6 ( & 7 , 2 1
Regulatory Agency Statements
x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x x
x x x
5$',2 )5(48(1&< (0,66,216
)HGHUDO &RPPXQLFDWLRQV &RPPLVVLRQ )&& 3DUW
7KLV GHYLFH FRPSOLHV ZLWK SDUW RI WKH )&& UXOHV 2SHUDWLRQ LV VXEMHFW WR WKH IROORZLQJ WZR FRQGLWLRQV 7KLV GHYLFH PD\ QRW FDXVH KDUPIXO
LQWHUIHUHQFH DQG WKLV GHYLFH PXVW DFFHSW DQ\ LQWHUIHUHQFH UHFHLYHG LQFOXGLQJ LQWHUIHUHQFH WKDW PD\ FDXVH XQGHVLUHG RSHUDWLRQ
,QGXVWU\ &DQDGD
7KLV &ODVV % GLJLWDO DSSDUDWXV FRPSOLHV ZLWK &DQDGLDQ ,&(6
&HW $SSDUHLO QXPpULTXH GH OD FODVVH % HVW FRQIRUPH j OD QRUPH 10% GX &DQDGD
7(/(3+21(02'(0 ,17(5)$&(
)&& 3DUW
7KLV HTXLSPHQW FRPSOLHV ZLWK 3DUW RI WKH )&& UXOHV 2Q WKH IURQW FRYHU RI WKLV HTXLSPHQW LV D ODEHO WKDW FRQWDLQV WKH )&& UHJLVWUDWLRQ
QXPEHU DQG 5LQJHU (TXLYDOHQFH 1XPEHU 5(1 <RX PXVW SURYLGH WKLV LQIRUPDWLRQ WR WKH WHOHSKRQH FRPSDQ\ ZKHQ UHTXHVWHG
7KLV HTXLSPHQW XVHV WKH IROORZLQJ 862& MDFN 5-;
7KLV HTXLSPHQW PD\ QRW EH XVHG RQ WHOHSKRQHFRPSDQ\SURYLGHG FRLQ VHUYLFH &RQQHFWLRQ WR SDUW\ OLQHV LV VXEMHFW WR VWDWH WDULIIV 7KLV
HTXLSPHQW LV KHDULQJDLG FRPSDWLEOH
,QGXVWU\ &DQDGD
127,&( 7KH ,QGXVWU\ &DQDGD /DEHO LGHQWLILHV FHUWLILHG HTXLSPHQW 7KLV FHUWLILFDWLRQ PHDQV WKDW WKH HTXLSPHQW PHHWV WHOHFRPPXQLFDWLRQV
QHWZRUN SURWHFWLYH RSHUDWLRQDO DQG VDIHW\ UHTXLUHPHQWV DV SUHVFULEHG LQ WKH DSSURSULDWH 7HUPLQDO (TXLSPHQW 7HFKQLFDO 5HTXLUHPHQWV
GRFXPHQWV 7KH 'HSDUWPHQW GRHV QRW JXDUDQWHH WKH HTXLSPHQW ZLOO RSHUDWH WR WKH XVHUªV VDWLVIDFWLRQ
%HIRUH LQVWDOOLQJ WKLV HTXLSPHQW XVHUV VKRXOG HQVXUH WKDW LW LV SHUPLVVLEOH WR EH FRQQHFWHG WR WKH IDFLOLWLHV RI WKH ORFDO WHOHFRPPXQLFDWLRQV
FRPSDQ\ 7KH HTXLSPHQW PXVW DOVR EH LQVWDOOHG XVLQJ DQ DFFHSWDEOH PHWKRG RI FRQQHFWLRQ 7KH FXVWRPHU VKRXOG EH DZDUH WKDW FRPSOLDQFH ZLWK
WKH DERYH FRQGLWLRQV PD\ QRW SUHYHQW GHJUDGDWLRQ RI VHUYLFH LQ VRPH VLWXDWLRQV
5HSDLUV WR FHUWLILHG HTXLSPHQW VKRXOG EH FRRUGLQDWHG E\ D UHSUHVHQWDWLYH GHVLJQDWHG E\ WKH VXSSOLHU $Q\ UHSDLUV RU DOWHUDWLRQV PDGH E\ WKH XVHU
WR WKLV HTXLSPHQW RU HTXLSPHQW PDOIXQFWLRQV PD\ JLYH WKH WHOHFRPPXQLFDWLRQV FRPSDQ\ WR UHTXHVW WKH XVHU WR GLVFRQQHFW WKH HTXLSPHQW
8VHUV VKRXOG HQVXUH IRU WKHLU RZQ SURWHFWLRQ WKDW WKH HOHFWULFDO JURXQG FRQQHFWLRQV RI WKH SRZHU XWLOLW\ WHOHSKRQH OLQHV DQG LQWHUQDO PHWDOOLF
ZDWHU SLSH V\VWHP LI SUHVHQW DUH FRQQHFWHG WRJHWKHU 7KLV SUHFDXWLRQ PD\ EH SDUWLFXODUO\ LPSRUWDQW LQ UXUDO DUHDV
&DXWLRQ 8VHUV VKRXOG QRW DWWHPSW WR PDNH VXFK FRQQHFWLRQV WKHPVHOYHV EXW VKRXOG FRQWDFW DSSURSULDWH HOHFWULF LQVSHFWLRQ DXWKRULW\ RU
