TORONTO STOCK EXCHANGE 25 Part VI – Documents to be Filed Please refer to the List of Documents to be Filed, included in the Listing Application, for a list of required documents to be filed at the time of application. This list is not considered to be exhaustive. In the course of TSX Staff review, additional documentation may be required as the need arises. (i) Application Letter and Application Fee Applicants must submit an application to TSX in the form of a letter along with the applicable application fee and Principal Listing Document (please see (iii), below), which applicants may choose to initially submit in draft form. Please refer to the Listing Fee Schedule for more details on the application fee. Note that if an applicant chooses to file a prospectus on a confidential pre-file basis with a CSA member, the TSX listing application, including the confidentially-filed prospectus, should be filed concurrently with TSX in order to align timing of review. All listing applications to TSX, including related documents filed with the CSA on a confidential basis and shared with TSX by the applicant, remain confidential. (ii) Personal Information Forms A Personal Information Form (“PIF”) must be filed by each director, officer and principal shareholder (for purposes of this section, an “insider”) of an applicant at the time of filing the TSX listing application. Once a PIF is cleared by TSX, the PIF is valid for a period of 60 months, absent any material change in the information submitted. If a PIF is required by TSX, and the insider had a PIF cleared within the last 60 months, the insider may submit a completed Declaration (Form 4B) in lieu of a PIF, absent any material change in the information submitted in the original PIF. TSX may require PIFs from any individual associated with the applicant, as TSX determines appropriate. PIFs, Declarations and Form 3s (Change in Officers/Directors/ Trustees) are filed online through TMX LINX. Individuals must create an account and log on to TMX LINX to access the forms. Note that paper filings or filings used to complete background check requirements with the CSA will not be accepted by TSX. Links to set up a TMX LINX account for filing PIFs, or to access an existing account, are available here.
RkJQdWJsaXNoZXIy MjgzMzQ=