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译网情深 » 所有论坛 » 【英语翻译求助】 » 前一阵子翻译加拿大上市的尽职调查表，现已做完，已经交了，为感谢大家贴上来， 大家拍转，参考 |
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Paul_Chen
VIP Gold 注册日期: 2003-5-31 回复: 1216 状态: 离线 |
FORM 2A PERSONAL INFORMATION FORM 个人信息调查表（FORM 2A） Where an individual has submitted a Personal Information Form (“PIF”) to the TSX Venture Exchange, a division of TSX Venture Exchange Inc. (referred to as the “Exchange”) within the last 12 months and the information has not changed, a Declaration Form may be completed in lieu of this PIF. Otherwise, this PIF is to be completed by every individual who: 如本表（PIF）已于最近12个月内递交多伦多证券交易所创业版（TSX Venture Exchange）且无更改，应填写声明以代替本表。 否则，符合下列条件之一者均应填写本表： (a) is or becomes an officer, director or insider (as defined pursuant to securities legislation) of an issuer listed on the Exchange (referred to as an “Issuer”); 目前或潜在的高级职员、董事或（相关证券法定义的）证交所上市发行知情人（以下简称“发行人”） (b) is or will be a promoter or providing investor relations, promotion or market maintenance services for the Issuer or to any of its securityholders; 目前或潜在的拓展商或为发行人/证券持有人提供投资关系、推广服务或市场维护的个人或机构 (c) beneficially owns or controls, directly or indirectly, securities representing more than 10 percent of the voting rights attached to all outstanding voting securities of the Issuer; 间接或直接持有或控制发行在外证券10% 以上的表决权，并可从中获益 (d) where a securityholder referred to in paragraph (c) is not an individual, any director, officer or insider of that securityholder; 上述（C）款中，证券持有人非个人、董事、高级职员、或有关持券人的知情者 (e) is an individual requested by the Exchange to complete a PIF; or 按照证交所规定，应提供个人资料并填写本表的个人； 或 (f) is an individual requested by a securities regulatory authority (referred to as an “SRA”), as defined below, to complete a PIF. 符合证券监管机构（SRA）规定的个人 （下详） General Instructions On How To Complete This PIF: 填写指南 The Form The Exchange requires an originally completed PIF and two photocopies of the original. No facsimiles will be accepted. Each PIF must be signed and initialled where necessary manually, not mechanically or electronically. The SRA will accept a copy of the PIF if an original was submitted to the Exchange. Otherwise, the SRA will require an originally completed PIF. 填表人应使用原表亲自填写，并附带两张照片。 不接受传真件。本表签名需以手签为准，不接受打印或电子签名。如已将本表原件上交证交所，可向监管机构提交本表影印件。否则应向监管机构提交本表原件。 In all cases, the Consent for Disclosure of Criminal Record Information, which is attached as Exhibit 1, must be completed. 本表中，犯罪纪录信息披露同意书 （列项1）必须填写 Foreign Residents Persons submitting a PIF who reside outside of Canada may be required to complete and submit additional forms and information. Please contact the Exchange and the SRA for further information. 加拿大以外的居民递交本表，还应一并填写其他附表。有关信息请进一步征询证交所及监管机构 Disclosure Failure to fully disclose any information required by this PIF or false or misleading disclosures may result in the disqualification of an individual from involvement with the Issuer and/or other issuers. 本表信息披露不全或披露虚假信息将导致个人丧失参与发行的资格或其他后果 Processing Delays Failure to respond to all questions accurately and completely may result in the return of the PIF, may delay the processing of the related application of the Issuer and may result in the denial of the Issuer’s application. 如未能详尽填写本表，可能会使本表退回原处，延迟相关申请的处理进度，导致申请失败 All Questions All questions must have a response. The Exchange and the SRA will not accept the response of “N/A” or “Not Applicable” for any questions, except Questions 1(B), 2B(iii) and 5. 除本表 问题1(B), 2B(iii) 及问题 5外， 所有问题必须填写答复。证交所及监管机构不接受以“不适用”字样进行答复 Questions 6 to 9 Please check (?) in the appropriate space provided. If your answer to any of questions 6 to 9 is “YES”, you must, in an attachment, provide complete details, including the circumstances, relevant dates, names of the parties involved and final disposition, if known. Any attachment must be initialled by the Notary Public and the person completing this PIF. Responses must consider all time periods. 请在相应处打勾 (?) 。如对问题6至问题9 答复为 “是”，则须对完整细节另行陈述，包括环境、日期、参与方名称、及最终处置结果（如可知）。任何附件必须同时经公证机构及填写人签名。在进行答复时应予以通盘考虑。 CAUTION / 注意 An individual who makes a false statement by statutory declaration commits an offence under securities legislation and an indictable offence under the Criminal Code (Canada). The indictable offence is punishable by imprisonment for a term not exceeding fourteen years. Steps may be taken to verify the answers you have given in this PIF, including verification of information relating to any previous criminal record. 如个人以法定声明形式进行虚假陈述，将以违反证券法论处，可按照加拿大刑法以刑事罪判处14年（含）监禁。本表披露之信息将受到层层审查，其中亦包括对之前刑事记录的调查。 DEFINITIONS / 定义 Capitalized terms not defined herein are as defined in the TSX Venture Exchange Corporate Finance Manual. 未列出条款视同多伦多证交所创业版金融操作手册之定义 “Offence” An offence includes: “违法”包括： * a summary conviction or indictable offence under the Criminal Code (Canada); 按加拿大刑法进行的简易判罪或刑事罪 * a quasi-criminal offence (for example under the Income Tax Act (Canada), the Immigration Act (Canada) or the tax, immigration, drugs, firearms, money laundering or securities legislation of any jurisdiction; or 准刑事犯罪 （例如：违反加拿大税法、移民法、任何辖区内有关纳税、移民、毒品、军火、洗钱或证券的法规）或 * a misdemeanour or felony under the criminal legislation of the United States of America, or any state or territory therein or an offence under the criminal legislation of any other jurisdiction. 