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Agoracom
The Small Cap Epicenter
The Small Cap Epicenter
Section 223 of Regulation 1015, made under the Securities Act (Ontario), requires every registrant to prepare and file with the Commission a statement of policies related to potential conflicts of interest.
Agoracom Capital Inc., a wholly owned subsidiary of Agora International Enterprises, dba “AGORACOM Investor Relations”, is a limited market dealer in the Province of Ontario and will act as an intermediary on behalf of institutions, high net worth individuals and other persons or entities who so qualify under the applicable requirements of the securities laws of the Province of Ontario relating to limited market dealers.
It is the policy, as well as the duty of Agoracom Capital Inc. to deal fairly, honestly and in good faith with its customers and clients.
In the course of our activities, Agoracom Capital Inc. may from time to time trade in respect of securities in corporations, general partnerships, limited partnerships, trusts or other forms of issuers which may be considered to be related issuers to Agoracom Capital Inc. within the meaning of the securities laws of the Province of Ontario. If Agoracom Capital Inc. does trade or act as an agent or underwriter for the purchase or sale of securities of related issuers, it will provide full disclosure of said relationships in writing to purchasers of such securities and comply with all requirements of the securities laws of the Province of Ontario.
Relationship with Related, Connected and Affiliated Corporations
Neither Agoracom Capital Inc. nor AGORA International Enterprises is an issuer of securities, other than their own which are not publicly traded. Should any of these entities commence the activity of underwriting or issuance of securities, this Statement will be reviewed and revised to disclose fully such activity, and all clients of Agoracom Capital Inc. advised.
At no time can the Directors, Officers, Partners, Salesperson’s or employees of Agoracom Capital or AGORA International Enterprises recommend that you trade in, or provide to you advice about any security.
There are currently no related issuers of Agoracom Capital Inc. that are reporting issuers under the securities laws of the Province of Ontario or that have distributed securities outside Ontario on a basis that, had they done so in Ontario, would have made them reporting issuers, other than the following:
http://agoracom.com/ir/agoracom/disclaimer
The foregoing Statement of Policies is provided as a requirement pursuant to Section 223(1) of the Regulation under the Securities Act (Ontario).
Pursuant to Ontario Securities Commission Rule 31-501 legislation requires a dealer or adviser to inform its clients if the dealer or adviser has a principal shareholder, officer, partner or director that is a principal shareholder, officer, partner or director of another registrant, and of the policies and procedures adopted by the dealer or adviser to minimize the potential for conflicts of interest that may result from this relationship.
Agoracom Capital currently does not have any directors and/or officers who are also directors and/or officers of any other registrants as per the securities laws of the Province of Ontario.
Compliance at all levels with internal and external regulations, policies and procedures are monitored under the guidance of the Compliance Department of Agoracom Capital Inc. along with the chief compliance officer of Agoracom Capital Inc.