The Schedule 1 report can be generated by selecting F1 Assistant from the Choose Report Export Type within the Report Module.
You will then be given the option to apply the following filters:
Transaction Type: Buy or DRIP
Issuer
Offering
Transaction Batch #
Trade Settlement Date Range
Once the filters have been applied, a list of transactions matching these search criteria will appear, allowing you to select the ones you would like included on the report. You can also click the checkbox at the very top, next to Select All to automatically select every transaction in the list.
Once your transactions are selected, click the green Export button and go to the Report Exports tab to view the report.
* Please note that not all exemptions will be reported in the Schedule 1, as some are not required to be reported to regulators, as per NI 45-106. If a transaction displays "There are no selected exemptions" it may be that no exemption was selected or that the selected exemptions in not required to be reported.
We have provided a list of exemptions that will be included in the Schedule 1 report:
PURCHASE
Regulation | Section | Description |
NI 45-106 | 2.1 | Minimum amount investment |
NI 45-106 | 2.12 | Asset acquisition |
NI 45-106 | 2.13 | Petroleum, natural gas and mining properties |
NI 45-106 | 2.14 | Securities for debt |
NI 45-106 | 2.19 | Additional investment in investment funds |
NI 45-106 | 2.3 | Accredited investor (All jurisdictions) |
NI 45-106 | 2.3 | Isolated distribution by issuer |
NI 45-106 | 2.5 | Family, friends and business associates (All jurisdictions other than ON and SK) |
NI 45-106 | 5.2 | TSX Venture Exchange offering |
NI 45-106 | 2.5 and 2.6 | Family, friends and business associates (SK) |
NI 45-106 | 2.5 and 2.66.1 | Family, friends and business associates (ON) |
NI 45-106 | 2.9(1) | Offering memorandum (BC, NL) |
NI 45-106 | 2.9(2) | Offering memorandum (MB, PE, YT, NT, NU) |
NI 45-106 | 2.9(2) | Offering memorandum - Non-Eligible Investor (MB, PE, YT, NT, NU) |
NI 45-106 | 2.9(2) | Offering memorandum - Eligible Investor (MB, PE, YT, NT, NU) |
NI 45-106 | 2.9(2.1) | Offering memorandum (AB, SK, ON, QC, NB, NS) |
NI 45-106 | 2.9(2.1) | Offering memorandum - Non-Eligible Investor (AB, SK, ON, QC, NB, NS) |
NI 45-106 | 2.9(2.1) | Offering memorandum - Eligible Investor (AB, SK, ON, QC, NB, NS) |
Ontario Securities Act | 73.3(2) | Accredited Investor (Ontario) |
DRIP
Regulation | Section | Description |
NI 45-106 | 2.18 | Investment fund reinvestment |
NI 45-106 | 2.2 | Reinvestment plan (non investment-fund) |
NI 45-106 | 2.2 | Private Investment Club |