Elizabeth Topp

The Filer applied for exemptive relief from the prohibition in paragraph 13.18(2)(b) of NI 31-103, which prevents registered individuals from using corporate officer titles unless appointed pursuant to corporate law.

The Filer sought to allow its registered individuals to use titles such as 'Managing Director' and 'Vice President' when interacting exclusively with institutional permitted clients.

The Ontario Securities Commission granted the exemption, noting that the titles are widely recognized in the institutional segment and their use would not deceive or mislead sophisticated clients.

The Filer, HarbourVest Partners (Canada) Limited, applied for exemptive relief from paragraph 13.18(2)(b) of National Instrument 31-103, which prohibits registered individuals from using corporate officer titles unless appointed pursuant to corporate law.

The Filer sought to allow its registered individuals to use titles such as 'Managing Director' and 'Vice President' when interacting exclusively with institutional clients.

The Ontario Securities Commission granted the exemption, finding that the use of such titles with sophisticated institutional clients would not be expected to deceive or mislead, and that denying the relief would place the Filer at a competitive disadvantage.

The Filers applied for exemptive relief under section 15.1 of National Instrument 31-103 to permit five representatives to be dually registered as advising and dealing representatives of both Northwood Family Office Ltd. and CI Private Counsel LP for a limited transition period.

The dual registration was requested to facilitate the transfer of certain client accounts between the affiliated firms following an internal reorganization.

The Ontario Securities Commission granted the requested relief, subject to conditions including strict supervision, conflict of interest management, and written disclosure to clients.

The applicant applied for exemptive relief from the prohibition in paragraph 13.18(2)(b) of National Instrument 31-103, which prevents registered individuals from using corporate officer titles unless appointed pursuant to corporate law.

The applicant sought to allow its registered individuals to use titles such as 'Vice President' or 'Managing Director' when interacting exclusively with non-individual permitted or institutional clients.

The Ontario Securities Commission granted the exemption, finding that the use of such titles would not deceive or mislead sophisticated institutional clients and that compliance would cause significant operational challenges.

The Filers, BMO Nesbitt Burns Inc. and BMO InvestorLine Inc., applied for exemptive relief from the dual registration restriction under paragraph 4.1(1)(b) of National Instrument 31-103.

The relief would allow their Online Program Representatives to be registered as dealing representatives for both firms to service clients of their respective online programs, BMO SmartFolio and BMO InvestorLine adviceDirect.

The principal regulator granted the relief, subject to conditions including joint supervision, adequate time and resources, conflict of interest policies, and written disclosure to clients.

The Filers applied to the Ontario Securities Commission for an exemption from the dual registration restrictions in National Instrument 31-103.

The exemption was sought to permit an advising representative to be registered with both Venable Park Investment Counsel Inc. and R.N.Croft Financial Group Inc. for a limited period following the acquisition of VPIC by CFG.

The Commission granted the exemption, subject to conditions including adequate supervision, conflict of interest policies, and disclosure to clients, until VPIC's registration is revoked.

The Filers applied to the Ontario Securities Commission for exemptive relief from certain requirements of National Instrument 33-109 to allow the bulk transfer of registered individuals and business locations from Jarislowsky, Fraser Limited to 1832 Asset Management L.P. The transfer was part of an internal reorganization within The Bank of Nova Scotia.

The Commission granted the requested exemption, finding that the bulk transfer would facilitate seamless service for clients without detrimental impact.

The Filer, Polar Asset Management Partners Inc., applied for exemptive relief from the prohibition in paragraph 13.18(2)(b) of National Instrument 31-103, which prevents registered individuals from using corporate officer titles unless appointed pursuant to corporate law.

The Filer sought to allow its registered individuals to use titles such as 'Vice President' and 'Managing Director' when interacting exclusively with institutional clients.

The Ontario Securities Commission granted the exemption, finding that the use of such titles would not deceive or mislead sophisticated institutional clients and that compliance would cause significant operational challenges.