus – French Amended and restated final summary disclosure document - English Amended and restated final summary disclosure document - French Auditors’ comfort letter regarding audited financial statements Auditors’ consent letter Consent letter(s) of legal counsel Consent letter(s) of other expert(s) Declaration of trust Management agreement Portfolio advisory agreement Custodianship agreement Sub-custodianship agreement Other material contracts Confirmation re prospectus amendment materials Personal information form and authorization Other

Filing Type: Initial Summary Disclosure Document Filing Subtype: Initial Summary Disclosure Document Document Types:
Cover letter
Initial summary disclosure document – English Initial summary disclosure document – French Other Filing Type: Other Filings Document Types:
Other
Category of Filer: Investment Fund Issuers
Category of Filing: Continuous Disclosure
Folder for Filing Type: General
Filing Type: Material Change Report
Document Types:
Cover letter
Letter concerning recipient agency
Material change report – English
Material change report – French
Material change report (amended) – English
Material change report (amended) – French
Material document(s)
Material document(s) (amended)
Other
Filing Type: News Releases
Document Types:
Cover letter
Letter concerning recipient agency
News release – English
News release – French
Other
Filing Type: Interim Financial Statements/Report Filing Subtype: Interim Financial Statements/Report Document Types:
Cover letter
Letter concerning recipient agency
Interim financial statements/report – English Interim financial statements/report – French

Certified statement of portfolio transactions – English Certified statement of portfolio transactions – French Certificate regarding statement of portfolio transactions Other Filing Type: Interim Financial Statements/Report Filing Subtype: Amended Interim Financial Statements/Report Document Types:
Cover letter
Letter concerning recipient agency
Interim financial statements/report (amended) – English Interim financial statements/report (amended) – French Other Filing Type: Interim Financial Statements/Report – Non Reporting Issuers Filing Subtype: Interim Financial Statements/Report – Non-Reporting Issuers Document Types:
Cover letter
Letter concerning recipient agency
Interim financial statements/report – English Interim financial statements/report – French Other Filing Subtype: Amended Interim Financial Statements/Report – Non-Reporting Issuers Document Types:
Cover letter
Letter concerning recipient agency
Interim financial statements/report (amended) – English Interim financial statements/report (amended) – French Other Filing Type: Interim Financial Statements/Report – XBRL Document Types:
Cover letter
Letter concerning recipient agency
Interim Financial Statements/report - XBRL – Instance document Interim Financial Statements/report - XBRL – Calculation linkbase Interim Financial Statements/report - XBRL – Presentation linkbase Interim Financial Statements/report - XBRL – Label linkbase Interim Financial Statements/report - XBRL – Taxonomy extension Interim Financial Statements/report - XBRL – Reference linkbase Interim Financial Statements/report - XBRL – Definition linkbase Other

Filing Type: Interim Management Report of Fund Performance Filing Subtype: Interim Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance - English Management report of fund performance - French Other Filing Subtype: Amended Interim Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance (amended) - English Management report of fund performance (amended) - French Other Filing Type: Annual Financial Statements Filing Subtype: Annual Financial Statements Document Types:
Cover letter
Letter concerning recipient agency
Audited annual financial statements – English Audited annual financial statements – French Certified annual statement of portfolio transactions – English Certified annual statement of portfolio transactions – French Certificate regarding statement of portfolio transactions Valuation report(s) for labour sponsored funds Other Filing Subtype: Amended Annual Financial Statements Document Types:
Cover letter
Letter concerning recipient agency
Audited annual financial statements (amended) – English Audited annual financial statements (amended) – French Valuation report(s) for labour sponsored funds (amended) Other Filing Type: Annual Financial Statements – Non-Reporting Issuers Filing Subtype: Annual Financial Statement – Non-Reporting Issuers Document Types:
Cover letter
Letter concerning recipient agency
Annual financial statements – English
Annual financial statements – French
Other
Filing Subtype: Amended Annual Financial Statements – Non-Reporting Issuers Document Types:
Cover letter
Letter concerning recipient agency

Annual financial statements (amended) – English Annual financial statements (amended) – French Other Filing Type: Annual Financial Statements – XBRL Document Types:
Cover letter
Letter concerning recipient agency
Annual Financial Statements - XBRL – Instance document Annual Financial Statements - XBRL – Calculation linkbase Annual Financial Statements - XBRL – Presentation linkbase Annual Financial Statements - XBRL – Label linkbase Annual Financial Statements - XBRL – Taxonomy extension Annual Financial Statements - XBRL – Reference linkbase Annual Financial Statements - XBRL – Definition linkbase Other Filing Type: Annual Management Report of Fund Performance Filing Subtype: Annual Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance – English Management report of fund performance – French Other Filing Subtype: Amended Annual Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance (amended) – English Management report of fund performance (amended) – French Other Filing Type: Annual Report Document Types:
Cover letter
Letter concerning recipient agency
Annual report – English
Annual report – French
Annual report (amended) – English
Annual report (amended) – French
Other
Filing Type: Annual Information Form (NI 81-106) Filing Subtype: Annual Information Form Document Types:
Cover letter
Letter concerning recipient agency

Annual Information Form – English
Annual Information Form – French
Material documents
Documents incorporated by reference not previously filed Other Filing Type: Annual Information Form (NI 81-106) Filing Subtype: Revised Annual Information Form Document Types:
Cover letter
Letter concerning recipient agency
Annual Information Form (revised) – English
Annual Information Form (revised) – French
Material documents
Documents incorporated by reference not previously filed Other Filing Type: Notice of the Meeting and Record Date Document Types:
Cover letter
Letter concerning recipient agency
Notice of the meeting and record date – English Notice of the meeting and record date – French Notice of the meeting and record date (amended) – English Notice of the meeting and record date (amended) – French Other Filing Type: Management Proxy Materials Document Types:
Cover letter
Letter concerning recipient agency
Notice of meeting – English Notice of meeting – French Notice of meeting (amended) – English Notice of meeting (amended) – French Management information circular – English Management information circular – French Management information circular (amended) – English Management information circular (amended) - French Form of proxy – English Form of proxy – French Certificate re dissemination Report of voting results Report of voting results (amended) Other

Filing Type: Compliance Reports (NI 41-101)
Document Types:
Cover letter
Letter concerning recipient agency
Compliance report(s) – section 14.6
Other
Filing Type: Compliance Reports (NI 81-102)
Document Types:
Cover letter
Compliance report(s) – section 12.1
Auditors’ report(s) – section 12.1
Custodian report(s) – section 6.7
Other
Filing Type: Change of Auditor Filings
Document Types:
Cover letter
Letter concerning recipient agency
Notice
Letter from former auditor
Letter from successor auditor
Other
Filing Type: Change In Year End Filings
Document Types:
Cover letter
Letter concerning recipient agency
Notice
Notice (amended)
Supplement to the notice
Supplement to the notice (amended)
Other
Filing Type: Change in Legal Structure Filings Document Types:
Cover letter
Letter concerning recipient agency
Notice
Notice (amended)
Other

Filing Type: Material Documents
Document Types:
Cover letter
Letter concerning recipient agency
Material document – English
Material document - French
Material document (amended) – English
Material document (amended) - French
Other
Filing Type: Report of Management Company
Document Types:
Cover letter
Letter concerning recipient agency
Form (AB, ON–Form 38, BC–Form 81-903F, SK–Form 36, NS–Form 39, NF–Form 37) Form (amended) (AB,ON–Form38,BC–Form81-903F,SK–Form36,NS–Form39,NF–Form37) Other Filing Type: Proxy Voting Record of an Investment Fund Document Types:
Cover letter
Letter concerning recipient agency
Proxy voting record of an investment fund
Proxy voting record of an investment fund (amended) Other Filing Type: Reports under NI 81-107 Document Types:
Cover letter
Letter concerning recipient agency
Report by independent review committee – English Report by independent review committee – French Report by independent review committee (amended) – English Report by independent review committee (amended) – French Manager – transactions in securities of related issuers – English Manager – transactions in securities of related issuers – French Manager – transactions in securities of related issuers (amended) – English Manager – transactions in securities of related issuers (amended) – French Manager – transactions under part 4 of NI 81-102 – English Manager – transactions under part 4 of NI 81-102 – French Manager – transactions under part 4 of NI 81-102 (amended) – English Manager – transactions under part 4 of NI 81-102 (amended) – French Manager – notification under part 5 of NI 81-107 – English Manager – notification under part 5 of NI 81-107 – French Manager – notification under part 5 of NI 81-107 (amended) – English Manager – notification under part 5 of NI 81-107 (amended) – French Other

Filing Type: Other Filings
Document Types:
Other
Category of Filer: Investment Fund Issuers
Category of Filing: Exempt Market Offerings and Disclosure Folder for Filing Type: General Filing Type: Report of Exempt Distribution (NI 45-106) Filing Subtype: Report of Exempt Distribution (45-106F1) Document Types:
Cover letter
Letter concerning recipient agency
Report of exempt distribution excluding Schedule 1 of 45-106F1
Schedule 1 of report of exempt distribution (45-106F1)
Other
Filing Subtype: Amended Report of Exempt Distribution (45-106F1) Document Types:
Cover letter
Letter concerning recipient agency
Report of exempt distribution excluding Schedule 1 of 45-106F1 (amended)
Schedule 1 of report of exempt distribution (45-106F1) (amended)
Other
Filing Type: Offering Memorandum (2.9 of NI 45-106) Filing Subtype: Offering Memorandum (2.9 of NI 45-106) Document Types:
Cover letter
Letter concerning recipient agency
Offering memorandum 2.9 of NI 45-106 – English Offering memorandum 2.9 of NI 45-106 – French Other Filing Subtype: Amended Offering Memorandum (2.9 of NI 45-106) Document Types:
Cover letter
Letter concerning recipient agency
Offering memorandum 2.9 of NI 45-106 (amended) – English Offering memorandum 2.9 of NI 45-106 (amended) – French Other

Category of Filer: Investment Fund Issuers
Category of Filing: Exempt Market Offerings and Disclosure Folder for Filing Type: Québec Filing Type: Disclosure Documents (QC Sec. 37.2 Reg.) Filing Subtype: Disclosure Document (QC Sec. 37.2 Reg.) Document Types:
Cover letter
Letter concerning recipient agency
Disclosure document – English
Disclosure document – French
Other
Filing Subtype: Amended Disclosure Document (QC Sec. 37.2 Reg.)
Document Types:
Cover letter
Letter concerning recipient agency
Disclosure document (amended) – English
Disclosure document (amended) – French
Other
Category of Filer: Investment Fund Issuers
Category of Filing: Exemptions and Other Applications Folder for Filing Type: General Filing Type: Applications (NI 81-102) Document Types:
Cover letter
Letter concerning recipient agency
Application letter
Exhibits and other supporting material
Statement of verification
Draft decision document(s) – English
Draft decision document(s) – French
Draft order(s)
Other
Filing Type: Exemptions and Other Applications – In Connection With a Prospectus Filing Document Types:
Cover letter
Application letter
Exhibits and other supporting material
Statement of verification
Draft order(s)
Other

Category of Filer: Other Issuers
Category of Filing: Securities Offerings
Folder for Filing Type: General
Filing Type: Short Form Prospectus (NI 44-101) Filing Subtype: Marketing Materials for Bought Deal Document Types:
Cover letter
Marketing materials – English
Marketing materials – French
Confidential marketing materials – English
Confidential marketing materials – French
Other
Filing Subtype: Preliminary
Document Types:
Cover letter
Confirmation re preliminary materials
Underwriters undertaking
Preliminary short form prospectus – English
Preliminary short form prospectus – French
Qualification certificate
Documents incorporated by reference not previously filed – English Documents incorporated by reference not previously filed – French Auditors’ comfort letter regarding audited financial statements Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendment thereto) Underwriting or agency agreement Material contracts – Credit agreements Other material contract(s) Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Oil and gas reports Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Consent letter(s) of other expert(s) Report/valuation (other than tech. reports) Letter (opting out of the PREP procedures) Letter (opting into the PREP procedures) Letter (opting into the shelf procedures) Personal information form and authorization Letter of withdrawal Other

Filing Type: Short Form Prospectus (NI 44-101) Filing Subtype: Amendment to Preliminary Document Types:
Cover letter
Confirmation re preliminary prospectus amendment materials Underwriters undertaking Amendment to (or amended) preliminary short form prospectus – English Amendment to (or amended) preliminary short form prospectus – French Blacklined amended preliminary short form prospectus - English Blacklined amended preliminary short form prospectus – French Auditors’ comfort letter regarding audited financial statements Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Consent letter(s) of other expert(s) Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendment thereto) Underwriting or agency agreement Personal information form and authorization Material contracts – Credit agreements Other supporting documents Letter (opting out of the PREP procedures) Letter (opting into the PREP procedures) Letter (opting into the shelf procedures) Letter of withdrawal Other Filing Type: Short Form Prospectus (NI 44-101) Filing Subtype: Final Document Types:
Cover letter
Confirmation re final materials
Final short form prospectus – English
Final short form prospectus – French
Blacklined final short form prospectus – English Blacklined final short form prospectus – French Documents incorporated by reference not previously filed – English Documents incorporated by reference not previously filed – French Issuer’s submission to jurisdiction and appointment of agent Non-issuer’s submission to jurisdiction and appointment of agent Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel

Consent letter(s) of other expert(s)
Credit supporter’s consent
Marketing materials – English
Marketing materials – French
Confidential marketing materials – English
Confidential marketing materials – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Oil and gas reports Other reports and valuations Underwriting or agency agreement Material contracts - Credit agreements Other material contract(s) Certificate/notice(s) re proceeds of distribution Form IV (NF) Evidence of approvals from other regulatory authorities (ON) Undertaking in respect of credit supporter disclosure Undertaking in respect of continuous disclosure Undertaking to file documents and material contracts Undertaking in respect of restricted securities Undertaking re breakdown of sales and payment of fees (BC) Personal information form and authorization Documents affecting rights of securityholders Communication with Exchange Letter (opting out of the PREP procedures) Other undertakings Other Filing Type: Short Form Prospectus (NI 44-101) Filing Subtype: Amendment to Final Document Types:
Cover letter
Confirmation re prospectus amendment materials Amendment to (or amended) final short form prospectus – English Amendment to (or amended) final short form prospectus – French Blacklined amended final short form prospectus - English Blacklined amended final short form prospectus – French Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Credit supporter’s consent Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French

Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/ valuation (other than tech. reports) Oil and gas reports Waiver and undertaking re amendment in Quebec Other supporting documents Personal information form and authorization Letter (opting out of the PREP procedures) Material contracts - Credit agreements Other Filing Type: Short Form Prospectus (NI 44-101) Filing Subtype: Supplemented Short Form PREP Prospectus (NI 44-103) Document Types:
Cover letter
Supplemented short form PREP prospectus – English Supplemented short form PREP prospectus – French Documents incorporated by reference not previously filed – English Documents incorporated by reference not previously filed – French Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Underwriting or agency agreement Material contracts - Credit agreements Other material contracts not previously filed Other Filing Type: Shelf Prospectus (NI 44-102) Filing Subtype: Preliminary Document Types:
Cover letter
Confirmation re preliminary materials
Underwriters undertaking
Preliminary short form prospectus – English
Preliminary short form prospectus – French
Qualification certificate
Documents incorporated by reference not previously filed – English Documents incorporated by reference not previously filed – French Auditors’ comfort letter regarding audited financial statements Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendment thereto) Underwriting or agency agreement Material contracts - Credit agreements Other material contract(s)

Marketing materials – English
Marketing materials – French
Confidential marketing materials – English
Confidential marketing materials – French
Oil and gas reports
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Consent letter(s) of other expert(s) Report/valuation (other than tech. reports) Personal information form and authorization Letter (opting out of the shelf procedures) Letter of withdrawal Other Filing Type: Shelf Prospectus (NI 44-102) Filing Subtype: Amendment to Preliminary Document Types:
Cover letter
Confirmation re preliminary prospectus amendment materials Underwriters undertaking Amendment to (or amended) preliminary short form prospectus – English Amendment to (or amended) preliminary short form prospectus – French Blacklined amended preliminary short form prospectus - English Blacklined amended preliminary short form prospectus – French Auditors’ comfort letter regarding audited financial statements Documents affecting rights of securityholders – Trust indentures re debt Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Underwriting or agency agreement Material contracts - Credit agreements Other material contract(s) Consent letter(s) of other expert(s) Other supporting documents Personal information form and authorization Letter (opting out of the shelf procedures) Letter of withdrawal Other

Filing Type: Shelf Prospectus (NI 44-102)
Filing Subtype: Final
Document Types:
Cover letter
Confirmation re final materials
Final short form prospectus – English
Final short form prospectus – French
Blacklined final short form prospectus – English Blacklined final short form prospectus – French Documents incorporated by reference not previously filed – English Documents incorporated by reference not previously filed – French Undertaking in respect of credit supporter disclosure Undertaking to file documents and material contracts Undertaking in respect of restricted securities Undertaking re novel derivatives or asset-backed securities Issuer’s submission to jurisdiction and appointment of agent Non-issuer’s submission to jurisdiction and appointment of agent Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Credit supporter’s consent Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Oil and gas reports Report/valuation (other than tech. reports) Underwriting or agency agreement Material contracts - Credit agreements Other material contract(s) Certificate/notice(s) re proceeds of distribution Form IV (NF) Evidence of approvals from other regulatory authorities (ON) Undertaking re breakdown of sales and payment of fees (BC) Communication with Exchange Documents affecting rights of securityholders Personal information form and authorization Other undertakings Other

Filing Type: Shelf Prospectus (NI 44-102)
Filing Subtype: Amendment to Final
Document Types:
Cover letter
Confirmation re prospectus amendment materials Amendment to (or amended) final short form prospectus – English Amendment to (or amended) final short form prospectus – French Blacklined amended final short form prospectus – English Blacklined amended final short form prospectus – French Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Credit supporter’s consent Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/ valuation (other than tech. reports) Oil and gas reports Waiver and undertaking re amendment in Quebec Material contracts - Credit agreements Other supporting documents Personal information form and authorization Other Filing Type: Shelf Prospectus (NI 44-102) Filing Subtype: Prospectus Supplement Document Types:
Cover letter
Prospectus supplement – English
Prospectus supplement – French
Draft shelf prospectus supplement – English
Draft shelf prospectus supplement – French
Documents incorporated by reference not previously filed – English Documents incorporated by reference not previously filed – French Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Credit supporter’s consent Marketing materials – English

Marketing materials – French
Confidential marketing materials – English
Confidential marketing materials – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Certificate/notice(s) re proceeds of distribution Underwriting or agency agreements (or amendment thereto) Material contracts - Credit agreements Other material contract(s) Undertaking re breakdown of sales and payment of fees (BC) Other Filing Type: Prospectus – MJDS (NI 71-101) Filing Subtype: Preliminary Document Types:
Cover letter
Preliminary prospectus – English
Preliminary prospectus – French
Documents incorporated by reference
Eligibility certificate
U.S. registration statement and exhibits
Documents affecting rights of securityholders – Trust indentures re debt Consent letter(s) of expert(s) Powers of attorney Confirmation re preliminary materials Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Consent letter(s) of other experts “Green sheet” (ON, QC) Letter of withdrawal Material contracts - Credit agreements Other Filing Subtype: Amendment to Preliminary Document Types:
Cover letter
Amendment to (or amended) preliminary prospectus – English Amendment to (or amended) preliminary prospectus – French

