UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM TA-1

UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENTTO REGISTRATION PURSUANT TO SECTION 17A OF THESECURITIES EXCHANGE ACT OF 1934

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GENERAL: Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934. Read all instructions before completing this form. Please print or type all responses.
Form Version:3.2.0
1(a).  Filer CIK: 0001277690
1(c). Live/Test Filing?
X Live    Test
1(e). Is this filing an amendment to a previous filing?
X Yes
1(e)(i).  File Number: 084-06096

2. Appropriate regulatory agency (check one):
X Securities and Exchange Commission
   Board of Governors of the Federal Reserve System
   Federal Deposit Insurance Corporation
   Comptroller of the Currency
   Office of Thrift Supervision

3(a).  Full Name of Registrant:
CIBC Mellon Trust Company
3(a)(i).  Previous name, if being amended:

3(b).  Financial Industry Number Standard (FINS) number:283580
3(c).  Address of principal office where transfer agent activities are, or will be, performed:
3(c)(i).  Address 1
320 Bay Street
3(c)(ii).  Address 2

3(c)(iii).  City
Toronto
3(c)(iv).  State or Country
A6
ONTARIO, CANADA
3(c)(v).  Postal Code
M5H 4A6
3(d). Address of principal office where transfer agent activities are, or will be, performed:
   Yes X No
If `yes,` provide address(es):
3(e).  Telephone Number (Include Area Code)
416-643-5000

4. Does registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Question 3(c) above?
X Yes    No
If `yes,` provide address(es):
4(a)(i).  Address 1
1066 West Hastings Street
4(a)(ii).  Address 2
Suite 1600
4(a)(iii).  City
Vancouver
4(a)(iv).  State or Country
A1
BRITISH COLUMBIA, CANADA
4(a)(v).  Postal Code
V6E 3X1
4(a)(i).  Address 1
600 The Dome Tower
4(a)(ii).  Address 2
333, 7th Avenue SW
4(a)(iii).  City
Calgary
4(a)(iv).  State or Country
A0
ALBERTA, CANADA
4(a)(v).  Postal Code
T2P 2Z1
4(a)(i).  Address 1
2001 University Street
4(a)(ii).  Address 2
16th Floor
4(a)(iii).  City
Montreal
4(a)(iv).  State or Country
A8
QUEBEC, CANADA
4(a)(v).  Postal Code
H3A 2A6
4(a)(i).  Address 1
1600 Hollis Street
4(a)(ii).  Address 2
4th Floor
4(a)(iii).  City
Halifax
4(a)(iv).  State or Country
A5
NOVA SCOTIA, CANADA
4(a)(v).  Postal Code
B3J 1V7

5. Does registrant act, or will it act, as a transfer agent solely for its own securities and/or securities of an affiliate(s)?
   Yes X No

6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions?
X Yes    No
If `yes,` provide the name(s) and address(es) of all service companies engaged, or that will be engaged, by the registrant to perform its transfer agent functions:
6(a).  Name:
Mellon Investor Services LLC
6(b).  File Number: 084-05579
6(c)(i).  Address 1
Newport Office Centre VII
6(c)(ii).  Address 2
480 Washington Boulevard
6(c)(iii).  City
Jersey City
6(c)(iv).  State or Country
NJ
NEW JERSEY
6(c)(v).  Postal Code
07310

7. Has registrant been engaged, or will it be engaged, as a service company by a named transfer agent to perform transfer agent functions?
   Yes X No
If `yes,` provide the name(s) and File Number(s) of the named transfer agent(s) for which the registrant has been engaged, or will be engaged, as a service company to perform transfer agent functions:

Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select `Not Applicable.`

8. Is registrant a:
X Corporation
   Partnership
   Sole Proprietorship
   Other
   Not Applicable

Section for Initial Registration and for Amendments Reporting Additional Persons. (Corporation or Partnership)

8(a)(i).  Full Name: Canadian Imperial Bank of Commerce
8(a)(ii).  Relationship Start Date: 07/08/1997
8(a)(iii).  Title or Status: Shareholder
8(a)(iv). Ownership Code:
   NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
X D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Mellon Canada Holding Company
8(a)(ii).  Relationship Start Date: 12/31/1991
8(a)(iii).  Title or Status: Shareholder
8(a)(iv). Ownership Code:
   NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
X D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Richard Ernest Venn
8(a)(ii).  Relationship Start Date: 12/17/1997
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Thomas Carey MacMillan
8(a)(ii).  Relationship Start Date: 09/21/1994
8(a)(iii).  Title or Status: Director, Chairman
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Christopher John Anderson
8(a)(ii).  Relationship Start Date: 11/16/2005
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Victor George Dodig
8(a)(ii).  Relationship Start Date: 09/01/2005
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date: 12/31/2010