依照美国刑法、美国任何州或地区刑法判决的轻罪或重罪，或其他任何辖区的刑事犯罪 NOTE: If you have received a pardon under the Criminal Records Act (Canada) and it has not been revoked, you must disclose the pardoned offence in this PIF. In such circumstances: 注：如获加拿大刑事记录法赦免，且未撤销，则须在本表中披露所赦免的违法行为。 并： (a) the appropriate written response would be “Yes, pardon granted on (date),” and 在相应处填写“是”， 赦免日期以及 (b) you must provide complete details in an attachment to this PIF. 另行填写完整的细节 “Proceedings” means: “诉讼”是指： (a) a civil or criminal proceeding or inquiry before a court, 法庭民事/刑事诉讼或质询 (b) a proceeding before an arbitrator or umpire or a person or group of persons authorized by law to make an inquiry and take evidence under oath in the matter, 仲裁诉讼或在授权质询及宣誓举证的个人或团体面前进行的诉讼， (c) a proceeding before a tribunal in the exercise of a statutory power of decision making where the tribunal is required by law to hold or afford the parties to the proceeding an opportunity for a hearing before making a decision, or 判决前依法给与诉讼各方听证的庭审诉讼 (d) a proceeding before a self-regulatory organization authorized by law to regulate the operations and the standards of practice and business conduct of its members and their representatives, in which the self-regulatory organization is required under its by-laws or rules to hold or afford the parties the opportunity for a hearing before making a decision, but does not apply to a proceeding in which one or more persons are required to make an investigation and to make a report, with or without recommendations, if the report is for the information or advice of the person to whom it is made and does not in any way bind or limit that person in any decision the person may have the power to make; 在自律组织内进行的诉讼，该自律组织经法律授权，专事规范其成员及代表的营运、操作标准及商业行为，对其成员及代表，该组织应按照其制度对诉讼各方进行听证之后再做出判决， 但如个人或多人受命进行调查或出具报告，无论建议否，如仅为受调查人之信息或意见而出具，并且对此人有权做出之决定不具备任何约束或限制效力，则本条不适用之 “securities regulatory authority” (or “SRA”) means a body created by statute in any jurisdiction to administer securities law, regulation and policy (e.g. securities commission), but does not include an exchange or other self regulatory organization; “证券监管机构”(SRA) 指依法产生的证券法规政策实施机构（如：证监会），但不包含证交所及其他自律机构 “self regulatory organization” means (a) a stock, commodities, futures or options exchange; (b) an association of investment, securities, mutual fund, commodities, or future dealers; (c) an association of investment counsel or portfolio managers; (d) an association of other professionals (e.g. legal, accounting, engineering); and (e) any other group, institution or self-regulatory entity, recognized by a securities regulatory authority, that is responsible for the enforcement of rules, disciplines or codes under any applicable legislation, or considered a self regulatory organization in another country. “自律机构”指 (I) 股票、大宗商品、期货、期权、交易机构 ；(II) 投资协会、券商协会、互惠基金协会、商品协会、期货经纪商协会； (III) 投资顾问协会、投资组合经理协会； (IV) 诸如法律、会计、工程等其他专业协会；(V) 证券监管机构认可的任何团体、机构或自律团体，证券监管机构负责执行有关法规、法纪、法案或该证券监管机构是其他国家的自律组织 1. A. IDENTIFICATION OF INDIVIDUAL COMPLETING FORM / 填表人身份 LAST NAME(S)/ 姓 FIRST NAME(S) / 名 MIDDLE NAME(S) (If none, please state) / 中名 （若无，请注明） NAME(S) MOST COMMONLY KNOWN BY/ 现用名: NAME OF ISSUER (State the name of the Issuer that is listed or that has applied to list on the Exchange)/ 发行人名称 （与证交所上市名称一致） PRESENT or PROPOSED POSITION(S) WITH THE ISSUER – check (?) all positions below that are applicable. 发行人现职或潜在职位，相应处打勾 IF DIRECTOR / OFFICER DISCLOSE THE DATE ELECTED / APPOINTED 董事或高级职员请注明选举或任命日期 IF OFFICER – PROVIDE TITLE IF OTHER – PROVIDE DETAILS 高级职员请注明职位 其他职务请详细注明 (?) Month 月 Day 日 Year 年 Director /董事 Officer/高级职员 Insider /知情人 Other /其他 B. Other than the name given in Question 1A above, provide any legal names, assumed names or nicknames under which you have carried on business or have otherwise been known, including information regarding any name change(s) resulting from marriage, divorce, court order or any other process. Use an attachment if necessary. FROM 自 TO 至 除上述名称外，其他法定名称、化名、或用于商业中的别称或其他称呼，包括因结婚、离婚，法庭传票或其他过程引起的改名，如有必要，请另行说明 MM 月 YY 年 MM 月 YY 年 C. GENDER 性别 DATE OF BIRTH 出生日期 PLACE OF BIRTH 出生地 Month/月 (e.g. May / 例 ：五月) Day 日 Year 年 City 城市 Province/State 省/州 Country 国别 Male。 男 Female 女 D. MARITAL STATUS FULL NAME OF SPOUSE - include common-law OCCUPATION OF SPOUSE 婚姻状况 配偶全名 – 包括事实婚姻 配偶职业 E. TELEPHONE AND FACSIMILE NUMBERS AND E-MAIL ADDRESS 电话/传真/电子邮件 RESIDENTIAL/ 住宅 ( ) FACSIMILE / 传真 ( ) BUSINESS /办公 ( ) E-MAIL/电子邮件 F. RESIDENTIAL HISTORY - Provide all residential addresses for the past 10 YEARS starting with your current principal residential address. If you are unable to correctly identify the complete residential address for a period, which is beyond five years from the date of completion of this PIF, the municipality and province or state and country must be identified. The Exchange reserves the right to require the full address. 居住史 – 请提供自现住址以来过去十年间的所有住址，如不能完整提供一段时期以来的准确住址（自填表日起五年以上），必须准确填写所在城市、州省、国家。