Auditors’ comfort letter regarding audited financial statements Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Documents affecting rights of securityholders – Trust indentures re debt Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Powers of attorney Confirmation re preliminary prospectus amendment materials Letter of withdrawal Material contracts - Credit agreements Other Filing Type: Prospectus – MJDS (NI 71-101) Filing Subtype: Final Document Types:
Cover letter
Final prospectus – English
Final prospectus – French
Blacklined final prospectus – English
Blacklined final prospectus – French
Auditors’ comfort letter regarding audited financial statements Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Powers of attorney Issuer’s submission to jurisdiction and appointment of agent

Underwriters’ certificate
Certificate re effective use of U.S. registration statement Underwriting or agency agreement Material contracts - Credit agreements Other material contract(s) Certificate/notice(s) re proceeds of distribution Confirmation re final materials Undertaking re breakdown of sales and payment of fees (BC) Undertaking to pay fee (NS) Other undertakings Other Filing Type: Prospectus – MJDS (NI 71-101) Filing Subtype: Amendment to Final Document Types:
Cover letter
Amendment to (or amended) final prospectus – English Amendment to (or amended) final prospectus – French Auditors’ comfort letter regarding audited financial statements Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Powers of attorney Confirmation re prospectus amendment materials Waiver and undertaking re amendment in Quebec Material contracts - Credit agreements Other Filing Subtype: Prospectus Supplement Document Types:
Cover letter
Prospectus supplement – English
Prospectus supplement – French
Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s)

Marketing materials – English
Marketing materials – French
Confidential marketing materials – English
Confidential marketing materials – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Underwriting or agency agreement Other material contract(s) Powers of attorney Material contracts - Credit agreements Other Filing Type: Long Form Prospectus Filing Subtype: Preliminary Document Types:
Cover letter
Confirmation re preliminary materials
Preliminary long form prospectus – English
Preliminary long form prospectus – French
Preliminary plan summary scholarship plan – English Preliminary plan summary scholarship plan – French Preliminary detailed plan disclosure – scholarship plan – English Preliminary detailed plan disclosure – scholarship plan - French Auditors’ comfort letter regarding audited financial statements Draft escrow agreement Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendment thereto) Underwriting or agency agreement Material contracts - Credit agreements Other material contract(s) Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Oil and gas reports Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Consent letter(s) of other expert(s) Report/valuation (other than tech. reports) Personal information form and authorization “Green sheet” (QC) Letter (opting out of the PREP procedures) Letter (opting into the PREP procedures) Letter of withdrawal Other

Filing Type: Long Form Prospectus
Filing Subtype: Pro Forma
Document Types:
Cover letter
Pro forma long form prospectus – English
Pro forma long form prospectus – French
Blacklined pro forma long form prospectus – English Blacklined pro forma long form prospectus – French Pro forma plan summary - scholarship plan - English Pro forma plan summary - scholarship plan - French Blacklined pro forma plan summary - scholarship plan - English Blacklined pro forma plan summary - scholarship plan - French Pro forma detailed plan disclosure - scholarship plan - English Pro forma detailed plan disclosure - scholarship plan - French Blacklined pro forma detailed plan disclosure - scholarship plan – English Blacklined pro forma detailed plan disclosure - scholarship plan - French Auditors’ comfort letter regarding audited financial statements Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendment thereto) Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Consent letter(s) of other expert(s) Material contracts - Credit agreements Other material contract(s) Seasoned prospectus certificate Report/valuation (other than tech. reports) Certificate/notice(s) re proceeds of distribution Personal information form and authorization “Green sheet” (QC) Other Filing Subtype: Amendment to Preliminary Document Types:
Cover letter
Amendment to (or amended) preliminary long form prospectus – English Amendment to (or amended) preliminary long form prospectus – French Blacklined amended preliminary long form prospectus – English Blacklined amended preliminary long form prospectus – French Amendment to (or amended) preliminary plan summary – scholarship plan - E Amendment to (or amended) preliminary plan summary – scholarship plan - F Blacklined amended preliminary plan summary – scholarship plan - E Blacklined amended preliminary plan summary – scholarship plan - F Amend. to (or amended) prelim. detailed plan disclosure – schol. plan – E Amend. to (or amended) prelim. detailed plan disclosure – schol. plan - F Blacklined amend. prelim. detailed plan disclosure – schol. plan - E Blacklined amend. prelim. detailed plan disclosure – schol. plan - F Auditors’ comfort letter regarding audited financial statements Documents affecting rights of securityholders – Trust indentures re debt

Marketing materials – English
Marketing materials – French
Confidential marketing materials – English
Confidential marketing materials – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Consent letter(s) of other expert(s) Confirmation re preliminary prospectus amendment materials Personal information form and authorization Letter (opting out of the PREP procedures) Letter (opting into the PREP procedures) Letter of withdrawal Material contracts - Credit agreements Other Filing Type: Long Form Prospectus Filing Subtype: Final Document Types:
Cover letter
Confirmation re final materials
Final long form prospectus – English
Final long form prospectus – French
Blacklined final long form prospectus – English Blacklined final long form prospectus – French Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendment thereto) Final plan summary - scholarship plan - English Final plan summary scholarship plan - French Blacklined final plan summary - scholarship plan - English Blacklined final plan summary - scholarship plan - French Final detailed plan disclosure - scholarship plan - English Final detailed plan disclosure - scholarship plan - French Blacklined final detailed plan disclosure - scholarship plan - English Blacklined final detailed plan disclosure - scholarship plan - French Auditors’ comfort letter regarding audited financial statements Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Credit supporter’s consent Consent letter(s) of other expert(s) Underwriters’ certificate Underwriting or agency agreement Escrow agreement Material contracts - Credit agreements Other material contract(s) Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French

Oil and gas reports
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Certificate/notice(s) re proceeds of distribution Issuer’s submission to jurisdiction and appointment of agent Non-issuer’s submission to jurisdiction and appointment of agent Ruling on QSSP eligibility (QC) Undertaking re breakdown of sales and payment of fees (BC) Undertaking in respect of credit supporter disclosure Undertaking in respect of continuous disclosure Undertaking to file documents and material contracts Undertaking in respect of restricted securities Communication with Exchange Personal information form and authorization Letter (opting into the PREP procedures) Letter (opting out of the PREP procedures) Other undertakings Other Filing Type: Long Form Prospectus Filing Subtype: Amendment to Final Document Types:
Cover letter
Amendment to (or amended) final long form prospectus – English Amendment to (or amended) final long form prospectus – French Blacklined amended final long form prospectus – English Blacklined amended final long form prospectus – French Amended and restated final plan summary – scholarship plan - English Amended and restated final plan summary - scholarship plan - French Blacklined amended final plan summary – scholarship plan - English Blacklined amended final plan summary - scholarship plan - French Amend. to (or amended) final detailed plan disclosure – schol. plan – E Amend. to (or amended) final detailed plan disclosure – schol. plan - F Blacklined amend. final detailed plan disclosure – schol. plan - E Blacklined amend. final detailed plan disclosure – schol. plan - F Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Report/valuation (other than tech. reports) Oil and gas reports Auditors’ comfort letter regarding audited financial statements

Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Credit supporter’s consent Consent letter(s) of other expert(s) Confirmation re prospectus amendment materials Waiver and undertaking re amendment in Quebec Personal information form and authorization Letter (opting out of the PREP procedures) Material contracts - Credit agreements Other Filing Type: Long Form Prospectus Filing Subtype: Supplemented Long Form PREP Prospectus (NI 44-103) Document Types:
Cover letter
Supplemented long form PREP prospectus – English Supplemented long form PREP prospectus – French Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter of issuer’s legal counsel Consent letter of underwriters’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Underwriters’ certificate Underwriting or agency agreement Undertaking re breakdown of sales and payment of fees (BC) “Green sheet” (QC) Material contracts - Credit agreements Other Filing Type: NI 44-101 Notice of Intent Filing Subtype: NI 44-101 Notice of Intent to Qualify Document Types:
Cover letter
Letter concerning recipient agency
NI 44-101 Notice of intent to qualify – English NI 44-101 Notice of intent to qualify – French NI 44-101 Notice of intent to qualify (amended) – English NI 44-101 Notice of intent to qualify (amended) – French Other Filing Subtype: NI 44-101 Withdrawal Notice Document Types:
Cover letter
Letter concerning recipient agency
NI 44-101 Withdrawal notice – English
NI 44-101 Withdrawal notice – French
NI 44-101 Withdrawal notice (amended) – English

NI 44-101 Withdrawal notice (amended) – French Other Filing Type: Rights Offering Material Filing Subtype: Initial Filing Document Types:
Cover letter
Letter concerning recipient agency
Notice of Rights Offering (Form 45-106F14) – English Notice of Rights Offering (Form 45-106F14) – French Rights Offering Circular (Form 45-106F15) – English Rights Offering Circular (Form 45-106F15) – French News Release – English News Release – French Managing Dealer Agreement Standby Commitment Agreement Other Filing Subtype: Amended Initial Filing Document Types:
Cover letter
Letter concerning recipient agency
Notice of Rights Offering (Form 45-106F14) (amended) – English Notice of Rights Offering (Form 45-106F14) (amended) – French Rights Offering Circular (Form 45-106F15) (amended) – English Rights Offering Circular (Form 45-106F15) (amended) – French News Release (amended) – English News Release (amended) – French Managing Dealer Agreement (or amendment thereto) Standby Commitment Agreement (or amendment thereto) Other Filing Subtype: Closing Filing Document Types:
Cover letter
Letter concerning recipient agency
Closing News Release – English
Closing News Release – French
Other
Filing Subtype: Amended Closing Filing
Document Types:
Cover letter
Letter concerning recipient agency
Closing News Release (amended) – English
Closing News Release (amended) – French
Other

Filing Subtype: Rights Offering – Minimal Connection Document Types:
Cover letter
Letter concerning recipient agency
Notice of Minimal Connection – English
Notice of Minimal Connection – French
Certificate of Issuer – English
Certificate of Issuer – French
Materials Sent to Securityholders – English
Materials Sent to Securityholders – French
Other
Filing Subtype: Amended Rights Offering – Minimal Connection Document Types:
Cover letter
Letter concerning recipient agency
Notice of Minimal Connection (amended) – English Notice of Minimal Connection (amended) – French Certificate of Issuer (amended) – English Certificate of Issuer (amended) – French Materials Sent to Securityholders (amended) – English Materials Sent to Securityholders (amended) – French Other Filing Type: Other Filings Document Types:
Other
Filing Type: New Company Listing or Quotation Document Types:
Cover letter
Filing Subtype: Prospectus and Offerings
Document Types:
Preliminary prospectus - English
Preliminary prospectus - French
Asset and earnings coverage calculations
Dilution calculation
Amendment to (or amended) prospectus - English Amendment to (or amended) prospectus - French Auditors’ negative assurance letter Auditors’ consent letter Final prospectus - English Final prospectus - French Offering memorandum “Green sheet” Other - Prospectus and offerings

Filing Subtype: Material Contracts and Reports Document Types:
Bonus plan
Business plan
Coattail agreement
Dividend reinvestment plan
Escrow agreement
Geological or engineering report
Independent evaluation or appraisal
Investor relations agreement
Management agreement
Pooling agreement
Property acquisition agreement
Purchase agreement
Share option plan
Share option subscription agreement
Share purchase plan
Shareholder agreement
Sponsorship agreement
Trust agreement
Trust indenture
Underwriting or agency agreement
Voting trust agreement
Warrant indenture
Other - Material contracts and reports
Filing Type: New Company Listing or Quotation Filing Subtype: Financial Statements and Information Documents Document Types:
Annual report - English
Annual report - French
Audited annual financial statements - English Audited annual financial statements - French Audited financial forecast Form of proxy - English Form of proxy - French Interim financial statements - English Interim financial statements - French Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting – French Pro forma financial statements Other - Financial statements and information documents Filing Subtype: Resolutions and Articles Document Types:
Banking resolution
Board resolution
Certificate and Articles of Amendment
Certificate and Articles of Incorporation
Company By-Laws
Shareholders resolution

Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Listing agreement
Listing statement/listing application
Personal information forms
Share distribution form
Statutory declaration
Other - Market Centre documents and forms
Filing Type: New Company Listing or Quotation Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Certificate of good standing
Fairness opinion
Letter from CDS confirming CUSIP number
Letter from company (confirmation, undertaking, etc.)
Letter from registrar
Letter from transfer agent
Letter from trustee confirming shares held in escrow Letter from underwriter (undertaking, minimum distribution, etc.) List of shareholders from registrar (Trust company) Opinion of legal counsel Sponsorship acknowledgment letter Other – General Filing Type: New Security Issue (Supplemental Listing) Document Types:
Cover letter
Filing Subtype: Prospectus and Offering
Document Types:
Preliminary prospectus - English
Preliminary prospectus - French
Asset and earnings coverage calculations
Dilution calculation
Amendment to (or amended) prospectus - English Amendment to (or amended) prospectus - French Auditors’ negative assurance letter Auditors’ consent letter Final prospectus - English Final prospectus - French Rights offering circular—English

Rights offering circular—French
“Green sheet”
Other - Prospectus and offerings
Filing Type: New Security Issue (Supplemental Listing) Filing Subtype: Material Contracts and Reports Document Types:
Coattail agreement
Escrow agreement
Geological or engineering report
Shareholder agreement
Sponsorship agreement
Trust agreement
Trust indenture
Underwriting or agency agreement
Voting trust agreement
Warrant indenture
Other - Material contracts and reports
Filing Subtype: Resolutions and Articles
Document Types:
Banking resolution
Board resolution
Certificate and Articles of Amendment
Shareholders resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Personal information forms
Share distribution form
Other-Market Centre documents and forms
Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Letter from CDS confirming CUSIP number
Letter from company (confirmation, undertaking, etc.)
Letter from transfer agent
Letter from underwriter (undertaking, minimum distribution, etc.)
List of shareholders from registrar (Trust company) Opinion of legal counsel Sponsorship acknowledgment letter Other – General

Filing Type: Additional Listing By Prospectus Document Types:
Cover letter
Filing Subtype: Prospectus and Offerings
Document Types:
Preliminary prospectus - English
Preliminary prospectus - French
Amendment to (or amended) prospectus - English Amendment to (or amended) prospectus - French Auditors’ negative assurance letter Auditors’ consent letter Asset and earnings coverage calculations Dilution calculation Final prospectus - English Final prospectus - French “Green sheet” Other - Prospectus and offerings Filing Type: Additional Listing By Prospectus Filing Subtype: Material Contracts and Reports Document Types:
Coattail agreement
Escrow agreement
Geological or engineering report
Pooling agreement
Property acquisition agreement
Purchase agreement
Shareholder agreement
Sponsorship agreement
Trust agreement
Trust indenture
Underwriting or agency agreement
Warrant indenture
Other - Material contracts and reports
Filing Subtype: Resolutions
Document Types:
Board resolution
Shareholders resolution Special resolution Other – Resolutions Filing Subtype: Market Centre Documents and Forms Document Types:
Personal information forms
Share distribution form
Other - Market Centre documents and forms

Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Letter from company (confirmation, undertaking, etc.)
Letter from transfer agent
Letter from underwriter (undertaking, minimum distribution, etc.)
Opinion of legal counsel
Other – General
Filing Type: Private Placement
Document Types:
Cover letter
Filing Subtype: Prospectus and Offerings
Document Types:
Preliminary prospectus - English
Preliminary prospectus - French
Asset and earnings coverage calculations
Dilution calculation
Amendment to (or amended) prospectus - English Amendment to (or amended) prospectus - French Auditors’ negative assurance letter Auditors’ consent letter Final prospectus - English Final prospectus - French Offering memorandum Term sheet Other - Prospectus and offerings Filing Type: Additional Listing By Prospectus Filing Subtype: Material Contracts and Reports Document Types:
Coattail agreement
Escrow agreement
Finders fee agreement
Geological or engineering report
Management agreement
Pooling agreement
Property acquisition agreement
Purchase agreement
Shareholder agreement
Special warrant indenture
Sponsorship agreement
Subscription agreement
Trust agreement
Trust indenture
Underwriting or agency agreement
Voting trust agreement

Warrant indenture
Other - Material contracts and reports
Filing Type: Additional Listing By Prospectus Filing Subtype: Financial Statements and Information Documents Document Types:
Annual report - English
Annual report - French
Audited annual financial statements—English
Audited annual financial statements—French
Audited financial forecast
Form of proxy - English
Form of proxy - French
Interim financial statements - English
Interim financial statements - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Pro forma financial statements Other - Financial statements and information documents Filing Subtype: Resolutions and Articles Document Types:
Board resolution
Certificate and Articles of Amendment
Shareholders resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Amendment of warrant terms (TSX-V)
Corporate placee registration form
Declaration of certified filing (TSX-V)
Expedited private placement filing form
Notice of private placement
Personal information forms
Prior notice of private placement (Price protection) Private placement questionnaire & undertaking Private placement summary form (TSX-V) Request to reset share limit for expedited filings Other - Market Centre documents and forms Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Fairness opinion
Independent evaluation or appraisal
Letter from company (confirmation, undertaking, etc.)

