• Appointment, Change, Termination

    • OFS-3.2.8

      Any appointment of an advisor must be made in the form of a written agreement, contract and/or official letter issued by the issuer or lead manager as applicable.

      January 2014

    • OFS-3.2.9

      The acceptance of the appointment by the advisor must be made in the form of an official written confirmation.

      January 2014

    • OFS-3.2.10

      The name of the appointed advisors must be prominently disclosed in the offering document and in all advertising materials.

      January 2014

    • OFS-3.2.11

      A person appointed to act as an appointed advisor shall not cease to act as such until another has taken office with CBB approval.

      January 2014

    • OFS-3.2.12

      An issuer must notify the CBB in writing immediately of the appointment or dismissal or replacement of an advisor that had been appointed. In the case of a dismissal, the reasons for dismissal must be provided.

      January 2014