证交所保留索要详细住址的权利 STREET ADDRESS, CITY, PROVINCE/STATE, COUNTRY & POSTAL/ZIP CODE FROM 自 TO至 街道、城市、州省、国别及邮编 MM 月 YY 年 MM 月 YY 年 2. CITIZENSHIP / 公民资格 A. CANADIAN CITIZENSHIP 加拿大公民 YES 是 NO否 (i) Are you a Canadian Citizen? 是否加拿大公民？ (ii) Are you a person lawfully in Canada as an immigrant but are not yet a Canadian citizen? 是否已合法移民加拿大但尚未成为加拿大公民？ (iii) If “Yes” to Question 2A(ii), the number of years of continuous residence in Canada: 如上条为“是”，请注明连续居住年限 B. OTHER CITIZENSHIP 其他公民 YES 是 NO否 (i) Do you hold citizenship in any country other than Canada? 是否别国公民？ (ii) If “Yes” to Question 2B(i), the name of the country(s): 如“是”，请注明国家 (iii) Please provide U.S. Social Security number, where you have such a number 如有美国社会安全码，请注明 3. EMPLOYMENT HISTORY / 从业经历 Provide your employment history for the 10 YEARS immediately prior to the date of this PIF starting with your current employment. Use an attachment if necessary. 请提供填表日期前自目前工作算起十年间的从业经历，如有必要另附纸张说明 EMPLOYER NAME EMPLOYER ADDRESS POSITION HELD FROM 自 TO至 雇主名称 雇主地址 当时职务 MM 月 YY 年 MM 月 YY 年 4. POSITIONS WITH OTHER ISSUERS / 与其它发行人有关的信息 YES 是 NO 否 A. While you were a director, officer or insider of an issuer, did any exchange or self-regulatory organization ever refuse approval for listing or quotation of that issuer (including a listing resulting from a Qualifying Transaction, Reverse Take Over, Backdoor Listing or change of business)? If yes, attach full particulars. 在担任发行人董事、高级职员、或知情者期间、证交所或自律组织是否曾拒绝核准该发行人的挂牌申请或报价（包括合格交易挂牌、反向收购挂牌、买壳上市及业务变更 ）如是，请另行说明 B. Has your employment in a sales, investment or advisory capacity with any firm or company engaged in the sale of real estate, insurance or mutual funds ever been terminated for cause? 如在地产销售业、保险业或互利基金业从事销售、投资、顾问等工作，是否曾因某种原因被终止资格？ C. Has a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter, suspended or terminated your employment for cause? 是否曾因某种原因被依法注册的券商、经纪、投资顾问或承销商暂时中止或永久终结工作？ D. Are you or have you during the last 10 years ever been a director, officer, promoter, insider or control person for any reporting issuer? 在过去10年间是否曾担任有披露义务发行人的董事、高级职员、推广商、知情人或控股人？ E. If “YES” to 4D above, provide the names of each reporting issuer. State the position(s) held and the period(s) during which you held the position(s). Use an attachment if necessary. 如对上述4D提问回答 为“是”， 请提供有披露义务发行人的名称、以及你所担任的职务及年限，如有需要可另附说明 NAME OF MARKET FROM 自 TO至 REPORTING ISSUER 有披露义务的发行人的名称 POSITION(S) HELD 你所担任的职务 TRADED ON 交易市场 MM 月 YY 年 MM 月 YY 年 5. EDUCATIONAL HISTORY / 教育背景 A. PROFESSIONAL DESIGNATION(S) - Provide any professional designation held and professional associations to which you belong. For example, Barrister & Solicitor, C.A., C.M.A., C.G.A., P.Eng., P.Geol., and CFA, etc. and indicate which organization and the date the designations were granted. 执业资格 – 列出你所拥有的执业资格以及所属机构（例如: 律师事务所、皇家特许注册会计师、注册管理会计师协会、公认会计师协会、专业工程师、 地质学家、 注册金融分析师 等）。以及加入日期与认证日期。 PROFESSIONAL DESIGNATION And MEMBERSHIP NUMBER GRANTOR OF DESIGNATION And JURISDICTION DATE GRANTED 认证日期 ACTIVE? 有效？ 执业资格及会员号 认证机构及地区 MM 月 DD 日 YY 年 YES 是 NO 否 B. Provide your post-secondary educational history starting with the most recent. 中学后教育背景 SCHOOL LOCATION DEGREE OR DIPLOMA DATE OBTAINED 颁发日期 校名 地址 学位或学历 MM 月 DD 日 YY 年 6. OFFENCES - If you answer “YES” to any item in Question 6, you must provide complete details in an attachment. / 犯罪记录 - 如有以下任何一种情况，需另行说明详情 YES 是 NO 否 A. Have you ever pled guilty to or been found guilty of an offence? 是否曾认罪或被认定有罪 B. Are you the subject of any current charge, indictment or proceeding for an offence? 是否是控告或诉讼的主体 C. To the best of your knowledge, are you or have you ever been a director, officer, promoter, insider, or control person of an issuer, in any jurisdiction, at the time of events, where the issuer: 尽你所知，是否在以下情况发生时担任或曾担任发行人的董事、高级职员、推广商、知情人、或控股人 (i) has ever pled guilty to or been found guilty of an offence? 发行人曾认罪获被认定有罪 (ii) is the subject of any current charge, indictment or proceeding for an offence? 发行人是否是控告或诉讼的主体 7. BANKRUPTCY - If you answer “YES” to any item in Question 7, you must provide complete details in an attachment and attach a copy of any discharge, release or other applicable document. / 破产 - 如以下任何一条回答为“是” 须另行完整说明，并必须另附相关债务清偿文件的影印件 YES 是 NO 否 A. Have you, in any jurisdiction, within the past 10 years had a petition in bankruptcy issued against you, made a voluntary assignment in bankruptcy, made a proposal under any bankruptcy or insolvency legislation, been subject to any proceeding, arrangement or compromise with creditors, or had a receiver, receiver-manager or trustee appointed to manage your assets? 是否在过去十年间被要求宣告破产、进行自愿破产转让、根据破产法律提出破产申请，受到起诉、调解或与债权人达成和解，是否曾有破产财产指定接管人、托管人对你的资产进行管理？ B. Are you now an undischarged bankrupt? 现在是否仍有未清偿债务 C. To the best of your knowledge, are you or have you ever been a director, officer, promoter, insider, or control person of an issuer, in any jurisdiction, at the time of events, or for a period of 12 months preceding the time of events, where the issuer: 尽你所知，是否在以下情况发生时，或之前一年内担任或曾担任发行人的董事、高级职员、推广商、知情人、或控股人 (i) has made a petition in bankruptcy, a voluntary assignment in bankruptcy, a proposal under any bankruptcy or insolvency legislation, been subject to any proceeding, arrangement or compromise with creditors or had a receiver, receiver-manager or trustee appointed to manage the issuer’s assets? 