F1 - Schedule 1

A guide to generating the Schedule 1 report and some of the rules underlying it.

Exempt Edge avatar
Written by Exempt Edge
Updated over a week ago

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:

  1. Transaction Type: Buy or DRIP

  2. Issuer

  3. Offering

  4. Transaction Batch #

  5. 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

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