Part 2 — Provincial Companies Subpart 1 Status and Powers of Provincial Companies
301 Division 2 Proxies and Proxy Solicitation Definitions
(a) "registrant" means a securitie s broker or dealer required to
be registered to trade or deal in securities under the laws of
any jurisdiction;
(b) "solicit" or "solicitation" includes
(i) a request for a proxy, whether or not accompanied with
or included in a form of proxy,
(ii) a request to execute or no t to execute a form of proxy or
to revoke a proxy,
(iii) the sending of a form of proxy or other communication
to a participating policyholder or shareholder under
circumstances reasonably calculated to result in the
procurement, withholding or revocation of a proxy, and
(iv) the sending of a form of proxy to a shareholder under
section 304,
but does not include
(v) the sending of a form of proxy in response to an
unsolicited request made by or on behalf of a
participating policyholder or shareholder,
(vi) the performance of admi nistrative acts or professional
services on behalf of a person soliciting a proxy,
(vii) the sending by a registrant of the documents referred to
in section 307, or
(viii) a solicitation by a person in respect of shares of which
that person is the beneficial owner;
(c) "solicitation by or on behalf of the management of a
provincial company" means a solicitation by any person
RSA 2000
pursuant to a resolution or instructions of, or with the
acquiescence of, the directors or a committee of the
directors of the company.
1999 cI-5.1 s301