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EQUS REA Ltd. Amendments to the Code of Conduct Regulation Compliance Plan, AUC Decision 28002-D01-2023

Link to Decision Summarized

Electricity – CCR

Application

EQUS REA Ltd. (“EQUS”) applied for approval of amendments to its Compliance Plan under s 32 of the Code of Conduct Regulation. The changes concerned: (1) a revision to EQUS’ Compliance Officer appointment; (2) revisions to mechanisms to account for annual reviews of compliance report submissions; and (3) other minor typographical changes.

Decision

The AUC was satisfied that the proposed amendments to EQUS’ Compliance Plan sufficiently addressed the requirements of the Code of Conduct Regulation. The AUC approved EQUS’ revised Compliance Plan, effective March 1, 2023.

Applicable Legislation

Code of Conduct Regulation, Alta Reg 208/2020 – s 32.

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