发行人请求破产、进行自愿破产转让、根据破产法律提出破产申请，受到起诉、调解或与债权人达成和解，是否曾有破产财产指定接管人、托管人对你的资产进行管理？ (ii) is now an undischarged bankrupt? 发行人目前仍有未清偿债务 8. PROCEEDINGS - If you answer “YES” to any item in Question 8, you must provide complete details in an attachment. / 诉讼 – 如回答“是”须另行完整说明 YES 是 NO 否 A. CURRENT PROCEEDINGS BY SECURITIES REGULATORY AUTHORITY OR SELF REGULATORY ORGANIZATION. Are you now, in any jurisdiction, the subject of: 证券监管机构或自律机构目前提起的诉讼 填表人现在是否为以下司法行为的主体: (i) a notice of hearing or similar notice issued by an SRA? 证券监管机构发出的聆讯通知或类似通知 (ii) a proceeding or to your knowledge, under investigation, by an exchange or other self regulatory organization? 所知的由交易所或其他自律机构进行的调查 (iii) settlement discussions or negotiations for settlement of any nature or kind whatsoever with an SRA or any self regulatory organization? 由证券监管机构或自律机构进行的任何性质或类别的决议讨论或辩论 YES 是 NO 否 B. PRIOR PROCEEDINGS BY SECURITIES REGULATORY AUTHORITY OR SELF REGULATORY ORGANIZATION. Have you ever: 证券监管机构或自律机构之前提起的诉讼 填表人是否曾 (i) been reprimanded, suspended, fined, been the subject of an administrative penalty, or otherwise been the subject of any disciplinary proceedings of any kind whatsoever, in any jurisdiction, by an SRA or self regulatory organization? 受到证券监管机构或自律组织惩罚、罚款、行政处罚、纪律处分等 (ii) had a registration or licence for the trading of securities, exchange or commodity futures contracts, real estate, insurance or mutual fund products cancelled, refused, restricted or suspended? 被吊销、拒绝、限制、暂时中止证券、汇兑、大宗商品期货合同、不动产、 保险、互利基金产品等交易资格 (iii) been prohibited or disqualified under securities, corporate or any other legislation from acting as a director or officer of a reporting issuer? 被按照相关证券法规或公司组建法规或其他法规禁止或取消成为有披露义务发行人的董事或高级职员的资格 (iv) had a cease trading or similar order issued against your or an order issued against you that denied you the right to use any statutory prospectus or registration exemption? 被勒令中止交易、禁止使用法定公开说明或免注册权力 (v) had any other proceeding of any nature or kind taken against you? 受到任何其他类型或性质的处置 C. SETTLEMENT AGREEMENT(S) 解决协议 Have you ever entered into a settlement agreement with a SRA, self regulatory organization, attorney general or comparable official or body, in any jurisdiction, in a matter that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading in securities or exchange or commodity futures contracts, illegal distributions, failure to disclose material facts or changes or similar conduct, or any other settlement agreement with respect to any other violation of securities legislation or the rules of any self regulatory organization? 是否已与证券监管机构或自律机构或类似权力机构或官员就被控或事实上的欺骗、盗窃、欺诈、虚假陈述、密谋、违约、违反受托人责任、内幕交易、无记名证券或汇兑交易、无记名大宗商品期货合同交易、非法分配、未披露重大事实或变更或类似行为达成解决协议。或已就任何其他违反证券监管机构或自律机构法规达成解决协议 D. To the best of your knowledge, are you now or have you ever been a director, officer, promoter, insider, or control person of an issuer at the time of such event, in any jurisdiction, for which a securities regulatory authority or self regulatory organization has: 就你所知，是否在证券监管机构或自律机构对发行人采取如下措施时担任或曾担任董事、高级职员、推广商、知情人、或控股人 (i) refused, restricted, suspended or cancelled the registration or licensing of an issuer to trade securities, exchange or commodity futures contracts, or to sell or trade real estate, insurance or mutual fund products? 拒绝、限制、中止、吊销发行人从事证券、汇兑、大宗商品期货合同交易资格、或不动产、保险、互利基金买卖或交易资格 (ii) issued a cease trade or similar order or imposed an administrative penalty of any nature or kind whatsoever against the issuer, other than an order for failure to file financial statements that was revoked within 30 days of its issuance? 给予发行人行政处罚或向发行人发出中止交易的训令（非可在三十日内撤销的，因未提供财务报表而向发行人发出的训令） (iii) refused a receipt for a prospectus or other offering document, denied any application for listing or quotation or any other similar application, or issued an order that denied the issuer the right to use any statutory prospectus or registration exemptions? 拒收招股说明书或其他上市文件，否决上市挂牌申请或报价或其他类似申请，或禁止发行人使用法定公开说明或免注册权力 (iii) issued a notice of hearing, notice as to a proceeding or similar notice against the issuer? 向发行人发出聆讯通知、诉讼通知或类似通知 (v) taken any other proceeding of any nature or kind against the issuer, including a trading halt, suspension or delisting of the issuer (other than in the normal course for proper dissemination of information, pursuant to a Reverse Take-Over, Backdoor Listing or similar transaction)? 对发行人采取包括暂停交易、中止交易、或摘牌处理在内的其他任何性质或类型的处理措施（ 而非以通常方式对反向收购、买壳上市、或类似交易进行正常的信息公布） (vi) entered into a settlement agreement with the issuer in a matter that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading in securities or exchange or commodity futures contracts, illegal distributions, failure to disclose material facts or changes or similar conduct by the issuer, or involved in any other violation of securities legislation or a self regulatory organization’s rules? 与发行人就被控或事实上的欺骗、盗窃、欺诈、虚假陈述、密谋、违约、违反受托人责任、内幕交易、无记名证券或汇兑交易、无记名大宗商品期货合同交易、非法分配、未披露重大事实或变更或类似行为达成解决协议。