11-704 - Claims for Financial Compensation (Local Notice)

11-704 - Claims for Financial Compensation (Local Notice)

• Local Notice
• Forms

Local Notice

Local Notice 11-704 Claims for Financial Compensation

Effective Date: January 1, 2008.
Amended: May 4, 2009.
Amended: May 7, 2015.
Amended: January 14, 2020. 

This staff notice sets out information about how to make a claim for a financial compensation order under section 135.6 of The Securities Act, 1988.

11_704_sk_staff_notice_january_19_2020.pdf

Forms

Form 11-704F1 Claim for Order for Payment of Financial Loss

To make a claim for a financial compensation order, investors must do the following:

• file a claim in Form 11-704F1,
• attach all of the documentation relating to the claim
• provide any further information that staff request, and
• if requested, attend at a hearing to present the documentation and information that supports the claim.

11_704_f1_form_may_7_2015.pdf