The Uniform Exemption Letter is a crucial regulatory tool in the Canadian securities landscape, used when entities need to request relief from specific securities regulations while maintaining regulatory compliance through alternative means. This document type is particularly relevant when standard regulatory requirements pose undue burden or are impractical for specific business situations, yet the underlying regulatory objectives can still be achieved through different approaches. The letter must comply with both federal and provincial securities regulations, as securities fall under shared jurisdiction in Canada. When drafting a Uniform Exemption Letter, entities must provide comprehensive justification for the exemption, demonstrate how alternative measures will achieve regulatory objectives, and include relevant supporting documentation. The uniform nature of the letter ensures consistency across different Canadian jurisdictions, streamlining the exemption process for entities operating in multiple provinces.
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
Your data doesn't train Genie's AI
You keep IP ownership of your docs
1. Letterhead and Date: Official letterhead of the requesting entity and current date
2. Regulatory Authority Address: Complete address and contact details of the relevant securities regulatory authority
3. Subject Line: Clear indication that this is an exemption request with reference to specific securities legislation
4. Entity Information: Details of the requesting entity including registration status, business number, and contact information
5. Exemption Request: Specific section(s) of legislation from which exemption is sought
6. Background and Context: Relevant background information explaining the circumstances necessitating the exemption request
7. Legal and Regulatory Analysis: Analysis of how the exemption aligns with regulatory framework and public interest
8. Proposed Conditions: Any conditions the applicant proposes to comply with in lieu of the exempted requirements
9. Prior Decisions: Reference to any relevant precedent decisions or similar exemptions granted
10. Certification and Signature: Declaration of accuracy and completeness, with authorized signature
1. Time Sensitivity: Include when the exemption request is time-sensitive, explaining the urgency
2. Impact Analysis: Detailed analysis of market impact when the exemption may affect market participants
3. Jurisdictional Considerations: Include when the exemption request affects multiple Canadian jurisdictions
4. Confidentiality Request: Include when certain information in the application should be kept confidential
5. Transition Plan: Include when the exemption is temporary and there's a plan to achieve full compliance
1. Schedule A - Supporting Documentation: Key documents supporting the exemption request (e.g., corporate records, financial statements)
2. Schedule B - Draft Order: Proposed form of exemption order or decision for the regulator's consideration
3. Schedule C - Related Party Information: Information about related parties affected by the exemption request
4. Schedule D - Compliance History: Record of regulatory compliance and any previous exemption requests
5. Appendix 1 - Legal Opinion: Legal opinion supporting the exemption request, if applicable
6. Appendix 2 - Market Impact Study: Analysis of potential market impact, if applicable
Find the exact document you need
Uniform Exemption Letter
A formal Canadian regulatory document requesting exemption from specific securities law requirements while proposing alternative compliance measures.
Download
Sales Tax Exemption Letter
A Canadian tax document certifying an organization's GST/HST and/or PST exempt status for use when making purchases from vendors.
Download
Property Tax Exemption Letter
A formal request document used in Canadian jurisdictions to seek property tax exemption based on qualifying criteria under provincial and municipal legislation.
Download
Income Tax Exemption Letter
A formal Canadian tax document establishing or confirming tax-exempt status with the CRA, outlining the legal basis and scope of the exemption.
Download
Exemption Determination Letter
A Canadian regulatory document confirming qualification for securities law exemptions, issued by securities regulatory authorities.
Download
Exception Letter
A Canadian legal document granting formal exemption from standard requirements or policies, providing detailed conditions and compliance requirements under federal and provincial jurisdictions.
Download
Tax Exempt Letter To Vendors
A Canadian jurisdiction document certifying an organization's tax-exempt status to vendors, enabling tax-free purchases under applicable federal and provincial regulations.
Download
ұԾ’s Security Promise
Genie is the safest place to draft. Here’s how we prioritise your privacy and security.
Your documents are private:
We do not train on your data; ұԾ’s AI improves independently
All data stored on Genie is private to your organisation
Your documents are protected:
Your documents are protected by ultra-secure 256-bit encryption
We are ISO27001 certified, so your data is secure
Organizational security:
You retain IP ownership of your documents and their information
You have full control over your data and who gets to see it
.png)