或已就违反任何其他证券监管机构或自律机构法规达成解决协议 9. CIVIL PROCEEDINGS - If you answer “YES” to any item in Question 9, you must provide complete details in an attachment. / 民事诉讼 – 如以下调查任何一项为“是”，则必须另行提供完整的详细情况 YES 是 NO 否 A. JUDGMENT, GARNISHMENT AND INJUNCTIONS 判决、扣押、及禁令 Has a court in any jurisdiction: 法庭是否: (i) rendered a judgment, ordered garnishment or issued an injunction or similar ban (whether by consent or otherwise) against you in a claim based in whole or in part on fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes or allegations of similar conduct? 基于全部或部分被控或事实上的欺骗、盗窃、欺诈、虚假陈述、密谋、违约、违反受托人责任、内幕交易、无记名证券或汇兑交易、无记名大宗商品期货合同交易、非法分配、未披露重大事实或变更或类似行为的主张对你做出过判决、扣押、或禁令 (ii) rendered a judgment, ordered garnishment or issued an injunction or similar ban (whether by consent or otherwise) against an issuer, for which you are currently or have ever been a director, officer, promoter, insider or control person, in a claim based in whole or in part on fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes or allegations of similar conduct? 基于全部或部分被控或事实上的欺骗、盗窃、欺诈、虚假陈述、密谋、违约、违反受托人责任、内幕交易、无记名证券或汇兑交易、无记名大宗商品期货合同交易、非法分配、未披露重大事实或变更或类似行为的主张对你目前担任或曾担任董事、推广商、知情人或控股人的发行人做出过判决、扣押、或禁令 B. CURRENT CLAIMS 目前的主张 (i) Are you now subject, in any jurisdiction, of a claim that is based in whole or in part on actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes or allegations of similar conduct? 目前是否为全部或部分基于被控或事实上的欺骗、盗窃、欺诈、虚假陈述、密谋、违约、违反受托人责任、内幕交易、无记名证券或汇兑交易、无记名大宗商品期货合同交易、非法分配、未披露重大事实或变更或类似行为的主张的诉讼主体 (ii) To the best of your knowledge, are you currently or have you ever been a director, officer, promoter, insider or control person of an issuer now subject, in any jurisdiction, of a claim that is based in whole or in part on actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes or allegations of similar conduct? 就你所知，目前是否担任或曾担任发行人的董事、推广商、知情人或控股人，而该发行人已因被控或事实犯有欺骗、盗窃、欺诈、虚假陈述、密谋、违约、违反受托人责任、内幕交易、无记名证券或汇兑交易、无记名大宗商品期货合同交易、非法分配、未披露重大事实或变更或类似行为成为诉讼主体 C. SETTLEMENT AGREEMENT 解决协议 (i) Have you ever entered into a settlement agreement, in any jurisdiction, in a civil action that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes or allegations of similar conduct? 是否曾在民事诉讼中已与有关机构达成解决协议？ (ii) To the best of your knowledge, are you currently or have you ever been a director, officer, promoter, insider or control person of an issuer that has entered into a settlement agreement, in any jurisdiction, in a civil action that involved actual or alleged fraud, theft, deceit, misrepresentation, conspiracy, breach of trust, breach of fiduciary duty, insider trading, unregistered trading, illegal distributions, failure to disclose material facts or changes or allegations of similar conduct? 就你所知，是否目前担任或曾担任已与有关机构达成解决协议的发行人的董事、推广商、知情人或控股人 STATUTORY DECLARATION 法定声明 I, hereby solemnly declare that: 本人（打印姓名）______特此郑重声明 (Please Print - Name of Individual) (a) I have read and understood the questions, cautions, acknowledgement and consent in this PIF, and the answers I have given to the questions in this PIF and in any attachments to it are true and correct, except where stated to be to the best of my knowledge, in which case I believe the answers to be true; 本人已阅读并理解表中的所有问题、注意、承认及同意条款，保证对本表中的提问答复及附件说明均真实准确并保证已尽我所知进行了真实的答复 (b) I have read and understand the Personal Information Collection Policy of the Exchange attached hereto as Exhibit 2 as well as the SRA’s Notice of Collection, Use and Disclosure of Personal Information by Securities Regulatory Authorities attached hereto as Exhibit 3 (collectively, the “PIF Collection Policy”). 本人已阅读并理解有关本表中证交所对于个人信息收集的政策（列项2） 以及证券监管机构关于个人信息收集、使用、披露的说明（列项3）（统称为收集政策） (c) I consent to the collection, use and disclosure of the information in this PIF and any further personal information collected, used and disclosed as set out in the PIF Collection Policy; 本人同意按照收集政策对本人的个人信息进行收集、使用、披露以及任何进一步的收集、使用、和披露 (d) I hereby agree to (i) submit to the jurisdiction of the Exchange and to Market Regulation Services Inc. and any successor or assignee of either of them, and wherever applicable, the directors and committees thereof, and (ii) be bound by and comply with all applicable rules, policies, rulings and regulations of the Exchange (collectively, the “Exchange Requirements”); 本人愿意服从相关机构及相关规定的管辖 (e) I agree that any acceptance, approval or other right granted by the Exchange may be revoked, terminated or suspended at any time in accordance with the then applicable Exchange Requirements. In the event of any revocation, termination or suspension, I agree to immediately terminate my association or involvement with any issuer to the extent required by the Exchange. I agree not to resume my association or involvement, except with the prior written approval of the Exchange; 本人同意证交所可随时撤销中止终结任何已有的核准、批复或其他权利 。 如有撤销或被勒令中止终结权利，本人同意既可终止与任何发行人的关系，并不再维系，除非之前已获有证交所的书面批准 (f) This declaration and the rights and powers of the Exchange pursuant to the Exchange Requirements shall be governed by the laws of the Province of Alberta and the laws of Canada applicable therein, without regard to conflict of law principles; 本声明及证券交易相关规定赋予证交所的权力将受阿伯塔省法律及加拿大相应法律的监管，如与法律基本条例冲突，以证券交易相关规定为准 (g) I acknowledge and agree that this declaration may be assigned or transferred by the Exchange to any person without providing me with notice or obtaining my consent and that this declaration shall thereafter continue to be binding on me and may be enforced against me by any such assignee or transferee. I understand that I am prohibited from transferring or assigning this declaration or any acceptance, approval or other right granted by the Exchange; 本人同意本声明可以由证交所转与任何个人，而并不需要事先征得本人同意或通知本人。