Form TA-1 Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A | OMB APPROVAL |
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TA-1/A : Filer Information
Form Version X0405 |
1(a). Filer CIK: | 0001573302 |
1(b). Filer CCC: | ******** |
1(c). Is this a LIVE or TEST submission? | Live Test |
1(d). Would you like a Return Copy? | Yes |
Submission Contact Information
The registrant may provide a single e-mail address for contact purposes.1(f)(i). Contact Name: | |
1(f)(ii). Contact Phone Number: | |
1(f)(iii). Contact E-Mail Address: |
Notification Information
The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.1(g). Notification E-mail Address: |
TA-1/A : Registrant Information
2. Appropriate regulatory agency (check one): | Securities and Exchange Commission Federal Deposit Insurance Corporation Comptroller of the Currency |
3(a). Full Name of Registrant: | TSX TRUST Co |
3(a)(i). Previous name, if being amended: | TMX Equity Transfer Services Inc. |
3(b). Financial Industry Number (FINS) number: | 348540 |
3(c). Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i). Address 1 | 100 Adelaide St. West |
3(c)(ii). Address 2 | Suite 301 |
3(c)(iii). City | Toronto |
3(c)(iv). State or Country | ONTARIO, CANADA |
3(c)(v). Postal Code | M5H 4H1 |
3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es): | Yes No |
3(e). Telephone Number (Include Area Code) | 416-607-7948 |
4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es): | Yes No |
Other Business Location Record: 1 | |
4(a)(i). Address 1 | 650 West Georgia St. |
4(a)(ii). Address 2 | Suite 2700 |
4(a)(iii). City | Vancouver |
4(a)(iv). State or Country | BRITISH COLUMBIA, CANADA |
4(a)(v). Postal Code | V6B 4N9 |
Other Business Location Record: 2 | |
4(a)(i). Address 1 | 300-5th Avenue Sw |
4(a)(ii). Address 2 | 10th Floor |
4(a)(iii). City | Calgary |
4(a)(iv). State or Country | ALBERTA, CANADA |
4(a)(v). Postal Code | T2P 3C4 |
Other Business Location Record: 3 | |
4(a)(i). Address 1 | Tour De La Bourse, Box 61 |
4(a)(ii). Address 2 | 800 Victoria Square |
4(a)(iii). City | Montreal |
4(a)(iv). State or Country | QUEBEC, CANADA |
4(a)(v). Postal Code | H4Z 1A9 |
5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)? | Yes No |
6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? | Yes No |
7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? | Yes No |
TA-1/A : Independent, Non-Issuer Registrant Information
Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".
8. Is registrant a: | Corporation |
Section for Initial Registration and for Amendments Reporting Additional Persons.
corporation or partner information Related to item 8 Record: 18(a)(i). Full Name | TMX Group Inc. |
8(a)(ii). Relationship Start Date | 02/08/2013 |
8(a)(iii). Title or Status | Parent Company (Direct) |
8(a)(iv). Ownership Code | E |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date | 11/29/2017 |
8(a)(i). Full Name | TMX Group Limited |
8(a)(ii). Relationship Start Date | 02/08/2013 |
8(a)(iii). Title or Status | Parent Company (Public Company) |
8(a)(iv). Ownership Code | E |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Elias Anastasopoulos |
8(a)(ii). Relationship Start Date | 08/08/2013 |
8(a)(iii). Title or Status | CEO and Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Ungad Paul Singh Chadda |
8(a)(ii). Relationship Start Date | 12/22/2015 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date | 08/14/2017 |
8(a)(i). Full Name | Denise Chicoyne |
8(a)(ii). Relationship Start Date | 12/22/2015 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date | 05/17/2018 |
8(a)(i). Full Name | William Warwick Linton |
8(a)(ii). Relationship Start Date | 12/22/2015 |
8(a)(iii). Title or Status | Director and Chair |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Wayne Steven Morgan Ralph |
8(a)(ii). Relationship Start Date | 12/22/2015 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Paul Walter Rawlinson |
8(a)(ii). Relationship Start Date | 12/22/2015 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Nicholas Thadaney |
8(a)(ii). Relationship Start Date | 12/22/2015 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date | 01/31/2018 |
8(a)(i). Full Name | Jean Robert Desgagne |
8(a)(ii). Relationship Start Date | 08/02/2016 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date | 05/17/2018 |
8(a)(i). Full Name | Cheryl Graden |
8(a)(ii). Relationship Start Date | 08/14/2017 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Susan Evelyn Taves |
8(a)(ii). Relationship Start Date | 05/17/2018 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
8(a)(i). Full Name | Thomas Stephen Monahan |
8(a)(ii). Relationship Start Date | 05/17/2018 |
8(a)(iii). Title or Status | Director |
8(a)(iv). Ownership Code | NA |
8(a)(v). Control Person | Yes |
8(a)(vi). Relationship End Date |
9. Does any person or entity not named in the answer to Question 8:
9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;…. | Yes No |
9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?….. | Yes No |
TA-1/A : 10. Applicant and Control Affiliate Disciplinary History
The following definitions apply for purposes of answering this Question 10
Control Affiliate | - An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. |
Investment or investment related | - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association). |
Involved | - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act. |
10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contendere ("no contest") to:
10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion? | Yes No |
10(a)(2). any other felony? | Yes No |
10(b). Has any court in the past ten years: | |
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? | Yes No |
10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? | Yes No |
10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever: | |
10(c)(1). found the applicant or control affiliate to have made a false statement or omission? | Yes No |
10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? | Yes No |
10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? | Yes No |
10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities? | Yes No |
10(d). Has any other Federal regulatory agency or any state regulatory agency : | |
10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? | Yes No |
10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? | Yes No |
10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted? | Yes No |
10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? | Yes No |
10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? | Yes No |
10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? | Yes No |
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? | Yes No |
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? | Yes No |
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? | Yes No |
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? | Yes No |
10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? | Yes No |
10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ? | Yes No |
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? | Yes No |
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? | Yes No |
TA-1/A : Signature
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.11(a). Signature of Official responsible for Form: | Pierre Tellis |
11(b). Telephone Number: | 416-607-7948 |
11(c). Title of Signing Officer: | Senior Legal Counsel & Chief Compliance Officer |
11(d). Date Signed (Month/Day/Year): | 06/13/2018 |