Opinion of legal counsel
Other – General
Filing Type: Shares for Debt (TSX-V)
Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Debt settlement agreement
Escrow agreement
Other - Material contracts and reports
Filing Subtype: Financial Statements
Document Types:
Annual report
Audited annual financial statements
Audited financial forecast
Current accounts payable list
Interim financial statements
Pro forma financial statements
Other - Financial statements
Filing Type: Shares for Debt (TSX-V)
Filing Subtype: Market Centre Documents and Forms Document Types:
Shares for debt filing form
Declaration of certified filing
Certification
Other - Market Centre documents and forms
Filing Subtype: General
Document Types:
Fairness opinion
Independent evaluation or appraisal Other - General Filing Type: Exchange of Securities - Amalgamation or Reorganization Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Bonus plan
Business plan
Coattail agreement
Escrow agreement
Geological or engineering report
Independent evaluation or appraisal

Investor relations agreement
Management agreement
Pooling agreement
Property acquisition agreement
Purchase agreement
Share option plan
Share option subscription agreement
Share purchase plan
Shareholder agreement
Sponsorship agreement
Sponsor report
Trust agreement
Trust indenture
Underwriting or agency agreement
Voting trust agreement
Warrant indenture
Other - Material contracts and reports
Filing Subtype: Financial Statements and Information Documents Document Types:
Annual report - English
Annual report - French
Audited annual financial statements - English Audited annual financial statements - French Audited financial forecast Filing statement Form of proxy – English Form of proxy - French Interim financial statements - English Interim financial statements - French Letter of transmittal - English Letter of transmittal - French Management proxy/information circular - English Management proxy/information circular - French Notice of guaranteed delivery - English Notice of guaranteed delivery - French Notice of meeting - English Notice of meeting - French Plan of arrangement circular - English Plan of arrangement circular - French Other - Financial statements and information documents Filing Type: Exchange of Securities - Amalgamation or Reorganization Filing Subtype: Resolutions and Articles Document Types:
Banking resolution
Board resolution
Certificate and Articles of Amalgamation
Certificate and Articles of Amendment
Certificate and Articles of Incorporation
Company By-Laws
Shareholders resolution
Special resolution
Other - Resolutions and Articles

Filing Type: Exchange of Securities - Amalgamation or Reorganization Filing Subtype: Market Centre Documents and Forms Document Types:
Listing agreement
Listing statement/listing application
Personal information forms
Share distribution form
Statutory declaration
Other - Market Centre documents and forms
Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Certificate of good standing
Fairness opinion
Letter from CDS confirming CUSIP number
Letter from company (confirmation, undertaking, etc.)
Letter from transfer agent
Letter from underwriter (undertaking, minimum distribution, etc.)
List of shareholders from registrar (Trust company) Opinion of legal counsel Sponsorship acknowledgment letter Other – General Filing Type: Acquisition/Disposition of Assets – Share Transactions (TSX-V) Filing Subtype: Major Acquisition/Disposition (TSX-V) Document Types:
Cover letter
Annual report
Audited financial statements for acquisition target Audited financial forecast Auditors’ consent letter Board resolution Consent letter from board of acquisition target Consent letter(s) of other expert(s) Escrow agreement Fairness opinion Filing statement Financial plan Finders fee agreement Geological or engineering report Independent evaluation or appraisal Interim financial statements Material contracts Opinion of legal counsel Pro forma financial statements Property acquisition agreement Purchase agreement Scrutineer’s report

Shareholders consents
Special resolution
Sponsor report
Title opinion
Transaction summary form
Other
Filing Type: Acquisition/Disposition of Assets – Share Transactions (TSX-V) Filing Subtype: Minor Acquisition/Disposition (TSX-V) Document Types:
Cover letter
Board resolution
Directors’ resolutions
Expedited acquisition filing form
Fairness opinion
Filing statement
Finders fee agreement
Geological or engineering report
Property acquisition agreement
Purchase agreement
Request to reset share limit for expedited filings Special resolution Transaction summary form Other Filing Subtype: CPC Qualifying Transactions (TSX-V) Document Types:
Cover letter
Financial statements for acquisition target
Auditors’ consent letter
Business plan
Confirmation of mailing
Consent letter from board of acquisition target Consent letter(s) of other expert(s) Directors’ resolutions Escrow agreement Fairness opinion Information circular Material contracts Opinion of legal counsel Pro forma balance sheet Sponsorship acknowledgement form Sponsor report Technical reports and certifications of qualification Other Filing Type: CPC Prospectus (TSX-V) Filing Subtype: Preliminary Document Types:
Cover letter
Preliminary prospectus – English
Preliminary prospectus - French
Auditors’ comfort letter regarding audited financial statements Material contracts

Auditors’ consent letter
Statutory declaration
Draft escrow agreement
Personal information form and authorization
Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendments thereto) Underwriting or agency agreement Confirmation re preliminary materials Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Letter of withdrawal Material contracts - Credit agreements Other Filing Type: CPC Prospectus (TSX-V) Filing Subtype: Amendment to Preliminary Document Types:
Cover letter
Amendment to (or amended) preliminary prospectus – English Amendment to (or amended) preliminary prospectus - French Blacklined amended preliminary prospectus – English Blacklined amended preliminary prospectus - French Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Auditors’ comfort letter regarding audited financial statements Material contracts Material contracts - Credit agreements Statutory declaration Consent letter(s) of issuer’s legal counsel Consent letter(s) of underwriters’/agents’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Confirmation re preliminary prospectus amendment materials Personal information form and authorization Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Letter of withdrawal Other Filing Subtype: Final Document Types:
Cover letter
Final prospectus – English
Final prospectus - French
Blacklined final prospectus – English
Blacklined final prospectus - French
Auditors’ consent letter
Consent letter(s) of issuer’s legal counsel
Consent letter(s) of underwriters’/agents’ legal counsel Consent letter(s) of other legal counsel Consent letter(s) of other expert(s) Directors’ resolutions Underwriters’ certificate

Documents affecting rights of securityholders – Trust indentures re debt Documents affecting rights of securityholders (or amendments thereto) Underwriting or agency agreement Escrow agreement Material contracts - Credit agreements Other material contracts Company’s undertaking to provide material contracts on request Undertaking to pay fees (BC) Certificate/notice(s) re proceeds of distribution Confirmation re final materials Personal information form and authorization Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Other undertakings Other Filing Type: CPC Prospectus (TSX-V) Filing Subtype: Amendment to Final Document Types:
Cover letter
Amendment to (or amended) final prospectus – English Amendment to (or amended) final prospectus - French Blacklined amended final prospectus – English Blacklined amended final prospectus - French Documents affecting rights of securityholders – Trust indentures re debt Auditors’ consent letter Consent letter(s) of issuer’s legal counsel Consent letter(s) of underwriters’/agents’ legal counsel Consent letter(s) of other legal counsel Material contracts Material contracts - Credit agreements Statutory declaration Confirmation re prospectus amendment materials Personal information form and authorization Marketing materials – English Marketing materials – French Confidential marketing materials – English Confidential marketing materials – French Other Filing Subtype: Market Centre Documents (TSX-V) Document Types:
Cover letter
Undertaking
Application for listing (TSX-V)
Confirmation of trustee holding shares under escrow agreement Escrow undertaking (second tier escrow) Letter from transfer agent Listing agreement (TSX-V) Certificate and Articles of Incorporation Documents affecting rights of securityholders – Trust indentures re debt Material contracts Material contracts - Credit agreements Opinion of legal counsel

Public distribution summary (TSX-V)
Sponsor report
Securityholders list
Stock option plan and specimen stock option agreement Other Category of Filer: Other Issuers Category of Filing: Securities Offerings Folder for Filing Type: British Columbia Filing Type: IPO Prospectus (BC LPS 41-601, TSX-V) Filing Subtype: Preliminary Document Types:
Cover letter
Preliminary prospectus
Blacklined preliminary prospectus
Audited statement of costs
Auditor’s negative assurance letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Valuation or appraisal opinion/report Material contracts Statutory declaration Escrow agreement Pooling agreement Earnings coverage calculations Underwriting or agency agreement Other Filing Subtype: Amendment to Preliminary Document Types:
Cover letter
Amendment to (or amended) preliminary prospectus Auditors’ consent letter Auditors’ negative assurance letter Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s)

Consent of other professional person (named)
Material contracts
Statutory declaration
Underwriting or agency agreement
Other
Filing Type: IPO Prospectus (BC LPS 41-601, TSX-V) Filing Subtype: Final Document Types:
Cover letter
Final prospectus
Blacklined final prospectus
Audited statement of costs
Auditors’ consent letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Valuation or appraisal opinion/report Consent of other professional person (named) Undertaking to pay fees (under section 22 of the Regulations) Underwriting or agency agreement Other Filing Subtype: Amendment to Final Document Types:
Cover letter
Amendment to (or amended) prospectus
Auditors’ consent letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Consent of other professional person (named) Material contracts Statutory declaration Underwriting or agency agreement Other

Filing Type: Prospectus (BC LPS 41-601)
Filing Subtype: Preliminary
Document Types:
Cover letter
Preliminary prospectus
Blacklined preliminary prospectus
Audited statement of costs
Auditors’ negative assurance letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Valuation or appraisal opinion/report Material contracts Statutory declaration Escrow agreement Underwriting or agency agreement Other Filing Subtype: Amendment to Preliminary Document Types:
Cover letter
Amendment to (or amended) preliminary prospectus Auditors’ consent letter Auditors’ negative assurance letter Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Consent of other professional person (named) Material contracts Statutory declaration Underwriting or agency agreement Other

Filing Type: Prospectus (BC LPS 41-601)
Filing Subtype: Final
Document Types:
Cover letter
Final prospectus
Blacklined final prospectus
Audited statement of costs
Auditors’ consent letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Valuation or appraisal opinion/report Consent of other professional person (named) Undertaking to pay fees under section 22 of the Regulations (BC) Underwriting or agency agreement Other Filing Subtype: Amendment to Final Document Types:
Cover letter
Amendment to (or amended) prospectus
Auditors’ consent letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Consent of other professional person (named) Material contracts Statutory declaration Underwriting or agency agreement Other

Category of Filer: Other Issuers
Category of Filing: Securities Offerings
Folder for Filing Type: Québec
Filing Type: Prospectus – Distribution outside Québec (QC SEC. 12 ACT) Document Types:
Cover letter
Preliminary prospectus – English
Preliminary prospectus – French
Information document (QC sec. 115 Reg.)
Prospectus – English
Prospectus – French
Marketing materials – English
Marketing materials – French
Confidential marketing materials – English
Confidential marketing materials – French
Other
Category of Filer: Other Issuers
Category of Filing: Continuous Disclosure
Folder for Filing Type: General
Filing Type: Material Change Report
Document Types:
Cover letter
Letter concerning recipient agency
Material change report – letter from foreign issuer Material change report – English Material change report – French Material change report – foreign language Material change report (amended) – English Material change report (amended) – French Material change report (amended) – Foreign language Translation certificate Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) Material document(s) Material documents(s) (amended) Other

Filing Type: News Releases
Document Types:
Cover letter
Letter concerning recipient agency
News release – English
News release – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) Offering material – English Offering material - French Other Filing Type: Interim Financial Statements/Report Filing Subtype: Interim Financial Statements/Report Document Types:
Cover letter
Letter concerning recipient agency
Interim financial statements/report- letter from foreign issuer Interim financial statements/report – English Interim financial statements/report – French Interim financial statements/report – foreign language Translation certificate Financial statements of operating entity Financial statements of RTO acquirer Calculation of earnings coverage Other Filing Subtype: Amended Interim Financial Statements/Report Document Types:
Cover letter
Letter concerning recipient agency
Interim financial statements/report (amended) – English Interim financial statements/report (amended) – French Interim financial statements/report (amended) – foreign language Translation certificate Other Filing Type: Interim Financial Statements/Report – XBRL Document Types:
Cover letter
Letter concerning recipient agency
Interim Financial Statements/report - XBRL – Instance document Interim Financial Statements/report - XBRL – Calculation linkbase Interim Financial Statements/report - XBRL – Presentation linkbase Interim Financial Statements/report - XBRL – Label linkbase Interim Financial Statements/report - XBRL – Taxonomy extension Interim Financial Statements/report - XBRL – Reference linkbase

Interim Financial Statements/report - XBRL – Definition linkbase Other Filing Type: Interim Certificates (NI 52-109) Filing Subtype: Interim certificates (52-109F2) Document Types:
Cover letter
Letter concerning recipient agency
52-109F2 – Certification of interim filings – CEO (E) 52-109F2 – Certification of interim filings – CFO (E) 52-109F2 – Certification of interim filings – CEO (F) 52-109F2 – Certification of interim filings – CFO (F) Other Filing Subtype: Interim certificates (52-109FV2) Document Types:
Cover letter
Letter concerning recipient agency
52-109FV2 – Certification of interim filings – CEO (E) 52-109FV2 – Certification of interim filings – CFO (E) 52-109FV2 – Certification of interim filings – CEO (F) 52-109FV2 – Certification of interim filings – CFO (F) Other Filing Subtype: Refiled interim filings (52-109F2R) Document Types:
Cover letter
Letter concerning recipient agency
52-109F2R - Certification of refiled interim filings – CEO (E) 52-109F2R - Certification of refiled interim filings – CFO (E) 52-109F2R - Certification of refiled interim filings – CEO (F) 52-109F2R - Certification of refiled interim filings – CFO (F) Other Filing Subtype: Interim certificates (52-109F2-IPO/RTO) Document Types:
Cover letter
Letter concerning recipient agency
52-109F2-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CEO (E) 52-109F2-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CFO (E) 52-109F2-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CEO (F) 52-109F2-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CFO (F) Other

Filing Type: Interim MD & A
Filing Subtype: Interim MD & A
Document Types:
Cover letter
Letter concerning recipient agency
MD&A – letter from foreign issuer
MD&A – English
MD&A – French
MD&A supplement – English
MD&A supplement – French
MD&A – foreign language
MD&A of an operating entity
Translation certificate
Other
Filing Subtype: Amended Interim MD & A
Cover letter
Letter concerning recipient agency
MD&A (amended) – letter from foreign issuer
MD&A (amended) – English
MD&A (amended) – French
MD&A supplement (amended) – English
MD&A supplement (amended) – French
MD&A (amended) – foreign language
Translation certificate
Other
Filing Type: Interim Management Report of Fund Performance Filing Subtype: Interim Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance – English Management report of fund performance – French Other Filing Subtype: Amended Interim Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance (amended) – English Management report of fund performance (amended) – French Other Filing Type: Annual Financial Statements Filing Subtype: Annual Financial Statements Document Types:
Cover letter
Letter concerning recipient agency
Annual financial statements – letter from foreign issuer Audited annual financial statements – English

Audited annual financial statements – French
Audited annual financial statements – foreign language Translation certificate ON Form 13-502F1 (Class 1 Reporting Issuers – Participation Fee) ON Form 13-502F2 (Class 2 Reporting Issuers – Participation Fee) ON Form 13-502F2A (Adjustment of Fee for Class 2 Reporting Issuers) ON Form 13-502F3A (Class 3A Reporting Issuers –Participation Fee) ON Form 13-502F3B (Class 3B Reporting Issuers – Participation Fee) ON Form 13-502F6 Subsidiary Entity Exemption Notice Financial statements of operating entity Financial statements of RTO acquirer Valuation report(s) for labour sponsored funds Calculation of earnings coverage Other Filing Subtype: Amended Annual Financial Statements Document Types:
Cover letter
Letter concerning recipient agency
Audited annual financial statements (amended) – English Audited annual financial statements (amended) – French Audited annual financial statements (amended) – foreign language Translation certificate Valuation report(s) for labour sponsored funds (amended) Other Filing Type: Annual Financial Statements – XBRL Document Types:
Cover letter
Letter concerning recipient agency
Annual Financial Statements - XBRL – Instance document Annual Financial Statements - XBRL – Calculation linkbase Annual Financial Statements - XBRL – Presentation linkbase Annual Financial Statements - XBRL – Label linkbase Annual Financial Statements - XBRL – Taxonomy extension Annual Financial Statements - XBRL – Reference linkbase Annual Financial Statements - XBRL – Definition linkbase Other Filing Type: Annual Certificates (NI 52-109) Filing Subtype: Annual certificates (52-109F1) Document Types:
Cover letter
Letter concerning recipient agency
52-109F1 – Certification of annual filings – CEO (E) 52-109F1 – Certification of annual filings – CFO (E) 52-109F1 – Certification of annual filings – CEO (F) 52-109F1 – Certification of annual filings – CFO (F) Other Filing Subtype: Annual certificates (52-109FV1) Document Types:
Cover letter
Letter concerning recipient agency

52-109FV1 – Certification of annual filings – CEO (E) 52-109FV1 – Certification of annual filings – CFO (E) 52-109FV1 – Certification of annual filings – CEO (F) 52-109FV1 – Certification of annual filings – CFO (F) Other Filing Type: Annual Certificates (NI 52-109) Filing Subtype: Refiled annual filings (52-109F1R) Document Types:
Cover letter
Letter concerning recipient agency
52-109F1R - Certification of refiled annual filings – CEO (E) 52-109F1R - Certification of refiled annual filings – CFO (E) 52-109F1R - Certification of refiled annual filings – CEO (F) 52-109F1R - Certification of refiled annual filings – CFO (F) Other Filing Subtype: Annual certificates (52-109F1-AIF) Document Types:
Cover letter
Letter concerning recipient agency
52-109F1-AIF - Certification of filings with voluntarily filed AIF - CEO(E) 52-109F1-AIF - Certification of filings with voluntarily filed AIF - CFO(E) 52-109F1-AIF - Certification of filings with voluntarily filed AIF - CEO(F) 52-109F1-AIF - Certification of filings with voluntarily filed AIF - CFO(F) Other Filing Type: Annual Certificates (NI 52-109) Filing Subtype: Annual certificates (52-109F1-IPO/RTO) Document Types:
Cover letter
Letter concerning recipient agency
52-109F1-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CEO (E) 52-109F1-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CFO (E) 52-109F1-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CEO (F) 52-109F1-IPO/RTO –IPO/RTO/ Becoming Non-venture issuer – CFO (F) Other Filing Type: Annual MD & A Filing Subtype: Annual MD & A Document Types:
Cover letter
Letter concerning recipient agency
MD&A – letter from foreign issuer
MD&A – English
MD&A – French
MD&A supplement – English
MD&A supplement – French
MD&A – foreign language
MD&A of an operating entity
Translation certificate
Other

Filing Type: Annual MD & A
Filing Subtype: Amended Annual MD & A
Document Types:
Cover letter
Letter concerning recipient agency
MD&A (amended) – letter from foreign issuer
MD&A (amended) – English
MD&A (amended) – French
MD&A supplement (amended) – English
MD&A supplement (amended) – French
MD&A (amended) – foreign language
Translation certificate
Other
Filing Type: Annual Management Report of Fund Performance Filing Subtype: Annual Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance – English Management report of fund performance – French Other Filing Subtype: Amended Annual Management Report of Fund Performance Document Types:
Cover letter
Letter concerning recipient agency
Management report of fund performance (amended) – English Management report of fund performance (amended) – French Other Filing Type: Annual Report Document Types:
Cover letter
Letter concerning recipient agency
Annual report – letter from foreign issuer
Annual report – English
Annual report – French
Annual report (amended) – English
Annual report (amended) – French
Annual report – foreign language
Annual report (amended) – foreign language
Translation certificate
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) Other

Filing Type: Annual Information Forms
Filing Subtype: Annual Information Forms
Document Types:
Cover letter
Letter concerning recipient agency
Annual information form – letter from foreign issuer Annual information form – English Annual information form – French Annual report on Form 10-K – English Annual report on Form 10-K – French Annual report on Form 10-KSB- English Annual report on Form 10-KSB- French Annual report on Form 20-F – English Annual report on Form 20-F – French Annual information form – foreign language Translation certificate Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) Material document(s) Documents incorporated by reference not previously filed Other Filing Subtype: Revised Annual Information Forms Document Types:
Cover letter
Letter concerning recipient agency
Revised annual information form – letter from foreign issuer Revised annual information form – English Revised annual information form – French Revised annual report on Form 10-K – English Revised annual report on Form 10-K – French Revised annual report on Form 10-KSB- English Revised annual report on Form 10-KSB – French Revised annual report on Form 20-F – English Revised annual report on Form 20-F – French Revised annual information form – foreign language Translation certificate Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French

