Legal Templates
Security Acknowledgement Form

Security Acknowledgement Form for Canada

Security Acknowledgement Form Template for Canada

A comprehensive legal document used in Canadian securities transactions where investors formally acknowledge their understanding of the risks and characteristics associated with a particular investment. The form ensures compliance with Canadian securities regulations, including provincial Securities Acts and National Instruments, while providing documentation of the investor's informed consent and qualification status. It serves as a critical risk management tool for issuers and helps demonstrate compliance with securities law requirements regarding disclosure and investor qualification.

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What is a Security Acknowledgement Form?

The Security Acknowledgement Form is a fundamental document in Canadian securities transactions, required when investors participate in certain types of securities offerings, particularly those utilizing prospectus exemptions under National Instrument 45-106. This document serves multiple purposes: it confirms the investor's understanding of investment risks, verifies their qualification status (such as accredited investor status), and provides evidence of compliance with securities regulations. The form is particularly crucial in private placements and exempt market offerings across Canadian jurisdictions, where it helps protect both issuers and investors by ensuring clear documentation of risk disclosure and investor qualification. Securities regulators across Canadian provinces and territories generally expect to see such acknowledgments as part of the investment documentation package.

What sections should be included in a Security Acknowledgement Form?

1. Investor Identification: Details of the investor including full legal name, address, and contact information

2. Security Details: Description of the security or investment product being acknowledged

3. Risk Acknowledgement: Clear statements of the risks associated with the investment that the investor must acknowledge

4. Investment Suitability: Confirmation that the investment meets the investor's investment objectives and risk tolerance

5. Financial Status Declaration: Investor's declaration of their financial status, particularly regarding accredited investor status if applicable

6. Certification and Signature: Final acknowledgement and signature section for the investor and witness if required

What sections are optional to include in a Security Acknowledgement Form?

1. Spouse/Partner Consent: Required when the investment involves family property or requires spousal consent under applicable laws

2. Professional Advisor Confirmation: Section for legal or financial advisor to confirm they have explained the risks to the investor

3. Electronic Delivery Consent: Optional section for consent to receive documents electronically

4. Holding Period Acknowledgement: Required for securities with mandatory holding periods or transfer restrictions

5. Foreign Jurisdiction Declaration: Required when the investor is from a different jurisdiction than where the security is issued

What schedules should be included in a Security Acknowledgement Form?

1. Schedule A - Risk Factors: Detailed list of specific risk factors associated with the investment

2. Schedule B - Accredited Investor Categories: Checklist of accredited investor categories for the investor to indicate which apply

3. Schedule C - Investment Amount Details: Breakdown of investment amount, fees, and payment instructions

4. Appendix I - Definitions: Definitions of key terms used in the acknowledgement form

5. Appendix II - Subscription Details: Details of the subscription terms and conditions if applicable

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

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Jurisdiction

Canada

Publisher

Genie AI

Document Type

Acknowledgement Form

Sector

Corporate Governance

Cost

Free to use
Relevant Industries

Financial Services

Investment Banking

Private Equity

Venture Capital

Real Estate Investment

Technology Startups

Mining and Resources

Healthcare and Biotechnology

Energy and Infrastructure

Asset Management

Relevant Teams

Legal

Compliance

Risk Management

Investment Banking

Wealth Management

Corporate Finance

Due Diligence

Operations

Client Services

Document Management

Relevant Roles

Chief Compliance Officer

Legal Counsel

Investment Advisor

Securities Lawyer

Compliance Manager

Risk Manager

Chief Financial Officer

Investment Banking Associate

Portfolio Manager

Wealth Management Advisor

Corporate Secretary

Due Diligence Officer

Industries
Securities Act (Provincial): Provincial legislation governing securities trading, registration, and disclosure requirements. Each province has its own Securities Act, but they are largely harmonized.
National Instrument 45-106: Prospectus Exemptions - Outlines various exemptions from prospectus requirements and the conditions under which securities can be distributed without a prospectus.
National Instrument 31-103: Registration Requirements, Exemptions and Ongoing Registrant Obligations - Sets out the requirements for registration and ongoing obligations for securities industry participants.
Personal Information Protection and Electronic Documents Act (PIPEDA): Federal privacy law governing the collection, use, and disclosure of personal information in commercial activities.
Electronic Commerce Act (Provincial): Provincial legislation governing electronic signatures and records, important if the acknowledgement form will be executed electronically.
Investment Industry Regulatory Organization of Canada (IIROC) Rules: Self-regulatory organization rules governing investment dealers and trading activity in debt and equity markets.
Criminal Code of Canada (Sections relating to securities fraud): Federal criminal law provisions relating to securities fraud and market manipulation.
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