HOHFWULFLDQ DV DSSURSULDWH
5LQJHU (TXLYDOHQFH 1XPEHU 1RWLFH
7KH 5LQJHU (TXLYDOHQFH 1XPEHU 5(1 DVVLJQHG WR HDFK WHUPLQDO GHYLFH SURYLGHV DQ LQGLFDWLRQ RI WKH PD[LPXP QXPEHU RI WHUPLQDOV DOORZHG
WR EH FRQQHFWHG WR D WHOHSKRQH LQWHUIDFH 7KH WHUPLQDWLRQ RQ DQ LQWHUIDFH PD\ FRQVLVW RI DQ\ FRPELQDWLRQ RI GHYLFHV VXEMHFW RQO\ WR WKH
UHTXLUHPHQW WKDW WKH VXP RI WKH 5LQJHU (TXLYDOHQFH 1XPEHUV RI DOO WKH GHYLFHV GRHV QRW H[FHHG
,QGXVWULH &DQDGD
$9,6 OªpWLTXHWWH Gª,QGXVWULH &DQDGD LGHQWLILH OH PDWpULHO KRPRORJXp &HWWH pWLTXHWWH FHUWLILH TXH OH PDWpULHO HVW FRQIRUPH DX[ QRUPHV GH
SURWHFWLRQ GªH[SORLWDWLRQ HW GH VpFXULWp GHV UpVHDX[ GH WpOpFRPPXQLFDWLRQV FRPPH OH SUHVFULYHQW OHV GRFXPHQWV FRQFHUQDQW OHV H[LJHQFHV
WHFKQLTXHV UHODWLYHV DX PDWpULHO WHUPLQDO /H 0LQLVWqUH QªDVVXUH WRXWHIRLV SDV TXH OH PDWpULHO IRQFWLRQQHUD j OD VDWLVIDFWLRQ GH OªXWLOLVDWHXU
$YDQW GªLQVWDOOHU FH PDWpULHO OªXWLOLVDWHXU GRLW VªDVVXUHU TXªLO HVW SHUPLV GH OH UDFFRUGHU DX[ LQVWDOODWLRQV GH OªHQWHUSULVH ORFDOH GH
WpOpFRPPXQLFDWLRQ /H PDWpULHO GRLW pJDOHPHQW rWUH LQVWDOOp HQ VXLYDQW XQH PpWKRGH DFFHSWpH GD UDFFRUGHPHQW /ªDERQQp QH GRLW SDV RXEOLHU TXªLO
HVW SRVVLEOH TXH OD FRQIRUPLWp DX[ FRQGLWLRQV pQRQFpHV FLGHVVXV QªHPSrFKH SDV OD GpJUDGDWLRQ GX VHUYLFH GDQV FHUWDLQHV VLWXDWLRQV
/HV UpSDUDWLRQV GH PDWpULHO QRPRORJXp GRLYHQW rWUH FRRUGRQQpHV SDU XQ UHSUpVHQWDQW GpVLJQp SDU OH IRXUQLVVHXU /ªHQWUHSULVH GH
WpOpFRPPXQLFDWLRQV SHXW GHPDQGHU j OªXWLOLVDWHXU GD GpEUDQFKHU XQ DSSDUHLO j OD VXLWH GH UpSDUDWLRQV RX GH PRGLILFDWLRQV HIIHFWXpHV SDU
OªXWLOLVDWHXU RX j FDXVH GH PDXYDLV IRQFWLRQQHPHQW
3RXU VD SURSUH SURWHFWLRQ OªXWLOLVDWHXU GRLW VªDVVXUHU TXH WRXV OHV ILOV GH PLVH j OD WHUUH GH OD VRXUFH GªHQHUJLH pOHFWULTXH GH OLJQHV WpOpSKRQLTXHV
HW GHV FDQDOLVDWLRQV GªHDX PpWDOOLTXHV VªLO \ HQ D VRQW UDFFRUGpV HQVHPEOH &HWWH SUpFDXWLRQ HVW SDUWLFXOLqUHPHQW LPSRUWDQWH GDQV OHV UpJLRQV
UXUDOHV
$YHUWLVVHPHQW /ªXWLOLVDWHXU QH GRLW SDV WHQWHU GH IDLUH FHV UDFFRUGHPHQWV OXLPrPH LO GRLW DYRLU UDFRXUV j XQ VHUYLFH GªLQVSHFWLRQ GHV
LQVWDOODWLRQV pOHFWULTXHV RX j XQ pOHFWULFLHQ VHORQ OH FDV
$9,6 /ªLQGLFH GªpTXLYDOHQFH GH OD VRQQHULH ,(6 DVVLJQp j FKDTXH GLVSRVLWLI WHUPLQDO LQGLTXH OH QRPEUH PD[LPDO GH WHUPLQDX[ TXL
SHXYHQW rWUH UDFFRUGpV j XQH LQWHUIDFH /D WHUPLQDLVRQ GªXQH LQWHUIDFH WpOpSKRQLTXH SHXW FRQVLVWHU HQ XQH FRPELQDLVRQ GH TXHOTXHV GLVSRVLWLIV j
OD VHXOH FRQGLWLRQ TXH OD VRPPH GªLQGLFHV GªpTXLYDOHQFH GH OD VRQQHULH GH WRXV OHV GLVSRVLWLIV QªH[FqGH SDV
www.PDF-Zoo.com