Filing Type: Annual Information Forms
Filing Subtype: Revised Annual Information Forms Document Types:
Cover letter
Letter concerning recipient agency
Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) Material document(s) Documents incorporated by reference not previously filed Other Filing Type: Annual Information Form (NI 81-106) Filing Subtype: Annual Information Form Document Types:
Cover letter
Letter concerning recipient agency
Annual information form – English
Annual information form – French
Material documents
Documents incorporated by reference not previously filed Other Filing Subtype: Revised Annual Information Form Document Types:
Cover letter
Letter concerning recipient agency
Annual information form (revised) – English
Annual information form (revised) – French
Material documents
Documents incorporated by reference not previously filed Other Filing Type: Compliance Reports (NI 41-101) Document Types:
Cover letter
Letter concerning recipient agency
Custodian report(s) – section 14.6
Other
Filing Type: Compliance Reports (NI 81-102)
Document Types:
Cover letter
Letter concerning recipient agency
Custodian report(s) – section 6.7
Other

Filing Type: Resale of Securities (MI 45-102) Filing Subtype: Notice of Intention to Distribute Form 45-102F1 Document Types:
Cover letter
Letter concerning recipient agency
Notice Form 45-102F1
Other
Filing Type: Technical Report(s) (NI 43-101) Filing Subtype: Technical Report Document Types:
Cover letter
Letter concerning recipient agency
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) - French Other Filing Subtype: Amended & Restated Technical Report Document Types:
Cover letter
Letter concerning recipient agency
Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) - English Consent of qualified person (NI 43-101) – French Other Filing Type: Oil and Gas Annual Disclosure (NI 51-101) Filing Subtype: Oil and Gas Annual Disclosure Filing Document Types:
Cover letter
Letter concerning recipient agency
Oil and gas annual disclosure filing (Forms 51-101 F1, F2 & F3) Oil and gas annual disclosure filing (Form 51-101 F1) Oil and gas annual disclosure filing (Form 51-101 F2) Oil and gas annual disclosure filing (Form 51-101 F3) Notice of filing of 51-101 F1 Information (Form 51-101 F4) Notice of Ceasing to Engage in Oil and Gas Activities (Form 51-101F5) Other

Filing Type: Oil and Gas Annual Disclosure (NI 51-101) Filing Subtype: Revised Oil and Gas Annual Disclosure Filing Document Types:
Cover letter
Letter concerning recipient agency
Revised oil and gas annual disclosure filing (Forms 51-101 F1, F2 & F3) Revised oil and gas annual disclosure filing (Form 51-101 F1) Revised oil and gas annual disclosure filing (Form 51-101 F2) Revised oil and gas annual disclosure filing (Form 51-101 F3) Other Filing Subtype: Oil and Gas Interim Filing Document Types:
Cover letter
Letter concerning recipient agency
Interim oil and gas disclosure filing
Other
Filing Subtype: Summary Report
Document Types:
Cover letter
Letter concerning recipient agency
Summary of oil and gas report
Other
Filing Type: Notice of the Meeting and Record Date Document Types:
Cover letter
Letter concerning recipient agency
Notice of the meeting and record date – English Notice of the meeting and record date – French Notice of the meeting and record date (amended) – English Notice of the meeting and record date (amended) – French Other Filing Type: Notice of Securities Granted to Insiders NI 55-101 Document Types:
Cover letter
Letter concerning recipient agency
Notice of securities granted to insiders – English Notice of securities granted to insiders – French Notice of securities granted to insiders (amended) – English Notice of securities granted to insiders (amended) – French Other

Filing Type: OTC Issuer Registration Statement MI 51-105 Document Types:
Cover letter
Letter concerning recipient agency
OTC issuer registration statement MI 51-105 - English OTC issuer registration statement MI 51-105 - French OTC issuer registration statement MI 51-105 (amended) – English OTC issuer registration statement MI 51-105 (amended) - French Other Filing Type: OTC Issuer Ceases to be an OTC Reporting Issuer 51-105F1 Document Types:
Cover letter
Letter concerning recipient agency
Notice OTC issuer ceases to be a reporting issuer 51-105F1 - English Notice OTC issuer ceases to be a reporting issuer 51-105F1 - French Notice OTC issuer ceases to be a reporting issuer 51-105F1 (amended) – E Notice OTC issuer ceases to be a reporting issuer 51-105F1 (amended) - F Other Filing Type: Notice of Promotional Activities 51-105F2 Document Types:
Cover letter
Letter concerning recipient agency
Notice of promotional activities 51-105F2 - English Notice of promotional activities 51-105F2 - French Notice of promotional activities 51-105F2 (amended) - English Notice of promotional activities 51-105F2 (amended) - French Other Filing Type: Personal Information Form and Authorization 51-105F3A Document Types:
Cover letter
Letter concerning recipient agency
Personal information form and authorization 51-105F3A - English Personal information form and authorization 51-105F3A - French Personal information form and authorization 51-105F3A (amended) - English Personal information form and authorization 51-105F3A (amended) - French Other Filing Type: Personal Information Form and Authorization 51-105F3B Document Types:
Cover letter
Letter concerning recipient agency
Personal information form and authorization 51-105F3B - English Personal information form and authorization 51-105F3B - French

Personal information form and authorization 51-105F3B (amended) - English Personal information form and authorization 51-105F3B (amended) - French Other Filing Type: Notice Issuer Ceases to be an OTC Reporting Issuer 51-105F4 Document Types:
Cover letter
Letter concerning recipient agency
Notice issuer ceases to be an OTC reporting issuer 51-105F4 - English Notice issuer ceases to be an OTC reporting issuer 51-105F4 - French Notice issuer ceases to be an OTC reporting issuer 51-105F4 (amended) - E Notice issuer ceases to be an OTC reporting issuer 51-105F4 (amended) - F Other Filing Type: Statement of Executive Compensation Document Types:
Cover letter
Letter concerning recipient agency
Statement of Executive Compensation (Form 51-102F6) - English Statement of Executive Compensation (Form 51-102F6) - French Statement of Executive Compensation (Form 51-102F6V) – English Statement of Executive Compensation (Form 51-102F6V) – French Other Filing Type: Management Proxy Materials Document Types:
Cover letter
Letter concerning recipient agency
Management proxy materials - letter from foreign issuer Notice of meeting – English Notice of meeting – French Notice of meeting (amended) – English Notice of meeting (amended) – French Management information circular – English Management information circular - French Management information circular (amended) – English Management information circular (amended) – French Form of proxy – English Form of proxy – French Management proxy materials – foreign language Management proxy materials (amended) – foreign language Translation certificate Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s)

Certificate re dissemination to shareholders
Report of voting results
Report of voting results (amended)
Other
Filing Type: Change of Auditor Filings
Document Types:
Cover letter
Letter concerning recipient agency
Notice
Letter from former auditor
Letter from successor auditor
Other
Filing Type: Code of Conduct
Document Types:
Cover letter
Letter concerning recipient agency
Code of conduct
Other
Filing Type: Change in Year End Filings
Document Types:
Cover letter
Letter concerning recipient agency
Notice
Notice (amended)
Supplement to the notice
Supplement to the notice (amended)
Other
Filing Type: Change in Corporate Structure Filings Document Types:
Cover letter
Letter concerning recipient agency
Notice
Notice (amended)
Other
Filing Type: Change in Legal Structure Filings Document Types:
Cover letter
Letter concerning recipient agency
Notice
Notice (amended)
Other

Filing Type: Change in Status Filings
Document Types:
Cover letter
Letter concerning recipient agency
Notice
Notice (amended)
Other
Filing Type: Business Acquisition Report
Document Types:
Cover letter
Letter concerning recipient agency
Business acquisition report – letter from foreign issuer Business acquisition report – English Business acquisition report – French Business acquisition report – foreign language Translation certificate Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) Other Filing Type: Documents Affecting the Rights of Security Holders /Material Contracts Filing Subtype: Documents Affecting Rights of Security Holders Document Types:
Cover letter
Letter concerning recipient agency
Documents affecting rights of securityholders – Trust indentures re debt Other security holders documents – English Other security holders documents – French Other security holders documents – foreign language Other Filing Subtype: Material Contracts Document Types:
Cover letter
Letter concerning recipient agency
Material contracts - Credit agreements
Other material contracts – English
Other material contracts – French
Other material contracts – foreign language
Other material contracts (amended) – English
Other material contracts (amended) – French
Other material contracts (amended) – foreign language

Translation certificate
Other
Filing Type: Short Form Offering Document
Document Types:
Cover letter
Letter concerning recipient agency
Short form offering document – English
Short form offering document – French
Amendment to (or amended) short form offering document – English Amendment to (or amended) short form offering document – French Underwriting or agency agreement Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Other Filing Type: Report of Management Company Document Types:
Cover letter
Letter concerning recipient agency
Form (AB, ON–Form 38, BC–Form 81-903F, SK–Form 36, NS–Form 39, NF–Form 37) Form (amended) (AB,ON–Form38,BC–Form81-903F,SK–Form36,NS–Form39,NF–Form37) Other Filing Type: Proxy Voting Record of an Investment Fund Document Types:
Cover letter
Letter concerning recipient agency
Proxy voting record of an investment fund Proxy voting record of an investment fund Proxy voting record of an investment fund Proxy voting record of an investment fund (amended) Other Filing Type: Reports under NI 81-107 Document Types:
Cover letter
Letter concerning recipient agency
Report by independent review committee – English Report by independent review committee – French Report by independent review committee (amended) – English Report by independent review committee (amended) – French Manager – transactions in securities of related issuers – English Manager – transactions in securities of related issuers – French Manager – transactions in securities of related issuers (amended) – English

Manager – transactions in securities of related issuers (amended) – French Manager – transactions under part 4 of NI 81-102 – English Manager – transactions under part 4 of NI 81-102 – French Manager – transactions under part 4 of NI 81-102 (amended) – English Manager – transactions under part 4 of NI 81-102 (amended) – French Manager – notification under part 5 of NI 81-107 – English Manager – notification under part 5 of NI 81-107 – French Manager – notification under part 5 of NI 81-107 (amended) – English Manager – notification under part 5 of NI 81-107 (amended) – French Other Filing Type: For Regulator’s Use Only Document Types:
Cover letter
Letter concerning recipient agency
Other
Filing Type: OTC Issuer Notice of Investor Relations (BCI 51-509) Document Types:
Cover letter
Letter concerning recipient agency
OTC issuer notice of investor relations BC Form 51-509F2 – English OTC issuer notice of investor relations BC Form 51-509F2 – French Other Filing Type: OTC Issuer Registration Statement (BCI 51-509) Document Types:
Cover letter
Letter concerning recipient agency
OTC issuer registration statement– English
OTC issuer registration statement – French
Other
Filing Type: OTC Issuer Personal Information Form and Authorization (BCI 51-509) Document Types:
Cover letter
Letter concerning recipient agency
Personal information form and authorization BC Form 51-509F3 - English Personal information form and authorization BC Form 51-509F3 – French Other

Filing Type: OTC Issuer Ceases to be a Reporting Issuer (BCI 51-509) Document Types:
Cover letter
Letter concerning recipient agency
OTC issuer BC Form 51-509F1 – English
OTC issuer BC Form 51-509F1 – French
OTC issuer BC Form 51-509F4 – English
OTC issuer BC Form 51-509F4 – French
Other
Filing Type: Other Filings
Document Types:
Other
Filing Type: Change in Transfer Agent Filings Document Types:
Cover letter
Filing Subtype: General
Document Types:
Letter from transfer agent
Other – General
Filing Type: Change in Address Filings (Head Office, Executive Office, Internet) Document Types:
Cover letter
Filing Subtype: General
Document Types:
Other – General
Filing Type: Change in Solicitor Filings
Document Types:
Cover letter
Filing Subtype: General
Document Types:
Other - General

Filing Type: Dividend Declaration
Filing Subtype: Cash Dividend
Document Types:
Cover letter
Notice of declaration of cash dividend
Other
Filing Subtype: Stock Dividend
Document Types:
Cover letter
Notice of declaration of stock dividend
Other
Filing Type: Filing Statement
Document Types:
Cover letter
Filing statement – English
Filing statement – French
Other
Filing Type: Listing Application
Document Types:
Cover letter
Letter concerning recipient agency
Listing application – English
Listing application – French
Listing application (amended) – English
Listing application (amended) – French
Other
Filing Type: Promotional Material
Document Types:
Cover letter
Filing Subtype: Information Documents
Document Types:
Documents sent to shareholders - English
Documents sent to shareholders - French
Invitation - road show
Invitation - shareholders meeting
Other - Information documents
Filing Subtype: General
Document Types:
Other – General

Category of Filer: Other Issuers
Category of Filing: Exempt Market Offerings and Disclosure Folder for Filing Type: General Filing Type: Report of Exempt Distribution (NI 45-106) Filing Subtype: Report of Exempt Distribution (45-106F1) Document Types:
Cover letter
Letter concerning recipient agency
Report of exempt distribution excluding Schedule 1 of 45-106F1
Schedule 1 of report of exempt distribution (45-106F1)
Other
Filing Subtype: Amended Report of Exempt Distribution (45-106F1) Document Types:
Cover letter
Letter concerning recipient agency
Report of exempt distribution excluding Schedule 1 of 45-106F1 (amended)
Schedule 1 of report of exempt distribution (45-106F1) (amended)
Other
Filing Type: Offering Memorandum (2.9 of NI 45-106) Filing Subtype: Offering Memorandum (2.9 of NI 45-106) Document Types:
Cover letter
Letter concerning recipient agency
Offering memorandum 2.9 of NI 45-106 – English Offering memorandum 2.9 of NI 45-106 – French Other Filing Subtype: Amended Offering Memorandum (2.9 of NI 45-106) Document Types:
Cover letter
Letter concerning recipient agency
Offering memorandum 2.9 of NI 45-106 (amended) – English Offering memorandum 2.9 of NI 45-106 (amended) – French Other Filing Type: Annual Financial Statements – Non-Reporting Issuers Filing Subtype: Annual Financial Statements– Non-Reporting Issuers Document Types:
Cover letter
Letter concerning recipient agency
Annual financial statements –English
Annual financial statements –French
Other

Filing Subtype: Amended Annual Financial Statements– Non-Reporting Issuers Document Types:
Cover letter
Letter concerning recipient agency
Annual financial statements (amended) –English Annual financial statements (amended) –French Other Filing Type: Notice of Use of Proceeds Filing Subtype: Notice of Use of Proceeds Document Types:
Cover letter
Letter concerning recipient agency
Notice of use of proceeds – English
Notice of use of proceeds – French
Other
Filing Subtype: Amended Notice of Use of Proceeds Document Types:
Cover letter
Letter concerning recipient agency
Notice of use of proceeds (amended) – English Notice of use of proceeds (amended) – French Other Filing Type: Crowdfunding - Offering Document (MI 45-108) Filing Subtype: Crowdfunding - Offering Document (MI 45-108) Document Types:
Cover letter
Letter concerning recipient agency
Crowdfunding Offering Document (MI 45-108) – English Crowdfunding Offering Document (MI 45-108) – French Other distribution materials (MI 45-108) – English Other distribution materials (MI 45-108) – French Other Filing Subtype: Amended Crowdfunding - Offering Document (MI 45-108) Document Types:
Cover letter
Letter concerning recipient agency
Crowdfunding Offering Document (MI 45-108) (amended) – English Crowdfunding Offering Document (MI 45-108) (amended) – French Other distribution materials (MI 45-108) (amended) – English Other distribution materials (MI 45-108) (amended) – French Other

Filing Type: Start-Up Crowdfunding – Offering Document Filing Subtype: Start-Up Crowdfunding – Offering Document Document Types:
Cover letter
Letter concerning recipient agency
Offering document – English
Offering document – French
Other
Filing Subtype: Amended Start-Up Crowdfunding – Offering Document Document Types:
Cover letter
Letter concerning recipient agency
Offering document (amended) – English
Offering document (amended) – French
Other
Filing Type: Start-Up Crowdfunding – Report of Exempt Distribution (Form 5) Filing Subtype: Start-Up Crowdfunding – Report of Exempt Distribution (Form 5) Document Types:
Cover letter
Letter concerning recipient agency
Report of exempt distribution excluding Schedule 1 of Form 5
Schedule 1 of report of exempt distribution Form 5
Other
Filing Subtype: Amended Start-Up Crowdfunding – Report of Exempt Distribution Document Types:
Cover letter
Letter concerning recipient agency
Report of exempt distribution excluding Schedule 1 of Form 5 (amended)
Schedule 1 of report of exempt distribution Form 5 (amended)
Other

Category of Filer: Other Issuers
Category of Filing: Exempt Market Offerings and Disclosure Folder for Filing Type: Québec Filing Type: Disclosure Documents (QC Sec. 37.2 Reg.) Filing Subtype: Disclosure Document (QC Sec. 37.2 Reg.) Document Types:
Cover letter
Letter concerning recipient agency
Disclosure document – English
Disclosure document – French
Other
Filing Subtype: Amended Disclosure Document (QC Sec. 37.2 Reg.)
Document Types:
Cover letter
Letter concerning recipient agency
Disclosure document (amended) – English
Disclosure document (amended) – French
Other
Category of Filer: Other Issuers
Category of Filing: Exemptions and Other Applications Folder for Filing Type: General Filing Type: Applications (NI 81-102) Document Types:
Cover letter
Letter concerning recipient agency
Application letter
Exhibits and other supporting material
Statement of verification
Draft decision document(s) – English
Draft decision document(s) – French
Draft order(s)
Other
Filing Type: Exemptions and Other Applications – In Connection with a Prospectus Filing Document Types:
Cover letter
Application letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English

Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Exhibits and other supporting material Statement of verification Draft order(s) Other Category of Filer: Other Issuers Category of Filing: Going Private / Related Party Transactions Folder for Filing Type: General Filing Type: Going Private Transaction Filings Document Types:
Cover letter
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Formal valuation Prior valuation Report of going private transaction (NS-Form 33) Letter outlining exemptions relied upon (ON, QC) Other Filing Type: Related Party Transaction Filings Document Types:
Cover letter
Material change report – English
Material change report – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Formal valuation Prior valuation Letter outlining exemptions relied upon (ON, QC) Other

Filing Type: Other Filings
Document Types:
Other
Category of Filer: Other Issuers
Category of Filing: Securities Acquisitions
Folder for Filing Type: General
Filing Type: Formal Issuer Bid Filings
Filing Subtype: Issuer Bid Circular
Document Types:
Cover letter
Issuer bid circular – English
Issuer bid circular – French
Letter of transmittal – English
Letter of transmittal – French
Notice of guaranteed delivery – English
Notice of guaranteed delivery – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification of certificate(s) Consent letter(s) of other expert(s) Formal valuation Prior valuation Letter outlining exemptions relied upon (ON, QC) Other Filing Subtype: Notice of Change or Variation Document Types:
Cover letter
Notice of change or variation – English
Notice of change or variation – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification of certificate(s) Consent letter(s) of other expert(s) Formal valuation Other

