THE MANITOBA SECURITIES COMMISSION MSC RULE 2009-4 (Section 149.1, The Securities Act) Amendments to National Instrument 14-101 Definitions 1. National Instrument 14-101 Definitions is amended by this Instrument. 2. Section 1.1(3) is amended a. by repealing the definition of "dealer registration requirement" and substituting the following: "dealer registration requirement" means: (a) in every jurisdiction except British Columbia, Manitoba and New Brunswick, the requirement in securities legislation that prohibits a person or company from acting as a dealer unless that person or company is registered in the appropriate category of registration under securities legislation, and (b) in British Columbia, Manitoba and New Brunswick, the requirement in securities legislation that prohibits a person or company from trading in a security unless that person or company is registered in the appropriate category of registration under securities legislation;, b. by adding the following after the definition of "insider reporting requirement": "investment fund manager registration requirement" means the requirement in securities legislation that prohibits a person or company from acting as an investment fund manager unless the person or company is registered in the appropriate category of registration under securities legislation;, c. by repealing the definition of “person or company” and substituting the following: “person or company”, for the purpose of a national instrument or multilateral instrument, means, (a) in British Columbia, a “person” as defined in section 1(1) of the Securities Act (British Columbia); (b) in New Brunswick, a “person” as defined in section 1(1) of the Securities Act (New Brunswick); (c) in the Northwest Territories, a “person” as defined in section 1 of the Securities Act (Northwest Territories); (d) in Prince Edward Island, a “person” as defined in section 1 of the Securities Act (Prince Edward Island); (e) in Québec, a “person” as defined in section 5.1 of the Securities Act (Québec); and (f) in Yukon Territory, a “person” as defined in section 1 of the Securities Act (Yukon territory)., and d. by repealing the definition of "registration requirement" and substituting the following:
"registration requirement" means all of the following: (a) the adviser registration requirement, (b) the dealer registration requirement, (c) the investment fund manager registration requirement, and (d) the underwriter registration requirement; . 3. Appendix B is amended by replacing the paragraph opposite Québec with the following: Securities Act, An Act respecting the Autorité des marchés financiers (R.S.Q., c. A-33.2), Derivatives Act (S.Q. 2008, c. 24), the regulations under those Acts, and the blanket rulings and orders issued by the securities regulatory authority. 4. Appendix C is amended by replacing the paragraph opposite Northwest Territories with the following: Superintendent of Securities, Northwest Territories 5. Appendix D is amended by replacing the paragraph opposite Northwest Territories with the following: Superintendent, as defined under section 1 of the Securities Act (Northwest Territories). 6. This Instrument comes into force on the day National Instrument 31-103 Registration Requirements and Exemptions comes into force. 7. This Instrument may be cited as MSC Rule 2009-4.
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