本人亦同意本声明继续对本人有约束效力并接受任何托管人或接管人继续对本人强制执行。本人理解不能将证交所核准的任何权力转让他人 (h) I understand that where I am providing this form to a SRA, I am under the jurisdiction of the SRA to which I submit this form, and it is a breach of securities legislation to provide false or misleading information to the SRA; 本人明白，本表一经提交证券监管机构，即受其监管，提供虚假或误导信息是违法行为 (i) I make this solemn declaration conscientiously believing it to be true and knowing it is of the same legal force and effect as if made under oath and under the Canada Evidence Act. 本人相信所有内容均真实无误并清楚本声明与按照加拿大证据法宣誓后所作声明具有同等法律效力 Signature of Person Completing this Form 填表人签名 DECLARED before me at the City of in the Province (or State) of 该声明在我面前于 __________________________________ 在 _____________ 省/州 this day of , (Province or State) 于___ (Day) 日 _____ (Month) 月 __________ (Year) 年作出 Signature of Notary Public 公证机关签字 Seal or Stamp of Notary Public公证机关章 My Appointment Expires:本人任命截至 止 *Note: THIS PIF MUST BE DECLARED BEFORE A PERSON WHO IS A NOTARY PUBLIC IN AND FOR THE JURISDICTION IN WHICH IT IS DECLARED UNLESS THAT JURISDICTION DOES NOT HAVE NOTARIES, IN WHICH CASE THIS PIF MUST BE DECLARED BEFORE A LAWYER IN THAT JURISDICTION, OR OTHER PERSON THAT SATISFIES THE REQUIREMENTS SET OUT IN THE CANADA EVIDENCE ACT. EXHIBIT 1: CONSENT FOR DISCLOSURE OF CRIMINAL RECORD INFORMATION PURPOSE: Criminal records are scrutinized by market regulators when conducting background checks, verifying the information the Subject has provided, conducting investigations and enforcement proceedings, and performing other investigations as required to ensure compliance with the various regulations, statutes, rules, by-laws and policies governing the conduct and integrity of the capital markets and trading activity taking place therein. Surname Given Name Middle Name(s) Date of Birth yyyy Mm Dd Maiden Name or Other Names used (if applicable)(all legal names in lifetime) Gender * Male * Female Current Mailing Address (number, street, apt, lot, concession, township, rural route #, city, postal code) Driver’s License Number Occupation CONSENT This consent is given pursuant to all applicable information and privacy statutes. As evidenced by my signature below, I, the undersigned, hereby acknowledge and provide my express consent to the disclosure by the Ontario Provincial Police (OPP) of records of criminal code convictions for which a pardon has not been granted, records of discharges which have not been removed from the CPIC system in accordance with the Criminal Records Act, and records of outstanding charges which the OPP is aware, to the entities listed below (referred to as “the market regulators”) and to the collection, use, disclosure and retention of the OPP-provided information by any one of those market regulators to the other market regulators listed, for the purposes and in the manner set out in this form. This consent relates to Market Regulation Services Inc.; the entities which have retained Market Regulation Services Inc. as their regulation services provider and their authorized personnel; self-regulatory organizations; securities commissions; governmental agencies undertaking criminal or investigative functions; organizations in which any of these are members, affiliates, participants or have a similar capacity; entities which have entered into an agreement with Market Regulation Services Inc. related to the co-ordination or monitoring and enforcement of rules governing the trading of securities on a marketplace in Canada or a market in any other jurisdiction and each of the subsidiaries, affiliates, regulators and authorized agents of any person or entity described herein. The information will be retained by the market regulators in their databases in a secure environment and is updated from time to time. The market regulators collect, use, disclose and retain the OPP-provided information and allow its use by other market regulators only for purposes set out above or as required by law. Employees of the market regulators who have access to your information are made aware of how to keep it confidential. FINGERPRINT VERIFICATION If I deny a criminal record, I may present myself to the appropriate police agency in my jurisdiction for fingerprint verification, as the person with a record will have had fingerprints taken. No other defence is accorded me. RELEASE I hereby release and forever discharge Her Majesty the Queen in right of Ontario, the Commissioner of the Ontario Provincial Police and Market Regulation Services Inc. and any or all of their respective members, directors, officers, employees, servants, and agents, including their successors and assigns, from any and all actions, claims and demands for damages, loss or injury