Filing Type: Exempt Issuer Bid Filings
Document Types:
Cover letter
Notice of intention
Exempt issuer bid material
News release (section 4.8 of MI 62-104)
Other
Filing Type: Other Filings
Document Types:
Other
Filing Type: Normal Course Issuer Bid
Document Types:
Cover letter
Filing Subtype: Financial Statements and Information Documents Document Types:
Annual report - English
Annual report - French
Interim financial statements – English
Interim financial statements - French
Management proxy/information circular - English Management proxy/information circular - French Press release - English Press release - French Other - Financial statements and information documents Filing Subtype: Market Centre Documents and Forms Document Types:
Broker and registered representative name
Notice of intention to make a normal course issuer bid Public float calculation Other - Market Centre documents and forms Filing Subtype: General Document Types:
Undertaking of purchase and cancellation
Other – General

Filing Type: Small Shareholder Selling and Purchase Arrangement Document Types:
Cover letter
Filing Subtype: Information Documents
Document Types:
Letter of transmittal - English
Letter of transmittal - French
Press release - English
Press release - French
Selling/Purchase arrangement circular - English Selling/Purchase arrangement circular - French Selling/Purchase arrangement circular - English (renewal) Selling/Purchase arrangement circular - French (renewal) Other - Information documents Filing Subtype: Resolutions Document Types:
Board resolution
Directors’ resolutions
Other – Resolutions
Filing Subtype: General
Document Types:
Attestation from member firms (beneficial owner) Other – General Filing Type: Redemption or Retraction of Securities Document Types:
Cover letter
Filing Subtype: Information Documents
Document Types:
Letter of transmittal - English
Letter of transmittal - French
Notice of redemption or retraction sent to shareholders - English Notice of redemption or retraction sent to shareholders - French Other - Information documents Filing Subtype: General Document Types:
Letter from transfer agent
List of shareholders from registrar (Trust company) Other – General

Filing Type: Substantial Issuer Bid Filings (Stock Exchange or By Circular) Document Types:
Cover letter
Filing Subtype: Offering Documents
Document Types:
Letter of transmittal - English
Letter of transmittal - French
Notice of guaranteed delivery – English
Notice of guaranteed delivery - French
Stock exchange take-over bid notice - English Stock exchange take-over bid notice - French Take-over bid circular - English Take-over bid circular - French Valuation (MI 61-101) Other - Offering documents Filing Subtype: Information Documents and Notices Document Types:
Notice indicating result of take-over bid - English Notice indicating result of take-over bid - French Notice of change or variation - English Notice of change or variation - French Notice of compulsory acquisition - English Notice of compulsory acquisition - French Other - Information documents and notices Filing Subtype: Material Contracts and Reports Document Types:
Escrow agreement
Lock-up agreement
Management agreement
Pooling agreement
Purchase agreement
Shareholder agreement
Shareholder rights plan
Voting trust agreement
Other - Material contracts and reports
Filing Subtype: Resolutions and Articles
Document Types:
Board resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Notice of proof of financing (TSX-V)
Share distribution form
Other - Market Centre documents and forms

Filing Type: Substantial Issuer Bid Filings (Stock Exchange or By Circular) Filing Subtype: Commission Documents and Forms Document Types:
Valuation (ON 61-501, QC Q-27)
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Certificate of good standing
Letter from company (confirmation, undertaking, etc.)
Letter from transfer agent
Liquidity opinion
List of shareholders from registrar (Trust company) Other – General Category of Filer: Other Issuers Category of Filing: Other Reviewable Transactions (Market Centres) Folder for Filing Type: General Filing Type: Material Change Policy Filings (TSX-V) Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Business plan
Coattail agreement
Escrow agreement
Finders fee agreement
Geological or engineering report
Independent evaluation or appraisal
Management agreement
Pooling agreement
Property acquisition agreement
Purchase agreement
Shareholder agreement
Sponsorship agreement
Trust agreement
Trust indenture
Underwriting or agency agreement
Voting trust agreement
Warrant indenture
Other - Material contracts and reports
Filing Subtype: Financial Statements and Information Documents Document Types:
Annual report - English
Annual report - French
Audited annual financial statements - English

Audited annual financial statements - French
Audited financial forecast
Form of proxy - English
Form of proxy - French
Interim financial statements - English
Interim financial statements - French
Letter of transmittal - English
Letter of transmittal - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Pro forma financial statements Other - Financial statements and information documents Filing Type: Material Change Policy Filings (TSX-V) Filing Subtype: Resolutions and Articles Document Types:
Banking resolution
Board resolution
Certificate and Articles of Amendment
Certificate and Articles of Incorporation
Company By-Laws
Shareholder resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Personal information forms
Other - Market Centre documents and forms
Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Valuation (MI 61-101)
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Certificate of good standing
Fairness opinion
Letter from company (confirmation, undertaking, etc.)
Letter from transfer agent
List of shareholders from registrar (Trust company) Opinion of legal counsel Sponsorship acknowledgment letter Other – General

Filing Type: Stock Option / Share Purchase Arrangement Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Bonus plan
Employment contract
Escrow agreement
Management agreement
Pooling agreement
Share option plan
Share option subscription agreement
Share purchase plan
Shareholder agreement
Voting trust agreement
Other - Material contracts and reports
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Other - Information documents Filing Subtype: Resolutions Document Types:
Board resolution
Shareholders resolution
Other - Resolutions
Filing Subtype: Market Centre Documents and Forms Document Types:
Certificate and undertaking of corporate optionnee (TSX-V) Declaration (TSX-V) Notice of filing expedited stock option (TSX-V) Notification of exercise of stock option (TSX-V) Personal information forms Summary form (TSX-V) Other - Market Centre documents and forms Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Letter from company (confirmation, undertaking, etc.)
Opinion of legal counsel
Other – General

Filing Type: Listed Capital Reporting Filings (Monthly Issued Shares and Option Grants) Document Types:
Cover letter
Filing Subtype: Market Centre Documents and Forms Document Types:
Monthly issued capital report
Option grant, exercise and cancellation report Share cancellation report (NCIB) Other - Market Centre documents and forms Filing Subtype: General Document Types:
Other – General
Filing Type: Dividend Reinvestment Plan/Stock Dividend Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Dividend reinvestment plan - English
Dividend reinvestment plan - French
Other - Material contracts and reports
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Other - Information documents Filing Subtype: Resolutions Document Types:
Board resolution
Special resolution
Other – Resolutions
Filing Subtype: General
Document Types:
Letter from transfer agent
Other – General

Filing Type: Stock Split
Document Types:
Cover letter
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Letter of transmittal - English
Letter of transmittal - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Other - Information documents Filing Subtype: Resolutions and Articles Document Types:
Banking resolution
Board resolution
Certificate and Articles of Amendment
Shareholders resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: General
Document Types:
Letter from CDS confirming CUSIP number
Letter from transfer agent
List of shareholders from registrar (Trust company) Opinion of legal counsel Other - General Filing Type: Consolidation Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Coattail agreement
Escrow agreement
Shareholder agreement Trust agreement
Trust indenture
Voting trust agreement Warrant indenture
Other - Material contracts and reports
Filing Subtype: Financial Statements and Information Documents Document Types:
Annual report - English
Annual report - French
Audited annual financial statements - English Audited annual financial statements - French

Form of proxy - English
Form of proxy - French
Interim financial statements - English
Interim financial statements - French
Letter of transmittal - English
Letter of transmittal - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Pro forma financial statements Other - Financial statements and information documents Filing Subtype: Resolutions and Articles Document Types:
Board resolution
Certificate and Articles of Amendment
Shareholders resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Consolidation checklist (TSX-V)
Name reservation (TSX-V)
Share distribution form
Other - Market Centre documents and forms
Filing Type: Consolidation
Filing Subtype: General
Document Types:
Letter from CDS confirming CUSIP number
Letter from intermediaries (TSX-V)
Letter from transfer agent (TSX-V)
List of shareholders from registrar (Trust company) Opinion of legal counsel Proof of company name reservation with registrar (TSX-V) Other – General Filing Type: Change in Name Document Types:
Cover letter
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Letter of transmittal - English
Letter of transmittal - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting – French

Other - Information documents
Filing Subtype: Resolutions and Articles
Document Types:
Board resolution
Certificate and Articles of Amendment
Shareholders resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Name change checklist (TSX-V)
Name reservation (TSX-V)
Share distribution form
Other - Market Centre documents and forms
Filing Subtype: General
Document Types:
Letter from CDS confirming CUSIP number
Letter from company (confirmation, undertaking, etc.)
Letter from intermediaries (TSX-V)
Letter from transfer agent (TSX-V)
List of shareholders from registrar (Trust company) Opinion of legal counsel Proof of company name reservation with registrar (TSX-V) Other – General Filing Type: Reclassification or Redesignation of Shares Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Bonus plan
Coattail agreement
Escrow agreement
Management agreement
Pooling agreement
Share option plan
Share purchase plan
Shareholder agreement
Trust agreement
Trust indenture
Voting trust agreement
Warrant indenture
Other - Material contracts and reports
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Letter of transmittal - English
Letter of transmittal - French

Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Other - Information documents Filing Subtype: Resolutions and Articles Document Types:
Board resolution
Certificate and Articles of Amendment Company By-Laws Shareholders resolution Special resolution Other - Resolutions and Articles Filing Subtype: Market Centre Documents and Forms Document Types:
Share distribution form
Other - Market Centre documents and forms
Filing Subtype: General
Document Types:
Letter from CDS confirming CUSIP number
Letter from company (confirmation, undertaking, etc.)
Letter from transfer agent
List of shareholders from registrar (Trust company) Opinion of legal counsel Other – General Filing Type: Restricted Shares and Coattails Policy Filings Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Coattail agreement
Escrow agreement
Management agreement
Shareholder agreement
Trust agreement
Voting trust agreement
Other - Material contracts and reports
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Other - Information documents Filing Subtype: Resolutions and Articles Document Types:
Board resolution

Certificate and Articles of Amendment
Certificate and Articles of Incorporation Company By-Laws Shareholders resolution Special resolution Other - Resolutions and Articles Filing Type: Restricted Shares and Coattails Policy Filings Filing Subtype: General Document Types:
Other - General
Filing Type: Shareholder Rights Plan Filings Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Shareholder rights plan
Other - Material contracts and reports
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Letter of transmittal - English
Letter of transmittal - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting - French Other - Information documents Filing Subtype: Resolutions and Articles Document Types:
Board resolution
Certificate and Articles of Amendment Company By-Laws Shareholders resolution Special resolution Other - Resolutions and Articles Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Letter from company (confirmation, undertaking, etc.)
Opinion of legal counsel
Other – General

Filing Type: Change in Articles / Memorandum Document Types:
Cover letter
Filing Subtype: Information Documents
Document Types:
Form of proxy - English
Form of proxy - French
Management proxy/information circular - English Management proxy/information circular - French Notice of meeting - English Notice of meeting – French Other - Information documents Filing Subtype: Resolutions and Articles Document Types:
Board resolution
Certificate and Articles of Amendment
Certificate and Articles of Incorporation Company By-Laws Shareholders resolution Special resolution Other - Resolutions and Articles Filing Subtype: General Document Types:
Other- General
Filing Type: Voluntary Delisting or Dequotation Document Types:
Cover letter
Filing Subtype: Resolutions and Articles
Document Types:
Board resolution
Shareholders resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Share distribution form
Other - Market Centre documents and forms
Filing Subtype: General
Document Types:
Letter from transfer agent
List of shareholders from registrar (Trust company) Other – General

Filing Type: Escrowed Shares - Release or Transfer Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Escrow agreement
Pooling agreement
Shareholder agreement
Transfer agreement
Trust agreement
Voting trust agreement
Other - Material contracts and reports
Filing Subtype: Financial Statements
Document Types:
Annual report - English
Annual report - French
Audited annual financial statements - English Audited annual financial statements - French Interim financial statements - English Interim financial statements - French Other - Financial statements Filing Subtype: Resolutions Document Types:
Board resolution
Special resolution
Other – Resolutions
Filing Subtype: Market Centre Documents and Forms Document Types:
Auditors’ calculation (TSX-V)
Corporate undertaking (TSX-V)
Personal information forms
Registrar of company certificate (TSX-V)
Statutory declaration (TSX-V)
Other - Market Centre documents and forms
Filing Subtype: Commission Documents and Forms Document Types:
Receipt from Securities Commissions
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Other - General

Filing Type: Transfer of Shares to Non-Residents Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Escrow agreement
Non-resident agreement
Pooling agreement
Trust agreement
Voting trust agreement
Other - Material contracts and reports
Filing Subtype: General
Document Types:
Other – General
Filing Type: Change in Directors/Officers Filings Document Types:
Cover letter
Filing Subtype: Market Centre Documents and Forms Document Types:
Personal information forms
Other - Market Centre documents and forms
Filing Subtype: General
Document Types:
Other – General
Filing Type: Sustaining Fee Payment
Document Types:
Cover letter
Other
Filing Type: Change in Market Centre Status
Filing Subtype: Application for Change in Tier Status (TSX-V) Document Types:
Cover letter
Annual report - English
Annual report - French
Audited annual financial statements - English Audited annual financial statements - French Geological or engineering report Independent evaluation or appraisal Interim financial statements - English Interim financial statements - French Other

Filing Type: Acquisition/Disposition of Assets - Non-Share Transactions (TSX-V) Filing Subtype: Major Acquisition/Disposition (TSX-V) Document Types:
Cover letter
Annual report
Audited financial statements for acquisition target Audited financial forecast Auditors’ consent letter Board resolution Consent letter from board of acquisition target Consent letter(s) of other expert(s) Escrow agreement Fairness opinion Filing statement Financial plan Finders fee agreement Geological or engineering report Independent evaluation or appraisal Interim financial statements Material contracts Opinion of legal counsel Pro forma financial statements Property acquisition agreement Purchase agreement Scrutineer’s report Shareholders consents Special resolution Sponsor report Title opinion Transaction summary form Other Filing Type: Acquisition/Disposition of Assets - Non-Share Transactions (TSX-V) Filing Subtype: Minor Acquisition/Disposition (TSX-V) Document Types:
Cover letter
Board resolution
Directors’ resolutions
Expedited acquisition
Filing form
Fairness opinion
Filing statement
Finders fee agreement
Geological or engineering report
Property acquisition agreement
Purchase agreement
Special resolution
Transaction summary form
Other
Filing Subtype: CPC Qualifying Transactions (TSX-V) Document Types:
Cover letter
Financial statements for acquisition target

Auditors’ consent letter
Business plan
Confirmation of mailing
Consent letter from board of acquisition target Consent letter(s) of other expert(s) Directors’ resolution Escrow agreement Fairness opinion Information circular Material contracts Opinion of legal counsel Pro forma balance sheet Sponsorship acknowledgement form Sponsor report Technical reports and certificates of qualification Other Category of Filer: Other Issuers Category of Filing: Other Reviewable Transactions (Market Centres) Folder for Filing Type: British Columbia Filing Type: Loans/Bonus (TSX-V) Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Bonus agreement
Escrow agreement
Loan agreement
Other - Material contracts and reports
Filing Subtype: General
Document Types:
Other – General
Filing Type: Management Remuneration / Investor Relations Agreements (TSX-V) Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Investor relations document
Management remuneration contracts
Other - Material contracts and reports
Filing Subtype: Information Documents
Document Types:

Form of proxy
Management proxy/information circular – English Notice of meeting Other - Information documents Filing Subtype: General Document Types:
Other - General
Category of Filer: Third Party Filers
Category of Filing: Third Party Filings
Folder for Filing Type: General
Filing Type: Take-Over Bid Filings
Filing Subtype: Take-over Bid Circular
Document Types:
Cover letter
Advertisement – English
Advertisement – French
Take-over bid circular – English
Take-over bid circular – French
Letter of transmittal – English
Letter of transmittal – French
Notice of guaranteed delivery – English
Notice of guaranteed delivery – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Formal valuation Prior valuation Agreements (MI 62-104) Letter outlining exemptions relied upon (ON, QC) Other Filing Subtype: Directors’ Circular Document Types:
Cover letter
Directors’ circular – English
Directors’ circular – French
Notice of change - Directors’ circular – English Notice of change - Directors’ circular – French Technical report (NI 43-101) – English Technical report (NI 43-101) – French Certificate of qualified person (NI 43-101) – English

Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Valuation material Directors’ recommendation – English Directors’ recommendation – French Other Filing Type: Take-Over Bid Filings Filing Subtype: Director’s or Officer’s Circular (Individual) Document Types:
Cover letter
Director’s or officer’s circular – English
Director’s or officer’s circular – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Other Filing Subtype: Notice of Change or Variation Document Types:
Cover letter
Notice of change or variation – English
Notice of change or variation – French
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Formal valuation Other

Filing Type: Exempt Take-Over Bid Filings
Document Types:
Cover letter
Exempt take-over bid material
Technical report (NI 43-101) – English
Technical report (NI 43-101) – French
Certificate of qualified person (NI 43-101) – English Certificate of qualified person (NI 43-101) – French Consent of qualified person (NI 43-101) – English Consent of qualified person (NI 43-101) – French Amended & restated technical report (NI 43-101) – English Amended & restated technical report (NI 43-101) – French Qualification certificate(s) Consent letter(s) of other expert(s) Report of exempt take-over bid (QC-s.189.1.2 Reg.) Other Filing Type: Securities Acquisition Filings (Early Warning) Filing Subtype: Press Release Document Types:
Cover letter
Press release – English Press release – French Other Filing Subtype: Early Warning Report Document Types:
Cover letter
Early warning report
Other
Filing Subtype: Disqualification Report
Document Types:
Cover letter
Disqualification report
Other
Filing Type: Securities Acquisition Filings (Alternative Monthly Report) Document Types:
Cover letter
Alternative monthly report
Other

Filing Type: Proxy Solicitation Materials
Document Types:
Cover letter
Information circular – English
Information circular – French
Form of proxy – English
Form of proxy – French
Proxy solicitation - information – English
Proxy solicitation - information – French
Proxy solicitation - proposed transaction – English Proxy solicitation - proposed transaction – French Proxy solicitation - nominee for election – English Proxy solicitation - nominee for election - French Other Filing Type: Take-Over Bid Filings (Stock Exchange or By Circular) Document Types:
Cover letter
Filing Subtype: Offering Documents
Document Types:
Director’s or officer’s circular - English
Director’s or officer’s circular - French
Directors’ circular - English
Directors’ circular - French
Directors’ recommendation - English
Directors’ recommendation - French
Letter of transmittal - English
Letter of transmittal - French
Notice of guaranteed delivery - English
Notice of guaranteed delivery - French
Stock exchange take-over bid notice - English Stock exchange take-over bid notice - French Take-over bid circular - English Take-over bid circular - French Valuation or appraisal opinion/report Other - Offering documents Filing Subtype: Information Documents and Notices Document Types:
Notice indicating result of take-over bid - English Notice indicating result of take-over bid - French Notice of change or variation - English Notice of change or variation - French Notice of compulsory acquisition - English Notice of compulsory acquisition - French Other - Information documents and notices

