The Risk Acknowledgement Form is a crucial document required under Canadian securities regulations, particularly National Instrument 45-106 and provincial Securities Acts. It is typically used in situations involving exempt market securities, high-risk investments, or when dealing with retail investors in sophisticated investment products. The form serves multiple purposes: it provides investors with clear disclosure of investment risks, documents their understanding of these risks, and helps investment firms comply with their regulatory obligations. The document must include specific warnings, risk factors, and acknowledgments as prescribed by securities regulations, and it often forms part of a larger investment subscription package. This form is particularly important in private placements, exempt market distributions, and other situations where standard prospectus requirements are waived.
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1. Identification of Parties: Details of the investor/signatory and the investment firm/issuer
2. Investment Information: Specific details about the investment or transaction being acknowledged
3. Risk Warning Statement: Prominent warning about the risky nature of the investment
4. General Risk Factors: List of general risks associated with the type of investment
5. Specific Risk Factors: Detailed description of risks specific to this particular investment
6. Loss Potential Declaration: Clear statement about the possibility of losing the entire investment
7. No Guarantee Statement: Declaration that returns are not guaranteed and past performance is not indicative of future results
8. Acknowledgment and Certification: Formal acknowledgment statements that the investor has read and understood the risks
9. Execution: Signature blocks, date, and witness sections
1. Suitability Assessment: Additional section when the investment requires a suitability assessment under securities regulations
2. Purchaser's Rights: Section outlining statutory rights of action when required by provincial securities laws
3. Leverage Risk Disclosure: Required when the investment involves borrowed money or leverage
4. Conflict of Interest Disclosure: When there are potential conflicts of interest to be disclosed
5. Foreign Investment Risks: Required for investments in foreign securities or markets
6. Electronic Delivery Consent: Optional section for accepting electronic delivery of documents and future communications
1. Schedule A - Detailed Risk Factors: Comprehensive list and explanation of all potential risks associated with the investment
2. Schedule B - Investment Terms: Detailed terms and conditions of the specific investment being acknowledged
3. Schedule C - Investor Qualification: Criteria and certifications for investor qualification status
4. Appendix 1 - Glossary: Definitions of technical terms used in the risk acknowledgment form
5. Appendix 2 - Risk Rating Guide: Guide explaining how risk levels are determined and what they mean
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