Portfolio Strategies Corporation Current Approved Exempt Securities Offerings

Portfolio Strategies Corporation
Current Approved Exempt Securities Offerings
PSC is required to review and approve each exempt security offering, including any time that there is an update to the OM for an existing offering. Accordingly, each
offering may only be sold under the OM with the date noted in the table: any earlier OM has been replaced and should no longer be considered valid, and any later OM
has not been approved for sales.
Although every effort will be made to keep this list up-to-date, offerings may be closed or changed before the list can be updated. Please confirm on Winfund
(Resources  Product List and enter the supplier and product codes) which should be updated automatically for FundServ offerings, or directly with the supplier to
confirm whether an offering is still open and available for sale.
Gravitas Select Flow-Through LP II
FundServ
Code
n/a
KV Mortgage Fund Inc.
Class A Preferred Shares
Class B Preferred Shares
KVC 100A
KVC 100B
Marquest Mining B.C. 2014-II Super
Flow-Through LP
MAV
1407
Marquest Mining 2014-II Super FlowThrough LP
MAV
1405
Product / Offering
1
2
KYC
Risk: High
Time: 3
Obj: Growth
Reg Plan
Eligible
No
OM Date
Aug 1, 2014
Cheques Are Payable To
Gravitas Select FlowThrough Limited
Partnership II
Risk: High
Time: 5
Obj: Income
Yes
June 30, 2014
PSC In Trust
Risk: High
Time: 3
Obj: Growth
Risk: High
Time: 3
Obj: Growth
No
Jul 7, 2014
PSC In Trust
No
Jul 7, 2014
PSC In Trust
Contact
Terry O’Sullivan
T. (416) 238-6822
[email protected]
333 Bay Street, Suite 650
Toronto, ON M5H 2R2
www.gravitasfunds.ca
Jon Herman
T. (780) 433-1222
[email protected]
KV Capital Inc.
Suite 108, 2627 Ellwood Drive SW
Edmonton, AB T6X 0P7
www.kvcapital.ca/investors/kv-mortgagefund
Randy Beaudoin / Jessica Youwe
T. (403) 470-1643 (Randy)
[email protected]
T. (604) 364-1864 (Jessica)
[email protected]
Marquest Asset Management Inc.
161 Bay Street, Suite 4420
PO Box 204, Toronto ON, M5J 2S1
www.marquest.ca
1
LP = Limited Partnership, IC = Investment Corporation
Plan KYC parameters required for the offering to be suitable. The amount purchased must fit within the indicated (e.g. High) risk allocation of the plan. The plan must
have a time horizon at least as long as the indicated time (in years): for example, a product with a 3 year time horizon does not fit within a plan that has a time horizon
of “1 to <3 years”. A product that is suitable for an income objective will also be suitable for a plan with a balanced objective and, provided that the income or
distributions are reinvested rather than being taken out as cash payments, will also be suitable for a plan with a growth objective.
2
Page 1 of 3
last update: October 27, 2014
Product / Offering 1
OmniArch Capital Corporation
Fixed Income Bond
FundServ
Code
n/a
KYC 2
Risk: High
Time: 5
Obj: Income
Reg Plan
Eligible
Yes
OM Date
May 9, 2014
Cheques Are Payable To
Open – OmniArch Capital
Corporation
Registered – Canadian
Western Trust
Pacific Landing @ Havenwood Trust
n/a
Risk: High
Time: 5
Obj: Growth
Yes
May 8, 2014
Open – Pacific Landing @
Havenwood Trust
Registered – Canadian
Western Trust
Pavilion Flow-Through L.P. (2014) 1
n/a
No
Mar 14, 2014
Pavilion Flow-Through
L.P. (2014) 1
Pavilion Flow-Through L.P. (2014) 2
n/a
Risk: High
Time: 5
Obj: Growth
Risk: High
Time: 5
Obj: Growth
No
Sep 15, 2014
Pavilion Flow-Through
L.P. (2014) 2
Royal Oak Income Trust II
n/a
Risk: High
Time: 5
Obj: Growth
Yes
May 28, 2014
Open – Royal Oak
Income Trust II
Registered – Canadian
Western Trust
SecureCare Capital Inc.
1, 3, and 5 Year Bonds
SBC 001
to 009
Risk: High
Time: 5
Obj: Income
Yes 3
July 25, 2014
PSC In Trust
Contact
David Todd / Crystal Kelly
T. (403) 984-6224 (David)
[email protected]
T. (587) 337-9029 (Chrystal)
[email protected]
OmniArch Capital Corp / 982 Media
Suite 1680 700 – 4th Avenue SW
Calgary, Alberta T2P 3J4
www.omniarch.com
Randy Royer
T. (403) 681-3215
[email protected]
Pacific Landing @ Havenwood Trust
208, 6025 – 12th Street SE
Calgary, AB T2H 2K1
www.pacificlanding.ca
Graham Koehler
T. (250) 869-7989
[email protected]
Accilent Capital Management Inc.
25 Adelaide Street East, Suite 1616
Toronto, ON M5C 3A1
www.accilentcapital.com
Seann Poli
T. (403) 630-0006
[email protected]
Prime Funds Group
#1206, 734 - 7 Ave SW
Calgary AB, T2P 3P8
www.primefunds.ca
Peter Johannes
T. (877) 227-0162 ext 102
[email protected]
SecureCare Capital Inc.
1857 Parkside Drive
Pickering, ON L1V 3N9
www.securecare.ca
3
SecureCare SCB 003, SCB 006, and SCB 009 are eligible for registered plans. The other codes are only eligible to be held in open (non-registered) plans. Please refer to
the approval e-mail or check with SecureCare to confirm the code for a particular bond’s currency, term, and registered / non-registered eligibility.
Page 2 of 3
last update: October 27, 2014
Product / Offering 1
Walton AB Southridge LP
Walton AB Southridge IC
FundServ
Code
WAL 5C4
WAL 3B3
Walton Income 11 IC
WAL 3B2
Walton Income 10 IC 5
Walton U.S. Land Acquisition LP 6
Walton U.S. Land Acquisition IC6
WAL 3B1
WAL 6G2
WAL 3A9
KYC 2
Risk: High
Time: 7 4
Obj: Growth
Risk: High
Time: 5
Obj: Income
High
Risk: High
Time: 5
Obj: Growth
Reg Plan
Eligible
No
Yes
OM Date
Sep 10, 2014
Sep 10, 2014
Cheques Are Payable To
PSC In Trust
PSC In Trust
Yes
Mar 14, 2014
PSC In Trust
Yes
No
Yes
Mar 14, 2014
Apr 8, 2014
Apr 8, 2014
PSC In Trust
PSC In Trust
PSC In Trust
Contact
Kate Fryers
T: (403) 265-4255
[email protected]
Walton International Group Inc.
23rd Floor, 605 – 5th Ave SW
Calgary AB T2P 3H5
www.walton.com
4
A plan with a 7 time horizon will print as “5 - < 10” years on a pre-populated KYC form so if you are using a pre-populated KYC your notes should show that you
informed the client that the expected period to hold the offering is at least seven years.
5
Sales of Walton Income 10 are currently on hold pending an update to the OM.
6
Sales of Walton U.S. Land Acquisition are currently on hold pending an update to the OM.
Page 3 of 3
last update: October 27, 2014