Filing Type: Take-Over Bid Filings (Stock Exchange or By Circular) Filing Subtype: Material Contracts and Reports Document Types:
Coattail agreement
Escrow agreement
Lock-up agreement
Management agreement
Pooling agreement
Purchase agreement
Shareholder agreement
Shareholder rights plan
Voting Trust agreement
Other - Material contracts and reports
Filing Subtype: Resolutions and Articles
Document Types:
Board resolution
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Notice of proof of financing (TSX-V)
Share distribution form
Other - Market Centre documents and forms
Filing Subtype: Commission Documents and Forms Document Types:
Valuation (MI 61-101)
Other - Commission documents and forms
Filing Subtype: General
Document Types:
Certificate of good standing
Letter from company (confirmation, undertaking, etc.)
Letter from transfer agent
List of shareholders from registrar
(Trust company) Other – General

Filing Type: Sale from Control Block
Document Types:
Cover letter
Filing Subtype: Material Contracts and Reports Document Types:
Coattail agreement
Escrow agreement
Pooling agreement
Purchase agreement
Trust agreement
Voting trust agreement
Other - Material contracts and reports
Filing Subtype: Resolutions
Document Types:
Board resolutions
Directors’ resolutions
Special resolution
Other – Resolutions
Filing Subtype: Market Centre Documents and Forms Document Types:
Personal information forms
Other - Market Centre documents and forms
Filing Subtype: Commission Documents and Forms Document Types:
Notice of intention to distribute securities (QC-Q-12; ON-Form 23) Other - Commission documents and forms Filing Subtype: General Document Types:
Letter from member firm (regarding distribution) Other – General

Category of Filer: Third Party Filers
Category of Filing: Third Party Filings
Folder for Filing Type: British Columbia
Filing Type: Acquisition of Shares (TSX-V)
Document Types:
Cover letter
Filing Subtype: Resolutions and Articles
Document Types:
Board resolution Directors’ resolutions
Special resolution
Other - Resolutions and Articles
Filing Subtype: Market Centre Documents and Forms Document Types:
Declaration
Other - Market Centre documents and forms
Filing Subtype: General
Document Types:
Other – General

Appendix C Minimum Hardware and Software Requirements for SEDAR Filings
The following is a list of minimum computer hardware and software requirements for subscribers operating the SEDAR Filer Software. Hardware Requirements:
– Personal computer with a minimum of 300 megahertz or higher processor clock speed is required; a single or dual processor system (Intel Pentium/Celeron family, or AMD K6/Athlon/Duron family, or compatible processor) is recommended – 128 megabytes (MB) of RAM or higher recommended (64 MB minimum is supported, but may limit performance and some features) – 1.5 gigabytes (GB) of available hard disk space – Super VGA (800 x 600) or higher–resolution video adapter and monitor, CD-ROM or DVD drive, keyboard and Microsoft mouse or compatible pointing device Software Requirements:

User's workstation operating system must be “Windows XP Professional”,
“Windows 2000 Professional”, "Windows Vista (32-bit)" or "Windows 7 (32-bit or 64-bit)", each with latest Windows service packs
When installing SEDAR, the installation must be run by the
“Administrator” user account. This is a requirement of SEDAR's MQ Series component, and not doing this will result in the incorrect installation of SEDAR.
Adobe Acrobat, or other software applications capable of producing a
document in Portable Document Format (PDF). Adobe Postscript is not an acceptable format. All other formats of PDF file are acceptable.
Microsoft Excel, or other software application capable of producing a
document in XLSX format.
Connectivity Requirements:
– High speed Internet access is recommended; Internet connectivity is required.

Appendix D SEDAR System Fees
SEDAR System Fees are set out in Multilateral Instrument 13-102 Systems Fees for SEDAR and NRD (13-102).

Appendix E Database Retrieval Service Charges
[Intentionally deleted]

Appendix F Investment Fund Group Profile
An Investment Fund Group Profile must be used to create a mutual fund group and must include the following information:
(a) group number
Note: This information is generated automatically by the SEDAR system. (b) name of mutual fund group in English and French (c) name of manager of mutual fund group in English and French (d) mailing address, telephone and fax number of manager of mutual fund group (e) head office address, telephone and fax number of manager of mutual fund group (f) name, telephone and fax number of contact person of manager of mutual fund group Note: It is recommended that the contact person be a representative of the mutual fund group manager who is knowledgeable about the fund’s electronic filings and the SEDAR system. (g) mutual fund issuers in mutual fund group Note: This field applies only to “Open General Investment Fund Submission” page and while updating profiles using “update profile”, not when creating the initial filer profile. (h) principal regulator under MI 11-102 or NP 11-202 Note: Only one selection can be made. If the principal regulator is changed, all fields will be cleared for reselection. The “Non-Reporting Issuers” type should only be selected by issuers that are not reporting issuers. (i) basis for determining the principal regulator Note: This selection is mandatory. There are a series of questions and a list of options in the SEDAR Filer Software. If the principal regulator is changed, all fields will be cleared for reselection.

Appendix G Investment Fund Issuer Profile
A mutual fund issuer must create an Investment Fund Issuer Profile and must include the following information:
(a) profile number
Note: The profile number is generated automatically by the SEDAR system. (b) name of investment fund issuer in English and French (c) mailing address, telephone and fax number of investment fund issuer (d) head office address, telephone and fax number of investment fund issuer (e) group number of investment fund group (i.e., the Investment Fund Group number) (f) name of investment group in English and French (g) manner of formation Note: There is a list of options in the SEDAR Filer Software. (h) date of formation Note: If date is not yet known, subscribers should enter “01/01/1500”. (i) jurisdiction where formed Note: This should identify the new jurisdiction in which the investment fund is continued in cases where a fund has continued from another jurisdiction. (j) sales compensation Note: There is a list of options in the SEDAR Filer Software. (k) investment fund type Note: There is a list of options in the SEDAR Filer Software. (l) financial year end date (m) RRSP eligibility Note: Indicate “yes” or “no”.

(n) jurisdictions where reporting issuer
Note: There is a list of options in the SEDAR Filer Software. If “ceased reporting” is selected, the filer profile will become inactive and no further filings can be made. The “Non-Reporting Issuers” type should only be selected by issuers that are not reporting issuers. (o) name in English and French, mailing address, telephone and fax number of external party information:
(i) auditor
(ii) custodian (principal)
(iii) distributor (principal)
(iv) investment portfolio manager
(v) trustee
Note: Where an investment fund issuer has a group or a board of individual trustees rather than a single corporate trustee, the name of one of the individual trustees followed by the words “and others” should be entered in the “name” field. The mailing address, telephone and fax number of that individual trustee would then be entered. (p) previous investment fund issuer information:
(i) previous name of investment fund issuer in English and French (ii) previous profile number of investment fund issuer Note: Previous investment fund issuer information is only required for an investment fund that previously filed a filer profile in the SEDAR system under a different name and profile number.

Appendix H Other Issuer Profile
An Other Issuer Profile must include the following information:
(a) profile number
Note: This information is generated automatically by the SEDAR system. (b) name of issuer in English and French (c) mailing address, telephone and fax number of other issuer (d) head office address, telephone and fax number of other issuer (e) name, telephone and fax number of contact person of issuer Note: It is recommended that the contact person be a representative of the electronic filer (and not a filing agent) who is knowledgeable about the issuer’s electronic filings and the SEDAR system. (f) business e-mail address (g) manner of formation Note: There is a list of options in the SEDAR Filer Software. (h) date of formation Note: If date is not yet known, subscribers should enter “01/01/1500”. (i) jurisdiction where formed Note: This should identify the new jurisdiction in which the issuer is continued in cases where an issuer has continued from another jurisdiction. (j) industry classification Note: There is a list of options in the SEDAR Filer Software. (k) size of issuer Note: There is a list of options in the SEDAR Filer Software. (l) CUSIP number Note: Disclose the issuer’s CUSIP number only, excluding any suffix for a class of securities.

(m) financial year end date
(n) whether or not the issuer is a Short Form Prospectus issuer Note: This field is automatically populated by the SEDAR system and defaults to “No”. Once the issuer files a Notice of Intent to Qualify under NI 44-101, the field will change to “Yes”. Upon filing a Withdrawal Notice, the field will change to “No”. This field cannot be manually altered. (o) jurisdictions where reporting issuer Note: There is list of options in the SEDAR Filer Software. If “ceased reporting” is selected, the filer profile will become inactive and no further filings can be made. If the reporting jurisdiction(s) are not known, select “Not Applicable” and update the profile as soon as it is known. The “NonReporting Issuers” type should only be selected by issuers that are not reporting issuers. (p) OTC reporting issuer per MI 51-105 Note: There is list of options in the SEDAR Filer Software (q) stock exchanges (or Markets) where securities are listed Note: There is list of options in the SEDAR Filer Software. (r) stock symbol Note: This field is mandatory if the stock exchange selected above is a Canadian stock exchange. The stock symbol field should contain only the “root” of the symbol, excluding any suffix for a class of securities or other attributes used for trading purposes. If the stock symbol is not known, select “Not Applicable” in the “Stock Exchanges (or Markets)” field and update the profile as soon as it is known. (s) Principal regulator Note: Only one selection can be made. If the principal regulator is changed, all fields will be cleared for reselection. The “Non-Reporting Issuers” type should only be selected by issuers that are not reporting. (t) basis for determining the principal regulator Note: This field is mandatory. There are a series of questions and a list of options in the SEDAR Filer Software. If the principal regulator is changed, all fields will be cleared for reselection.

(u) name (in English and French), mailing address, telephone and fax number of:
(i) auditor
Note: As Canadian chartered banks are required to have two auditors, banks must disclose the name of both auditors in the name field line and indicate with a # sign the name of the auditor whose mailing address, telephone and fax number is being provided. (ii) general partner or limited partner, if applicable (iii) transfer agent, as well as name of contact person of transfer agent (v) previous issuer information:
(i) previous name of issuer in English and French (ii) previous profile number of issuer Note: Previous issuer information is only required for an issuer that previously filed a filer profile in the SEDAR system under a different name and profile number.

Appendix I Other Filer Profile
An Other Filer Profile must include the following information:
(a) profile number
Note: This information is generated automatically by the SEDAR system. (b) name of filer in English and French (c) head office address, telephone and fax number of filer Note: Enter the mailing address of the filer. (d) name, telephone and fax number of contact person of filer Note: It is recommended that the contact person be a representative of the electronic filer (and not a filing agent) who is knowledgeable about the filer’s electronic filings and the SEDAR system. (e) previous issuer information:
(i) previous name of filer in English and French (ii) previous profile number of filer Note: Previous filer information is only required for a filer that previously filed a filer profile in the SEDAR system under a different name and profile number.

Appendix J Investment funds Cover Page
An investment funds cover page is used for securities offering filings and must include the following information:
(a) name of investment fund group (i.e., investment fund group) (b) profile number of investment fund group (c) list of investment fund issuers Note: Where one simplified prospectus and annual information form is used to qualify the investment fund securities of more than one investment fund, the names and profile numbers of all of the investment funds whose securities are qualified by the filing should be listed on the cover page. (d) name and telephone and fax number and E-mail ID of contact person* Note: The contact person is a representative of electronic filer or its filing agent (if the electronic filing is being made by a filing agent on behalf of the electronic filer). The contact person should be someone familiar with the filing to whom any questions could be directed from the securities regulatory authority. (e) application for exemption order in Note: Select jurisdictions in which these applications have been filed or if no related application is necessary. (f) application for registration in Note: Select jurisdictions in which these applications have been filed or if no related application is necessary. (g) filing procedures Note: Select the National Instrument or policy that relates to the filing or if no elective filing procedures are applicable. (h) prefiling or waiver application. Note: Select if a prefiling or waiver application was filed in advance of this filing. (i) documents to be attached to cover page for the filing (j) recipient agencies*

Note: Select the recipient agencies and a principal regulator, if applicable. (k) filing fees*

Indicates this field can be modified after the cover page has been transmitted to the
SEDAR server.

Appendix K General Investment Funds Cover Page
A general investment funds cover page is used for continuous disclosure filings and exemptions and other applications filings. It must include the following information:
(a) name of investment fund group
(b) profile number of investment fund group
(c) list of investment fund issuers
(d) name and telephone and fax number and E-mail ID of contact person * Note: The contact person is a representative of the electronic filer or its filing agent (if the electronic filing is being made by a filing agent on behalf of the electronic filer). The contact person should be someone familiar with the filing to whom any questions could be directed from the securities regulatory authority. (e) documents to be attached to cover page for the filing (f) recipient agencies* Note: Select the recipient agencies. (g) filing fees* (h) financial period ended* Note: This is a date format field. The filer must enter the date in MMDDYYYY format. This field applies when the filing types of Interim Financial Statements/Report, Interim Financial Statements/Report – NonReporting Issuers, Annual Financial Statements, Annual Financial Statements – Non-Reporting Issuers, Interim Management Report of Fund Performance, Annual Report of Fund Performance, Annual Report and Annual Filing are selected. The end date for the period to which the filing relates should be entered here. (i) financial period date relates to* Note: This is a pull-down menu. The filer must select one entry only. This field applies when the filing types of Interim Financial Statements/Report, Interim Financial Statements/Report – Non-Reporting Issuers, Annual Financial Statements, Annual Financial Statements – Non-Reporting Issuers, Interim Financial Statements/Report - XBRL, Annual Financial Statements – XBRL, Interim Management Report of Fund Performance,

Annual Report of Fund Performance, Annual Report and Annual Filing are selected. The filer must select the period to which the filing relates. (j) date of meeting* Note: This is a date format field. The filer must enter the date in MMDDYYYY format. This field only applies when the filing type “Notice of the Meeting and Record Date” or “Management Proxy Materials” has been selected. The filer must enter the date of the meeting to which the filing applies. (k) date of meeting relates to* Note: This is a pull-down menu. The filer must select one entry only. This field only applies when the filing type “Notice of the Meeting and Record Date” or “Management Proxy Materials” has been selected. The filer must select the type of meeting to which the filing relates.

Indicates this field can be modified after the cover page has been transmitted to the
SEDAR server.

Appendix L Issuer Cover Page
This cover page is for securities offering filings. A cover page for a filing under the Exemptions and Other Applications category of filing will not include items (e) to (h). An issuer cover page must include the following information:
(a) name of issuer
(b) profile number of issuer
(c) name and telephone and fax number and E-mail ID of contact person* Note: The contact person is a representative of the electronic filer or its filing agent (if the electronic filing is being made by a filing agent on behalf of the electronic filer). The contact person should be someone familiar with the filing to whom any questions could be directed from the securities regulatory authority. (d) application for exemption order in Note: Select jurisdictions in which these applications have been filed or if no related application is necessary. (e) application for registration in Note: Select jurisdictions in which these applications have been filed or if no related application is necessary. (f) filing procedures Note: Select the national instrument procedure or MI 11-102 or NP 11-202 policy which relate(s) to the filing or if no elective filing procedures are applicable to the filing. (g) documents to be attached to cover page for the filing (h) if the filing is for an offering of securities, then the filer must disclose:
(i) type of securities*
(ii) aggregate gross proceeds (Cdn. $)*
(iii) type of offering* (initial public offering*, primary offering* or secondary offering) (iv) whether future-oriented financial information is included* (v) whether MJDS offering in United States* (vi) prefiling or waiver application

Note: Select if a prefiling or waiver application was filed in advance of this filing. Note: Select jurisdictions where a prefiling or waiver application has been made or if no prefiling or waiver application has been made. (vii) Local Policy Statement Elections Note: Select the Local Policy Statement(s), if any, which relate(s) to the filing. If nothing is selected or if the user does not have authorization to access the field or if the project was created prior to Release 4.0, the box will state “No Information Available”.* (viii) name in English and French of underwriter* Note: If there is more than one underwriter, list the name of the lead underwriter. (ix) name, address, telephone and fax number and contact person for underwriters’ counsel* (x) name, address, telephone and fax number of promoter, if any* Note: If there is more than one promoter, disclose the names of the promoters in the name field and indicate with a # sign the name of the promoter whose address, telephone and fax number is being provided. (i) recipient agencies* Note: Select the recipient agencies and a principal regulator, if applicable. (j) filing fees*

Indicates this field can be modified after the cover page has been transmitted to the
SEDAR server.

Appendix M General Cover Page
A general cover page must include the following:
(a) name of issuer
Note: In the case of a third party filer using this cover page, this is generally the name of the issuer to which the filing relates rather than the name of the third party filer who is making the filing. (b) profile number of issuer (c) name and telephone number and fax and E-mail ID of contact person* Note: The contact person is a representative of the electronic filer or its filing agent (if the electronic filing is being made by a filing agent on behalf of the electronic filer). The contact person should be someone familiar with the filing to whom any questions could be directed from the securities regulatory authority. (d) documents to be attached with cover page for the filing (e) recipient agencies* Note: Select the recipient agencies. (f) filing fees* (g) financial period ended* Note: This is a date format field. The filer must enter the date in MMDDYYYY format. This field only applies when the filing types of Interim Financial Statements/Report, Annual Financial Statements, Annual Report, Interim Financial Statements/Report - XBRL, Annual Financial Statements – XBRL, Annual Financial Statements – Non-Reporting Issuers, Annual Information Forms, Interim Certificates (NI 52-109), Annual Certificates (NI 52-109), Annual Information Form -(NI 51-102), Interim Management Report of Fund Performance, Annual Management Report of Fund Performance, MD&A (annual and interim) and Notice of Use of Proceeds are selected. The end date for the period to which the filing relates should be entered here. h) financial period date relates to* Note: This is a pull-down menu. The filer must select one entry only. This field only applies when the filing types of Interim Financial Statements/Report, Annual Financial Statements, Annual Financial

Statements – Non-Reporting Issuers, Annual Report, Annual Filings, Annual Information Form (NI 51-102), MD &A (annual and interim) and Notice of Use of Proceeds are selected. The filer must select the period to which the filing relates. (i) Continuous Disclosure rule* Note: This is a pull-down menu. The filer must select one entry only. This field applies when the filing types of Interim Financial Statements/Report, Annual Financial Statements, Interim Management Report of Fund Performance, Annual Report of Fund Performance, Annual Report and Annual Filing are selected. The filer must select the period to which the filing relates. (j) date of meeting* Note: This is a date format field. The filer must enter the date in MMDDYYYY format. This field only applies when the filing type Material Change Reports, News Releases, Change of Auditor Filings, Change in Year End Filings, Other Filings, Notice of the Meeting and Record Date or Management Proxy Materials has been selected. The filer must enter the date of the meeting to which the filing applies. (k) date of meeting relates to* Note: This is a pull-down menu. The filer must select one entry only. This field only applies when the filing type Material Change Reports, News Releases, Change of Auditor Filings, Change in Year End Filings, Other Filings, Notice of the Meeting and Record Date or Management Proxy Materials has been selected. The filer must select the type of meeting to which the filing relates.