howsoever arising which may hereafter be sustained by myself as a result of the disclosure of information by the OPP to Market Regulation Services Inc. or the disclosure by Market Regulation Services Inc. to a market regulator as defined. __________________________________________________________________________________ Subject Signature: Date:____________________ INFORMATION CONTACT FOR QUESTIONS PERTAINING TO THE COMPLETION OF EXHIBIT 1: Name: James Manderville PHONE#: 416-646-7233 Organization: Market Regulation Services Inc. FAX#: 416-646-7259 EXHIBIT 2: PIF PERSONAL INFORMATION COLLECTION POLICY Collection, Use and Disclosure TSX Venture Exchange Inc. and its affiliates, authorized agents, subsidiaries and divisions, including the TSX Venture Exchange (collectively referred to as “TSX”) collect the information (which may include personal, confidential, non-public, criminal or other information) in the Personal Information Form and in other forms that are submitted by you and/or by the Issuer or an entity applying to be an Issuer and use it for the following purposes (the “object of the file”): * to conduct background checks, * to verify the information that has been provided about you, * to consider your suitability to act as an officer, director, insider, promoter, investor relations provider or, as applicable, an employee or consultant, of an entity applying to be an Issuer or an Issuer, * to consider the eligibility of an applicant to be an Issuer, * to detect and prevent fraud, * to conduct enforcement proceedings, and * to perform other investigations as required by and to ensure compliance with the Exchange Requirements, securities legislation and other legal and regulatory requirements governing the conduct and protection of the public markets in Canada. As part of this process, TSX also collects additional information about you from other sources, including but not limited to, securities regulatory authorities in Canada or elsewhere, investigative, law enforcement or self-regulatory organizations, regulations services providers and each of their subsidiaries, affiliates, regulators and authorized agents, to ensure that the purposes set out above can be accomplished. The information TSX collects about you may also be disclosed to these agencies and organizations or as otherwise permitted or required by law, and they may use it in their own investigations for the purposes described above. TSX may from time to time use third parties to process information and/or provide other administrative services. In this regard, we may share the information with our carefully selected service providers. If you fail to accurately complete the PIF or to consent to this PIF Collection Policy, we may (i) refuse to allow you to act as an officer, director, insider, promoter, investor relations provider or, as applicable, an employee or consultant of an Issuer, (ii) refuse to allow an applicant to be listed as an Issuer, and/or (iii) refuse to accept a transaction proposed by an Issuer. Security The personal information that is retained by TSX is kept in a secure environment and is updated from time to time. Only those employees of TSX who require access to your information in order to accomplish the purposes identified above, will be given access to your file. Employees of TSX who have access to your information are made aware of how to keep it confidential. Accuracy Information about you maintained by TSX that is identified by you as inaccurate or obsolete will be replaced or removed, as applicable. Questions If you wish to consult your file or make corrections to it or if you have any questions or enquiries with respect to the privacy principles outlined above or about our practices, please send a written request to: Chief Privacy Officer, TSX Group, The Exchange Tower, 130 King Street West, Toronto, Canada, M5X 1J2. EXHIBIT 3: Notice of Collection, Use and Disclosure of Personal Information by Securities Regulatory Authorities The Alberta and British Columbia Securities Commissions (the “Commissions”) collect the personal information in the Personal Information Form and use it in the administration and enforcement of the securities legislation in Alberta and British Columbia governing the conduct and protection of the public markets in Canada (the “provincial securities legislation”). The Commissions do not make any of the information provided in the PIF public under provincial securities legislation. By submitting this information you consent to the collection by the Commissions of the personal information provided in the PIF, and any other records and information about you from any other source, including, but not limited to, police records, information from other government or non-governmental regulatory authorities, self-regulatory organizations, exchanges, quotation and trade reporting systems, law enforcement agencies, private bodies, agencies, individuals, corporations, and other organizations in any jurisdictions, credit records and employment records as may be necessary for the Commissions to carry out their duties and