An Investment Dealer sells a private placement to an individual who qualifies as an accredited investor under the $1,000,000 financial asset test. What are the regulatory requirements regarding the Risk Acknowledgment Form?

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Under NI 45-106, the person relying on the exemption (the dealer) must retain the signed Form 45-106F9 for a period of 8 years after the distribution.

An Investment Dealer sells a private placement to an individual who qualifies as an accredited investor under the $1,000,000 financial asset test. What are the regulatory requirements regarding the Risk Acknowledgment Form?

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