Indicates this field can be modified after the cover page has been transmitted to the
SEDAR server.

Appendix M (ii) Exempt Market Offerings and Disclosure Cover Page
An Exempt Market Offerings and Disclosure cover page includes the following:
(a) name of issuer
(b) profile number of issuer
(c) name and telephone number and fax and E-mail ID of contact person* Note: The contact person is a representative of the electronic filer or its filing agent (if the electronic filing is being made by a filing agent on behalf of the electronic filer). The contact person should be someone familiar with the filing to whom any questions could be directed from the securities regulatory authority. (d) documents to be attached to cover page for the filing (e) recipient agencies* Note: Select the recipient agencies. (f) filing fees* (g) Schedule 1 warning Warning: Please ensure Schedule 1 has been removed from the report of exempt distribution. It must be filed separately as it contains sensitive personal information. Failure to do so will result in this information being made public.

Indicates this field can be modified after the cover page has been transmitted to the
SEDAR server.

Appendix N Third Party Cover Page
A third party cover page must include the following:
(a) name of issuer (offeree)
(b) name of filer (offeror)
(c) profile number of issuer
(d) profile number of filer
(e) name and telephone number and fax and E-mail ID of contact person* Note: The contact person is a representative of the electronic filer or its filing agent (if the electronic filing is being made by a filing agent on behalf of the electronic filer). The contact person should be someone familiar with the filing to whom any questions could be directed from the securities regulatory authority. (f) documents to be attached with cover page for the filing (g) recipient agencies* Note: Select the recipient agencies. (h) filing fees*

Indicates this field can be modified after the cover page has been transmitted to the
SEDAR server.

Appendix O SEDAR Forms
SEDAR Form 1
Application for SEDAR Filing Services
To: ALBERTA SECURITIES COMMISSION Fax: 1-
866-729-8011 c/o CSA Service Desk
Attn: SEDAR Filing Service Contractor
12 Millennium Blvd, Suite 210,
Moncton, NB E1C 0M3
Legal name of subscriber (in full):
 Check here if this is a new name. Please state previous name below and attach proof of name change. Previous name Please check one:
 Initial SEDAR Form 1: The subscriber below hereby applies for access to the SEDAR Filing Service. Subscriber must complete all sections.  Change to Previous SEDAR Form 1: The subscriber below hereby advises the ASC of the changes in subscriber information noted on this SEDAR Form 1. These changes are effective on the date signed below. If any fields are not completed, the Subscriber confirms that the information of these fields has not changed since the Subscriber’s previous SEDAR Form 1 was filed. Subscriber must provide legal name in section 1 and sign certificate in section 5
Section 1: Subscriber Information
Business Address (street name and number – no P.O. Box please): Billing Address (if different):
City/Town: Province/Territory: Postal Code: City/Town: Province/Territory: Postal Code Telephone No. ( ) Fax No. ( ) Telephone No. ( ) Fax No. ( ) Type of Subscriber:
 Electronic Filer  Filing Agent
Company Website Address:
Section 2: Subscriber’s Contacts (Please provide 2 contacts of each type, if possible. Primary Principal Contact will receive all
assigned identification numbers, passwords and correspondence relating to your subscription.) Primary Alternate Principal Contact: Principal Contact:
Title: Title:
Telephone No. (direct line/ext.): ( ) Telephone No. (direct line/ext.): ( ) Email Address: Email Address:
Specimen Signature: Specimen Signature:
Technical Contact: Technical Contact:
Title: Title:

Telephone No. (direct line/ext.): ( ) Telephone No. (direct line/ext.): ( ) Financial Contact: Financial Contact:
Title: Title:
Telephone No. (direct line/ext.): ( ) Telephone No. (direct line/ext.): ( )
Section 3: Filing Service Options
Number of Software Licenses Required (one for each PC installation):
 Check here if this SEDAR Form 1 includes a request for additional licenses and indicate number:
Operating System of PC:  Windows 2000 Professional  Windows XP Professional  Windows Vista Business (32 bit)  Windows 7 Professional (32 or 64 bit) The SEDAR software is downloaded from www.SEDAR.com. Software can be provided in CD-ROM format upon request. Documentation to be provided in what language:  English  French Total number of user IDs required:
Section 4: Electronic Payment Information
Name of financial institution:
Note: Electronic bank account information must be confirmed by the financial institution’s head office. Number of users required to authorize payments:
 1 User ID  2 User IDs
User ID payment limit (applies only to IDs designated as “Payment Authority up to the Payment Limit”) $ _______________ Request User IDs:
Name of filer Location (Province) No payment authority Payment authority up to the payment limit (selected) above) Unlimited payment authority

  
  
  
*The filer name and address associated with any User ID can be changed in the User Information screen. This function should be utilized to reassign IDs internally. Request IDs to be deleted (please list, if any):
Section 5: Certification and Acknowledgement of Subscriber
The undersigned Subscriber hereby certifies that the foregoing information is true in all material respects, and acknowledges that all access to and use of the SEDAR Filing Services shall be subject to the Subscriber's express acceptance of the terms and conditions of the SEDAR Filing Service Subscriber's Agreement, the software license agreements and related materials delivered in connection therewith (collectively the “Agreement”). The use of any assigned identification numbers and passwords by any Subscriber's authorized users for access to SEDAR Filing Services shall be deemed acceptance of the terms of the Agreement.

If this is a change to a previous SEDAR Form 1, this certification may be signed by the Principal Contact on behalf of the Subscriber except if the change is of a Principal Contact, in which case this certification must be duly authorized by the Subscriber. Signature of subscriber or authorized representative (or principal contact* – for changes to previous SEDAR Form 1):
Date:
Name of subscriber or authorized representative or principal contact signing above (please print):
Title of authorized representative (if applicable) to be completed below or, if signed by principal contact, check in box: 

SEDAR FORM 2
FILING SERVICE SUBSCRIBER'S AGREEMENT
Between:
ALBERTA SECURITIES COMMISSION, as the representative securities regulatory authority authorized to grant licenses and enter into agreements with users of SEDAR, c/o CSA Service Desk, Attn: SEDAR Filing Service Contractor, 12 Millennium Blvd, Suite 210, Moncton, NB E1C 0M3. (hereinafter called “ASC”) And:

Legal Name of Subscriber
Street Address of Subscriber’s head office
City, Province, Postal Code
(hereinafter called “Subscriber”)
1.0 Definitions in this Agreement
In this agreement the following words have the following meanings:
1.1 “Authorized Users” means those individuals who are the agents or employees of the
Subscriber authorized by the Subscriber to access and use the SEDAR Filing Services;
1.2 “CSA” or the “Canadian Securities Administrators” collectively refers to the
thirteen provincial and territorial securities regulatory authorities;
1.3 “Content” means the information contained in any Database;
1.4 “Database” means any databases of Documents or other information made available
to Subscriber as part of the SEDAR Filing Services;
1.5 “Document” has the meaning set out in the National Instrument, and for greater
certainty includes a filer profile as that term is defined in the National Instrument;
1.6 “Electronic Filer” means a person or company referred to (a) in the National
Instrument that is required to comply with the requirements of the National Instrument; or (b) in the MC Filing Requirements that is required or permitted to comply with the MC Filing Requirements; and includes the Subscriber making an Electronic Filing or using the SEDAR Filing Services on its own behalf;

1.7 “Electronic Filing” means a Document that is filed under Securities Legislation
or Securities Directions in Electronic Format or the act of filing a Document under Securities Legislation or Securities Directions in Electronic Format, as the context indicates, and for greater certainty includes a Document transmitted electronically using the SEDAR Filer Software;
1.8 “Electronic Format” means the computerized format of a Document prepared
and transmitted in accordance with the standards, procedures and guidelines contained in the SEDAR Filer Manual;
1.9 “Filing Agent” means a person or company that is authorized to make an
Electronic Filing on behalf of an Electronic Filer, and includes a person or company that is authorized to use the SEDAR Filing Services on behalf of another person or company;
1.10 “Market Centres” means TSX Venture Exchange Inc., its successor and assigns;
1.11 “MC Filing Requirements” means the provisions of any legislation, regulations
or rules made in any province or territory of Canada, or of any by-laws, rules, decisions, orders, rulings, policies or any other similar instrument made by any of the Market Centres, which are in effect from time to time, in whole or in part, and which require or permit issuers of securities and other third parties dealing with such issuers or their securities to file, deliver permit issuers of securities and other third parties dealing with such issuers or other securities to file, deliver or otherwise submit documents or information with or to any of the Market Centres;
1.12 “National Instrument” means the National Instrument 13-101 - System for
Electronic Document Analysis and Retrieval (SEDAR), effective in whole or in
part in the jurisdiction in which the Securities Regulatory Authority is situate, as
amended from time to time;
1.13 “Payment” means the payment of fees and/or charges payable to: (a) the
Securities Regulatory Authorities for filing under any Securities Legislation; and/or (b) the Securities Regulatory Authorities under the System Fee Rules; and/or (c) a Market Centre for filing as permitted under the applicable MC Filing Requirements, all as such fees and charges may be amended from time to time;
1.14 “Payment Authorization” means the electronic data, messages and information
from the Subscriber communicated through SEDAR to authorize the Subscriber’s designated financial institution or other supplier of electronic banking services to make a Payment on the Subscriber’s behalf;
1.15 “Principal Contact” means each individual designated in writing by the
Subscriber who is authorized to administer the SEDAR operations and use of the SEDAR Filing Services on behalf of the Subscriber;

1.16 “Securities Directions” means, for the local jurisdiction in which the Securities
Regulatory Authority is situate, the instruments listed in Appendix A to National Instrument 14-101, as amended from time to time, opposite the name of the local jurisdiction;
1.17 “Securities Legislation” means, for the local jurisdiction in which the Securities
Regulatory Authority is situate, the statute and other instruments listed in
Appendix B to National Instrument 14-101, as amended from time to time,
opposite the name of the local jurisdiction, and with respect to the applicable Market Centre, the MC Filing Requirements and the statutes, by-laws, manuals and other instruments governing or adopted by the Market Centre from time to time;
1.18 “Securities Regulatory Authority” means, for the local jurisdiction, the
securities commission or similar regulatory authority listed in Appendix C to National Instrument 14-101, as amended from time to time, opposite the name of the local jurisdiction;
1.19 “SEDAR” means the computer system for the transmission, receipt, acceptance,
review and dissemination of Documents filed in Electronic Format known as the System for Electronic Document Analysis and Retrieval, and for greater certainty includes the system for communication of Payment Authorizations, access to databases for search and retrieval in electronic form of Electronic Filings, transmission of e-mail communications among SEDAR subscribers, Securities Regulatory Authorities and Market Centres, and access to server workspaces for storage of electronic information;
1.20 “SEDAR Filer Manual” means the most recent version of the SEDAR Filer
Manual: Standards, Procedures and Guidelines for Electronic Filing with the Canadian Securities Administrators, as published on SEDAR.com;
1.21 “SEDAR Filer Software” means the software described in the SEDAR Filer
Manual provided under license to the Subscriber by or through the ASC, which may include third party software, and any new code updates, releases, versions or modifications to the software deemed necessary by the ASC, but the ASC reserves the right to offer new or additional services, features or functions as separately priced options;
1.22 “SEDAR Filing Services” means those services consisting of the licensed use of
one copy of the SEDAR Filer Software installed on a single personal computer of the Subscriber, with the related network access, network usage, server access and usage and support services supplied by or on behalf of the ASC, which, together with Subscriber’s computer operating environment as specified in the SEDAR Filer Manual, enable the Subscriber to file or otherwise submit, in Electronic Format, Document(s) as required or permitted by the Securities Legislation

and/or Securities Directions and/or MC Filing Requirements of any jurisdiction in Canada and which enable the Subscriber to transmit Payment Authorizations and to access databases for search and retrieval in electronic form of Electronic Filings, transmit e-mail communications among SEDAR subscribers, Securities Regulatory Authorities and Market Centres, and access server workspaces for storage of electronic information;
1.23 “SEDAR System Fees” means those fees set forth in the System Fee Rules
charged in connection with SEDAR;
1.24 “System Fee Rules” means Multilateral Instrument 13-102 System Fees for
SEDAR and NRD or similar regulation in effect in whole or in part, as the case may be, in the applicable jurisdiction in which the Securities Regulatory Authority is situate, as amended from time to time;
1.25 “XBRL” means eXtensible Business Reporting Language.
2.0 Responsibilities of the ASC
2.1 The ASC shall supply the SEDAR Filing Services to the Subscriber in accordance
with this agreement, the National Instrument and the MC Filing Requirements.
2.2 The SEDAR Filing Services shall enable the Subscriber to communicate Payment
Authorizations to facilitate the making of Payments to any Securities Regulatory Authority and, subject to the applicable MC Filing Requirements, any Market Centre, as set forth in this agreement, the National Instrument and the MC Filing Requirements, as applicable.
2.3 The ASC shall grant, or cause to be granted to the Subscriber a license to access
and use the SEDAR Filer Software upon and subject to the terms and conditions attached as Appendix A to this agreement and/or are provided and distributed separately to the Subscriber either directly by the ASC or by the third party software supplier. The Subscriber agrees to comply with all of such terms and conditions.
3.0 Responsibilities of the Subscriber
3.1 The Subscriber shall ensure that only its Authorized Users will be permitted
access to and use of the SEDAR Filing Services on the Subscriber’s behalf. The Subscriber is responsible for implementing and exercising security precautions to control such access and use and password protection, with at least the same degree of care and to the same standards as it exercises for its own confidential and proprietary information. The authority of each user ID assigned by (or on behalf of) the ASC to act on behalf of the Subscriber for all purposes of the SEDAR Filing Services and Payment Authorization shall continue in effect until written notice to the contrary is received by the ASC.

3.2 In the event the Subscriber becomes aware of any unauthorized access to the
SEDAR Filing Services, it shall promptly notify the ASC and shall use its best efforts to cooperate in maintaining the security of, access to and use of the SEDAR Filing Services.
3.3 The Subscriber shall pay all the SEDAR System Fees in accordance with the
System Fee Rules. All such fees and charges are non-refundable, except for prepaid fees where a Subscriber is not in breach of this agreement. All such fees and charges shall be paid by Subscriber either: (a) by cheque or other acceptable method of payment, and where such fees and charges are invoiced, following receipt of such invoice and Subscriber agrees to pay invoiced amounts within thirty (30) days of the invoice date; or (b) by Payment Authorization if the Electronic Filing or other use of the SEDAR Filing Services requires a payment, and such Payment Authorization shall be given contemporaneously with the first Electronic Filing in the project or at the time such other use is made. The Subscriber agrees to pay interest on all unpaid fees and charges at the rate set forth, if any, in the applicable rule or instrument, from the due date. The Subscriber shall not make an Electronic Filing and/or use the SEDAR Filing Services (i) on its own behalf or as Filing Agent on behalf of any other person or company unless Subscriber has paid any fees and charges then due from the Subscriber, including, without limitation, any annual or other filing service fees and charges; or (ii) on behalf of any other person or company if such person or company has not paid, and Subscriber knows or is deemed to know that such person or company has not paid, any fees and charges then due by it, including, without limitation, any annual or other filing service fees and charges. For the purposes of section 3.3(ii) above and without limiting the generality of the foregoing, the Subscriber will also be deemed to know that a person or company has not paid any such fees and charges if information to that effect is sent by or on behalf of the ASC, either by a notice sent in the manner contemplated in section 15 herein, or by a subscriber update or other bulletin or correspondence sent by telecopier to the telecopier number advised by the Principal Contact of the Subscriber.
3.4 The Subscriber agrees to indemnify and save the ASC and the CSA Related
Parties (as defined below) harmless against any and all losses, claims, damages, actions, causes of action or costs and expenses, that any such person may incur, suffer, sustain, or be put to, by reason of an act or omission of the Subscriber, its Authorized Users, its affiliates, its principals or agents acting on Subscriber’s behalf, which results from Subscriber’s material breach of this agreement, or Subscriber’s gross negligence or wilful misconduct in its use of SEDAR.
3.5 The Subscriber is responsible for the installation and testing of the SEDAR Filer
Software at its own expense, and for supplying or having use of all the computer equipment, supporting equipment, hardware, software, related services including internet access, communication services and related technical support that it requires in order to prepare, send or receive Documents and Payments as

contemplated by this agreement, the National Instrument, the SEDAR Filer Manual and, if applicable, the MC Filing Requirements. Subscriber acknowledges that the SEDAR system does not verify whether an Electronic Filing conforms to the electronic formatting requirements set out in the SEDAR Filer Manual and that the SEDAR system may restrict the Subscriber’s ability to submit Electronic Filings that may be infected with a virus. The Subscriber acknowledges that each Electronic Filer is responsible for ensuring that an Electronic Filing transmitted by it directly or by a Filing Agent on its behalf or its use of the SEDAR Filing Services directly or through a Filing Agent does not and is not in breach of any laws, regulations or conventions, including, but not limited to, those relating to data privacy (including ensuring that all appropriate consents are in place in order to disclose personal information contained in the Electronic Filings), communication and exportation of technical or personal data and that each Electronic Filing is free of viruses, worms, trojan horses or other items of a destructive nature. The ASC and the other members of the CSA shall not be responsible or liable as a result of a breach of the foregoing.
3.6 The Subscriber is responsible for verifying the status of an Electronic Filing made
by it, for establishing and maintaining a back-up procedure for the reconstruction of any lost or damaged Document in Electronic Format that is to be or has been transmitted using the SEDAR Filing Services and SEDAR Filer Software, for retaining paper copies and original signed copies of Electronic Filings and for delivering copies of documents, or portions thereof, where required by Securities Legislation or Securities Directions.
3.7 The Subscriber shall advise of any changes in the information contained in any
previously filed Application For SEDAR Filing Services (SEDAR Form 1), or subsequent information by submitting a newly completed SEDAR Form 1.
4.0 Payment Authorizations
4.1 If the Subscriber intends to make Electronic Filings of a type that will either
require the Subscriber to make Payments to the Securities Regulatory Authorities using the SEDAR system and no other subscriber will be making the Payments on behalf of the Subscriber, or if the Subscriber is permitted pursuant to the applicable MC Filing Requirements to make Payments to a Market Centre and the Subscriber intends to make Payments to the Market Centres, then this section 4.0 applies and the Subscriber shall provide or cause their electronic data interchange (“EDI”) compliant financial institution to provide all required information concerning its EDI compatible account or other electronic banking facility (collectively the “Electronic Banking Information”) which shall be used to facilitate and communicate Payment Authorizations through SEDAR.
4.2 The Subscriber is solely responsible for the accuracy of such Electronic Banking
Information and user IDs requested by Subscriber and shall provide reasonable notice of any changes.