exercise their powers under provincial securities legislation. You understand that in carrying out those duties and exercising those powers, the Commissions will use the information in the PIF, and any other information about you from any other source, including those listed above, to conduct background checks, verify the information you have provided, perform investigations and conduct enforcement proceedings as required by and to ensure compliance with provincial securities legislation. You also understand that the information the Commissions collect about you may also be disclosed to the sources listed above, as permitted by law, and those entities may use it in their own investigations for the purposes described above. The Commissions may also use a third party to process information, but when this happens, the third party will be carefully selected and obligated to comply with the limited use restrictions described above and with provincial and federal privacy legislation. Warning: It is an offence to submit information that, in a material respect and at the time and in the light of the circumstances in which it is submitted, is misleading or untrue. Questions If you have any questions about the collection, use, and disclosure of the information you provide to the Commissions, you may contact the Commissions in the jurisdiction in which the required information is filed, at the address or telephone number listed below. Information Officer British Columbia Securities Commission Telephone: (604) 899-6854 E-mail: inquiries@bcsc.bc.ca Information Officer Alberta Securities Commission Telephone: (403) 297-6454 E-mail: inquiries@seccom.ab.ca ?? ?? ?? ?? 5 FORM 2A TSX VENTURE EXCHANGE PERSONAL INFORMATION FORM Page (as at October 20, 2004) FORM 2A TSX VENTURE EXCHANGE PERSONAL INFORMATION FORM Page 1 (as at October 20, 2004)  一切恩爱会，无常难得久。生世多畏惧，命危于晨露。由爱故生忧，由爱故生怖。若离于爱者，无忧亦无怖。 |
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ccrola
VIP Gold 注册日期: 2005-5-18 回复: 2749 状态: 离线 |
问题多多呀，兄弟。 |
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qiuzeli
Professional
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UP |
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Paul_Chen
VIP Gold 注册日期: 2003-5-31 回复: 1216 状态: 离线 |
大家有空就拍吧，没空就不要拍了， 我已经筋疲力尽了！！！！ 感谢感谢！！！  一切恩爱会，无常难得久。生世多畏惧，命危于晨露。由爱故生忧，由爱故生怖。若离于爱者，无忧亦无怖。 |
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zhuo455
Professional
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(a) is or becomes an officer, director or insider (as defined pursuant to securities legislation) of an issuer listed on the Exchange (referred to as an “Issuer”); 目前或潜在的高级职员、董事或（相关证券法定义的）证交所上市发行知情人（以下简称“发行人”） The Form The Exchange requires an originally completed PIF and two photocopies of the original. 填表人应使用原表亲自填写，并附带两张照片。 先提出两处疑问。请校对。 |
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水生木
VIP Gold 注册日期: 2004-5-25 回复: 1248 状态: 离线 |
这么长一段，砖头哪够用啊？就算够用，也没力气扔啊？就算有力气扔，咂坏了人咋办？ |
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Paul_Chen
VIP Gold 注册日期: 2003-5-31 回复: 1216 状态: 离线 |
贴上来没别的意思， 这个稿子也是草草写成， 根本容不得我去细细修改， 就算修改了，也还是砖头不够用的  所以大家只管砸吧， 多砸了， 对后来的人有帮助，只要能砸出问题， 赫赫就算有所裨益！！ 我倒不在乎被砸伤的， 早做好准备了！！！！ 一切恩爱会，无常难得久。生世多畏惧，命危于晨露。由爱故生忧，由爱故生怖。若离于爱者，无忧亦无怖。 |
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westbank
VIP Gold
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Where an individual has submitted a Personal Information Form (“PIF”) to Toronto Stock Exchange, a division of TSX Inc. or to TSX Venture Exchange, a division of TSX Venture Exchange Inc. (collectively referred to as the “Exchange”) within the last 36 months and the information has not changed, a Declaration Form may be completed in lieu of this PIF. Otherwise, this PIF is to be completed by every individual who: 已于最近36个月内向多伦多股票交易所（多伦多股票交易公司部门）或多伦多风险交易所（多伦多风险交易公司部门）（以下统称为“交易所”）递交个人资料表（简称“资料表”）且未变动的，可以申报表代之。但下列人员应填写本资料表： (a) is or becomes an officer, director or insider (as defined pursuant to securities legislation) of an issuer listed on the Exchange (referred to as an “Issuer”); （1）交易所上市发行人（以下简称为“发行人”）的高级职员、董事或知情人（根据证券法规定义）； (d) where a securityholder referred to in paragraph (c) is not an individual, any director, officer or insider of that securityholder; （4）第（3）款证券持有人非个人时，该证券持有人的董事、高级职员或知情者 two photocopies of the original. 两份原件复印件。 与全国自由译友团结一起，与正规翻译公司精诚合作 山西省新绛县龙兴镇东门街色织厂家属院231号 电话：0359－7522544 邮编：043100 个人空间：http://westbank0.spaces.live.com/ 法律对照资源：http://prclawpool.netsh.com.cn |
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laoxianggg
VIP Gold
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PERSONAL INFORMATION FORM 个人信息调查表 --- “调查”两个字不需要吧？国内通常好像是说“个人资料表”。 |
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Paul_Chen
VIP Gold 注册日期: 2003-5-31 回复: 1216 状态: 离线 |
这篇稿子， 大家如果有真正搞这行的， 希望有时间可以纠正纠正， 光是从翻译角度上看， 就算错了或者出现各种版本也无可厚非。我看了老西和我的版本， 觉得真不好说谁的断句是对的。 怪只怪句子结构缺少了专业知识背景，变得无所适从。 再一个， 老西， 你哪里来的 36个月亚？ 明明是12各月嘛。 我都糊涂了！！！！ 还有就是，老西： Toronto Stock Exchange 是多伦多证券交易所 TSX Venture Exchange 是 多伦多证券交易所创业版 这两条是肯定了的 多谢大家了 一切恩爱会，无常难得久。生世多畏惧，命危于晨露。由爱故生忧，由爱故生怖。若离于爱者，无忧亦无怖。 |
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