4.3 The Subscriber is solely responsible for establishing and maintaining any account
and agreements with its designated financial institution or other supplier of electronic banking facilities (collectively the “FI”), including without limitation, maintaining current Electronic Banking Information for pre-authorized recipients of Payments from such account, for the purposes of making any Payment and for all service charges relating to the account or other facility used, including those charges for its processing of electronic payment instructions.
4.4 The Subscriber acknowledges that Payment Authorizations are transmitted using
the SEDAR Filer Software and that the Subscriber shall be, for all purposes, the EDI payment originator with respect to any Payment. All Payment Authorizations become irrevocable once the pay command for the transmission of the Electronic Filing or other use of the SEDAR Filing Services in respect thereof is entered, unless the Payment Authorization cannot be acted upon, in which case the SEDAR system will record the unsuccessful Payment Authorization. The Subscriber is responsible for verifying that its Payment Authorizations are successful.
4.5 The Subscriber is solely responsible for the actions of the Principal Contact,
employees, agents and contractors authorized by it and under its control, including without limitation, individual(s) that, from time to time: (a) receive assigned identification numbers and passwords; (b) distribute identification numbers and passwords to Authorized Users; (c) provide Electronic Banking Information; (d) make any Payment Authorization; and (e) advise of changes to any of the foregoing. The ASC and the other members of the CSA shall not be responsible, directly or indirectly, for any inaccuracies, errors or omissions in the Electronic Banking Information or authorities of Authorized Users instructed by the Subscriber or for Payment errors or failed Payments resulting therefrom.
4.6 The Subscriber is solely responsible for keeping its Electronic Banking
Information, account balances and records up to date, for reviewing payment confirmation screens before transmitting any Payment Authorization and for verifying that the amount of any Payment for fees and charges is correct.
5.0 Mutual Acknowledgements
5.1 Access to and use of the SEDAR Filing Services is restricted to Authorized Users
of the Subscriber only. The ASC will establish a Subscriber’s account and Authorized User identification numbers and passwords and may establish a personal identification number (“PIN”) unique to the Subscriber, each of which will be given to the Subscriber’s Principal Contact. Subscriber is responsible for changing initial passwords upon gaining access to the SEDAR Filing Services and at any other times necessary for security purposes and for notifying the ASC in writing as soon as possible if a breach of security is suspected or if the integrity of the PIN is at risk. The ASC reserves the right to decline to assign a new PIN if the signature of the Principal Contact cannot be verified using a specimen signature on file. The Subscriber’s Documents in Electronic Format which will be or have

been transmitted as part of the SEDAR Filing Services will be handled by the ASC in accordance with its established security procedures, the effectiveness of these procedures being dependent upon Subscriber’s implementation of those aspects of the procedures which are under Subscriber’s control.
5.2 The Subscriber acknowledges that the ASC, for the purposes of supplying the
SEDAR Filing Services, is not an agent of the Subscriber, the CSA, the Market Centre(s) or any other party.
5.3 The SEDAR Filer Software, SEDAR user guides, SEDAR installation guides,
instructions and system information, which are made available by the ASC are, as between the ASC and the Subscriber, the exclusive property of the ASC, except for pre-existing works and/or third party software forming part thereof and used in connection with the SEDAR Filing Services, the latter being the proprietary material of third party suppliers. No title to any property or goods is being purchased or transferred under this agreement. The Subscriber shall not take any steps, directly or indirectly, to challenge the proprietary rights of the ASC and its suppliers in the SEDAR Filer Software.
5.4 Access to and use of the SEDAR Filing Services is subject to this agreement and
the SEDAR Filer Software licenses granted to the Subscriber.
5.5 SEDAR is a registered trade-mark of the CSA. The Subscriber acknowledges that
the supply of the SEDAR Filing Services set out in this agreement does not include the grant of any right, title, interest or license to use the SEDAR trademark for any purpose whatsoever. Any such use by Subscriber is strictly prohibited.
5.6 Subscriber acknowledges and agrees that it does not and will not, by virtue of this
agreement, acquire any proprietary interest in the Database, or any portion thereof, which Database includes Documents filed by an Electronic Filer; however subject to the foregoing, nothing herein shall restrict any other rights an Electronic Filer may have to use, independent of the SEDAR system, any Document which was electronically filed by it using the SEDAR Filing Services. Subscriber acknowledges and agrees that it is authorized: (a) to view, download and print Documents retrieved from the Database and use Documents and Content for its own personal and non-commercial use only; and (b) to provide limited extracts and/or unaltered copies of Documents retrieved from the Database or Content, to bona fide clients provided that: (i) Subscriber is reasonably satisfied that any such bona fide client will use the Documents and/or Content for its own personal and non-commercial purposes only or Subscriber uses contractual or other means to ensure that any such bona fide client complies with the restrictions on use of the Documents and the Content, set out in this agreement; and (ii) where a Document filed in (XBRL) format is provided or forwarded to third parties, including bona fide clients, Subscriber informs such recipients that such Document has been filed pursuant to a voluntary filing program established by the CSA, that it is not a substitute for the corresponding version of such Document

filed in PDF format, and that it may not include all of the information contained in the corresponding PDF version of such Document; and (iii) Subscriber retains any and all copyright and other proprietary notices. A “bona fide client” is a client of Subscriber who has retained Subscriber principally for the purpose of receiving goods or services from the Subscriber, other than the Documents or the Content, or other similar information, such that providing the Documents or the Content, or other similar information is only incidental to the primary business relationship between the Subscriber and such client. Except as otherwise set out in this agreement, Subscriber acknowledges and agrees that unless the Subscriber has received the prior written permission of the ASC: (a) Subscriber will not, directly or indirectly, sell, assign, distribute, provide access to, transmit, exploit, copy, modify, publish, republish, reproduce, repackage, retransmit, resell, recompile, decompile, disassemble, reverse engineer or otherwise disseminate, the Database, or any portion thereof, SEDAR, the Documents, the Content, or any derivative works from the Documents, or any portion thereof, in any medium or in any manner whatsoever; and (b) Subscriber will not use the Database or any or all of the Documents or the Content to construct a database of any kind, nor store the Database, the Documents or the Content (in whole or in part) in databases for access by Subscriber or any third party, nor distribute any database services containing all or part of the Database, the Documents or the Content. The ASC shall have the right, from time to time, to impose changes, restrictions or conditions in respect of the use of the Database by the Subscriber, any group of subscribers or any particular client of a Subscriber, including withdrawing permission to use the Database and Subscriber agrees to promptly comply with all such changes, restrictions and conditions.
5.7 Unless specifically granted, nothing herein shall be construed as conferring to
Subscriber any right under any copyright of the ASC and/or the other members of the CSA or third parties who own copyright in the Content. With the exception of the public Documents, all right, title and interest in the compilations of Documents, the Database, associated market data and information and databases, including without limitation, SEDAR 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 Subscriber acknowledges and agrees that copyright subsists in SEDAR, including in the selection, arrangement and assembly of the public Documents and Content, and that such copyright is owned by the ASC and/or the other members of the CSA or their respective suppliers. Any rights not expressly granted in this agreement are reserved.
5.8 In furtherance of the objective of enhancing investor awareness of the business
and affairs of public companies and investment funds and promoting confidence in the transparent operation of capital markets in Canada, Subscriber acknowledges on its own behalf, and if Subscriber is a Filing Agent, on behalf of the corresponding Electronic Filer, that the ASC and its licensees may reproduce and distribute Content, in whole or in part, and that they may license the use, reproduction and distribution of Content, in whole or in part, to third parties,

whether on a commercial or non-commercial basis, including any Content that has been, or will be, filed or submitted by Subscriber on its own behalf, or on behalf of an Electronic Filer, through SEDAR.
5.9 The Subscriber agrees that misappropriation or unauthorized use of the Database
or the Content by the Subscriber or its breach of this agreement will cause the ASC serious damage for which money damages may not constitute sufficient remedy and that in such instances the ASC and the other members of the CSA may seek and obtain injunctive relief, in addition to any other remedies available to them.
6.0 Limitations & Warranties
6.1 The Subscriber accepts sole responsibility for its access to and use of the SEDAR
Filing Services. The instructions given by a Subscriber to effect an Electronic Filing or any Payment Authorizations and/or otherwise use the SEDAR Filing Services constitute the representation and warranty of the Subscriber that Subscriber has full power, right and authority to effect the same in accordance with Subscriber’s instructions and Subscriber is deemed to have provided its permission to the collection, use and disclosure of information contained therein for the purposes set out in the National Instrument and for other disclosures to the public in the manner authorized by the CSA, including without limitation, on www.sedar.com, whether Subscriber is acting on its own behalf or as a Filing Agent. When retrieving or making use of any information contained in the Database, the Subscriber shall comply with all applicable laws, including, without limitation, Canadian privacy laws, and the Subscriber shall apply professional judgment in making use of such information, including, without limitation, the use or accuracy of any information, as the basis for any conclusions. Furthermore, Documents filed in (XBRL) format have been filed pursuant to a voluntary filing program established by the CSA and are not a substitute for the corresponding version of such Documents filed in PDF format. Documents filed in XBRL format may not include all of the information contained in the PDF version of the corresponding Document; Subscriber should refer to the Document in PDF format to view the complete version filed with the Securities Regulatory Authority. Due to the nature of XBRL format documents, Subscriber may be required to retrieve several separate data files in order to compile a complete document in XBRL format.
6.2 The ASC shall at all times endeavour to professionally and efficiently supply the
SEDAR Filing Services. However, other than as expressed herein, neither the ASC, the other members of the CSA, their respective service providers, nor their respective directors, officers, members, employees or agents (collectively, the CSA Related Parties”) make any representation or warranty, or condition expressed or implied, statutory or otherwise, as to the use of the SEDAR Filing Services or SEDAR Filer Software, including without limitation, any representations or warranties as to quality, accuracy of contents, completeness, merchantability, or fitness for a particular purpose of any use of the SEDAR

Filing Services or SEDAR Filer Software or that any specialized requirements of the Subscriber will be met. Except as stated in this agreement, all implied warranties or conditions of merchantability or fitness for a particular purpose are hereby disclaimed and excluded from this agreement.
6.3 Without limiting the generality of the foregoing, neither the ASC, nor the CSA
Related Parties make any representations or warranties: that the use of the SEDAR Filing Services or SEDAR Filer Software will be uninterrupted, free from errors or offered without delays, due to circumstances within or beyond their reasonable control.
6.4 Neither the ASC, nor the CSA Related Parties will be liable for any loss or
damage caused by any delay in the access to the SEDAR Filing Services or for any delay or failure in any transmission system or for any alteration in the content or format of any information and/or documentation transmitted using the SEDAR Filing Services or for any delay as the result of the failure or malfunction in any hardware or software.
6.5 If liable, notwithstanding the express exclusions and limitations set out in this
agreement, under this agreement or any statute or rule of law, any and all liability of the ASC and the CSA Related Parties is limited to the payment to Subscriber for actual and direct damages of Subscriber to a maximum amount equal to the SEDAR System Fees paid by the Subscriber on its own behalf or on behalf of a particular Electronic Filer for the specific affected or failed filing to a Securities Regulatory Authority or other specific or failed use of a SEDAR Filing Service, or $10,000 (CDN), whichever is less, provided that Subscriber is not in breach of this agreement, the National Instrument or, if applicable, the MC Filing Requirements. No party shall be liable for any loss or damage suffered by the other or caused by a failure to perform any duty imposed by this agreement where such failure is caused by an event, omission or condition not reasonably within the control of the defaulting party. Except as contemplated above in this section 6.5, neither the ASC, nor any CSA Related Party shall be liable for (a) direct, indirect, general, special, incidental or consequential damages, lost profits, lost savings or any other damages arising out of this agreement, the access or use, or inability to access or use, the SEDAR Filing Services, the SEDAR Filer Software, Documents that may be made available through the SEDAR Filing Services, the use, accuracy or completeness of any information, Document or the Database, or any information or reliance on information contained in a Document filed in XBRL format or any deviation of such information from information contained in the corresponding version of that Document filed in XBRL format; and (b) damages of third parties claimed against Subscriber, even if the ASC has been advised of the possibility of any such damages. The foregoing limitations of liability apply regardless of the basis on which Subscriber is entitled to claim, including but not limited to breach of contract, even if in the nature of a breach of a condition or a fundamental term or a fundamental breach, or tort, including but not limited to negligence or misrepresentation. No action, regardless of form,

arising out of this agreement may be brought by either party against the other more than two years after the cause of action arises.
7.0 Term
7.1 The term of this agreement shall commence on the earliest of the following: (a)
the date Subscriber or any of its Authorized Users use any user IDs assigned by the ASC to Subscriber; and (b) the date the ASC receives a signed copy of this agreement, and shall continue, subject to termination, as set out in this agreement.
8.0 Confidentiality and Privacy
8.1 The parties undertake and agree to respect the confidential nature of all
confidential and proprietary information and Documents provided by the other party, related directly or indirectly, to the SEDAR Filing Services, the SEDAR Filer Software, its documentation, initial installation or implementation in the Subscriber’s computer(s), server(s), network(s), and, consequently, never to disclose any part thereof to anyone, with the exception of their directors, officers, employees, agents, legal advisors or sub-contractors who need to know or use the same for the purpose of performing obligations or rights under this agreement, and the Securities Regulatory Authorities and the Market Centres. Such information may be disclosed to the extent required by law provided that the party seeking to make such disclosure informs the other party and uses reasonable efforts to obtain a confidentiality undertaking from the recipient. For greater certainty, nothing herein shall be interpreted as prohibiting the Subscriber, the ASC or the other members of the CSA from publicly disclosing Documents by means of the SEDAR Filing Services in a manner consistent with the National Instrument or as otherwise required by applicable Securities Legislation.
8.2 The following information and documents are expressly excluded from this
confidentiality commitment:
8.2.1 any information or document which is or shall become publicly available,
except as a result of a default under this agreement; or
8.2.2 any information or document which one of the parties shall legally obtain
from a third party; or
8.2.3 any information or document which the receiving party had obtained
without an obligation of confidence prior to disclosure thereof by the disclosing party; or
8.2.4 any information or document which one of the parties, its directors,
officers, employees or agents develops independently and without using any part of the confidential information or documents received from the other party or without contravening this agreement.
8.3 If Subscriber has indicated on SEDAR Form 1 that it will be a Filing Agent, the
ASC may include Subscriber’s name and basic contact information in a list of the ASC subscribers or specific class of subscribers, and may make such information

available to any person upon request, unless Subscriber requests otherwise by written notice to the ASC.
8.4 The personal or other information of individuals contained in SEDAR is governed
by privacy laws, including without limitation, the public sector privacy legislation applicable to the Securities Regulatory Authorities and private sector privacy legislation applicable to the Subscriber, as the case may be. Personal information that is filed in Documents in SEDAR, using the SEDAR Filing Services, is collected on behalf of and used by the Securities Regulatory Authorities for purposes of the administration and enforcement of certain provisions of Securities Legislation. Some information will be made public pursuant to Securities Legislation in each of those jurisdictions. Other information will remain confidential and will not be disclosed to any person or company except to any of the Securities Regulatory Authorities or their authorized representatives or except where required or permitted by law. Subscriber will not knowingly submit or file any personal information contained in an Electronic Filing by Subscriber, nor use or disclose any personal information contained in the Content for purposes unrelated to the purposes for which the information is made available to the public under Canadian securities laws, including, without limitation, for marketing purposes, unless Subscriber has first obtained any and all consents as required under applicable Canadian privacy laws. For details about the purposes for which the information is made available to the public under Canadian securities laws, please refer to the Privacy Statement posted from time to time on www.sedar.com. The use of SEDAR is subject to the terms of the aforementioned Privacy Statement.
9.0 Amendments and Changes
9.1 The ASC may:
9.1.1 amend this agreement; or
9.1.2 amend the SEDAR Filing Services from time to time;
on thirty days’ notice in writing addressed to the Subscriber or otherwise communicated through SEDAR to the Subscriber.
9.2 The Subscriber shall be deemed to have accepted any such amendments after
receipt from the ASC of the notice of amendments or changes if:
9.2.1 it has continued, through any of its Authorized Users, to use any access
codes issued to the Subscriber in accessing the SEDAR Filing Services, as may be amended; or
9.2.2 it has continued to use the SEDAR Filing Services or other service, as may
be amended.
9.3 In the event of any of the foregoing actions, the Subscriber agrees that it shall be
bound by the provisions of the amendment, if applicable, notwithstanding the lack of a manual signature of the Subscriber upon any amended agreement.

9.4 Notwithstanding sections 9.1 and 9.2, in the case of amendments to this
agreement, or any previous form of SEDAR Form 2 executed by the Subscriber or its predecessor, which are mandated when the National Instrument, MC Filing Requirements or any amendment thereto becomes effective as a rule, regulation or other legally binding instrument, such amended SEDAR Form 2 or any specific amendments to a prior executed SEDAR Form 2 will be binding on the Subscriber on the date the National Instrument, MC Filing Requirements or any amendment thereto, becomes effective, notwithstanding the date of Subscriber’s receipt of notice thereof or the lack of a manual signature of the Subscriber upon any amended SEDAR Form 2 or specific amendment thereto, unless otherwise specifically provided in the National Instrument or MC Filing Requirements.
9.5 The ASC may also offer new or additional services, features or functions through
SEDAR and set any applicable fees and charges therefor from time to time. The Subscriber shall be deemed to have accepted any such new or additional services, features or functions and applicable fees and charges if it has commenced using such new or additional services, features or functions.
10.0 Interpretation
10.1 If any provision of this agreement shall be found to be invalid or unenforceable,
in whole or in part, such provision shall be severed from this agreement, and all other provisions shall remain in full force and effect. The parties shall replace any such invalid or unenforceable provision with a valid provision which most nearly conforms to their original intent. Headings contained in this agreement are for convenient reference only and do not form part of this agreement. A word importing the singular includes the plural and vice versa. A reference to the Securities Legislation, Securities Directions or to a provision thereof shall be deemed to include a reference to any legislation, instrument, rule, regulation or provision enacted in substitution therefor or amendment thereof. All fees and charges are payable in Canadian funds. A facsimile or other electronic transmission of a signed copy of this agreement sent to the ASC shall be deemed to be an original signed copy.
10.2 This agreement, together with the Application For SEDAR Filing Services
(SEDAR Form 1) and the SEDAR Filer Software licenses, constitutes the only agreement between the parties with respect to the subject matter of this agreement, and supersedes and replaces any written or oral proposal, document or arrangement with respect to the services contemplated by this agreement. In addition, the Subscriber hereby recognizes and acknowledges that it has taken cognizance of the SEDAR Filer Manual and the National Instrument, the System Fee Rules and, if applicable, the MC Filing Requirements.

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