8(a)(i).  Full Name: Steven Graham Elliott
8(a)(ii).  Relationship Start Date: 09/07/2006
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date: 12/30/2010

8(a)(i).  Full Name: Jeffrey Stuart Graham
8(a)(ii).  Relationship Start Date: 05/30/2000
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date: 11/02/2009

8(a)(i).  Full Name: James Patrick Palermo
8(a)(ii).  Relationship Start Date: 01/30/1998
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Edna Jennifer Warren
8(a)(ii).  Relationship Start Date: 04/28/2006
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: John Frederick Riviere
8(a)(ii).  Relationship Start Date: 01/03/2006
8(a)(iii).  Title or Status: SVP & CFO
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date: 09/05/2008

8(a)(i).  Full Name: Mark Richard Hemingway
8(a)(ii).  Relationship Start Date: 09/12/2005
8(a)(iii).  Title or Status: SVP & General Counsel
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Robert Milton Shier
8(a)(ii).  Relationship Start Date: 11/01/1999
8(a)(iii).  Title or Status: SVP, Chief Operations Officer
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: David Samuel Linds
8(a)(ii).  Relationship Start Date: 06/01/2000
8(a)(iii).  Title or Status: Senior Vice President
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Helen Sophia Polatajko
8(a)(ii).  Relationship Start Date: 11/01/1999
8(a)(iii).  Title or Status: Senior Vice President
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: James Edward Robert Slater
8(a)(ii).  Relationship Start Date: 11/01/1999
8(a)(iii).  Title or Status: Senior Vice President
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date: 08/06/2010

8(a)(i).  Full Name: Rajesh Uttamchandani
8(a)(ii).  Relationship Start Date: 05/15/2006
8(a)(iii).  Title or Status: Senior Vice President
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date: 05/22/2009

8(a)(i).  Full Name: The Bank of New York Mellon Corporation
8(a)(ii).  Relationship Start Date: 07/01/2007
8(a)(iii).  Title or Status: Ultimate Owner
8(a)(iv). Ownership Code:
   NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
X D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Brian Naish
8(a)(ii).  Relationship Start Date: 03/02/2009
8(a)(iii).  Title or Status: SVP, Chief Financial Officer
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Maple Tam
8(a)(ii).  Relationship Start Date: 06/17/2009
8(a)(iii).  Title or Status: Head of Human Resources
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date: 03/29/2010

8(a)(i).  Full Name: Thomas Stephen Monahan
8(a)(ii).  Relationship Start Date: 11/02/2009
8(a)(iii).  Title or Status: Director, President and CEO
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Vincent Veto Sands
8(a)(ii).  Relationship Start Date: 03/29/2010
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Sue Simone
8(a)(ii).  Relationship Start Date: 03/29/2010
8(a)(iii).  Title or Status: Senior Vice President, Human Resources
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Timonthy F. Keaney
8(a)(ii).  Relationship Start Date: 12/31/2010
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Douglas F. Parkhill
8(a)(ii).  Relationship Start Date: 12/31/2010
8(a)(iii).  Title or Status: Director
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:

8(a)(i).  Full Name: Michael Tibando
8(a)(ii).  Relationship Start Date: 12/06/2010
8(a)(iii).  Title or Status: Chief Compliance Officer
8(a)(iv). Ownership Code:
X NA - 0 to 5%
   A - 5% up to 10%
   B - 10% up to 25%
   C - 25% up to 50%
   D - 50% up to 75%
   E - 75% up to 100%
8(a)(v). Control Person:
X
8(a)(vi).  Relationship End Date:


9.  Does any person or entity not named in the answer to Question 8:
9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant; or . . . .
   Yes X No    NA
9(a)(i).  Exact name of each person or entity:

9(a)(ii).  Description of the Agreement or other basis:

9(b). wholly or partially finance the business of applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . .
   Yes X No
9(b)(i).  Exact name of each person or entity:

9(b)(ii).  Description of the Agreement or other basis:


10.  Applicant and Control Affiliate Disciplinary History:
The following definitions apply for purposes of answering this Question 10
Control affiliate - An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority.
Investment or investment related - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker-dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association).
Involved - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act.
10(a).  In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender (`no contest`) to:
10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or extortion?
   Yes X No
10(a)(2). any other felony?
   Yes X No
10(b).  Has any court in the past ten years:
10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity?
X Yes    No
10(b)(1)(i).  The individuals named in the action or claim:
CIBC Mellon Trust Company
10(b)(1)(ii).  Title of Action 10(b)(1)(iii).  Date of Action
Securities and Exchange Commission v. CIBC Mellon Trust Company
01/14/2005
10(b)(1)(iv).  The Court or body taking the Action and location:
U.S. Securities and Exchange Commission ("SEC")
10(b)(1)(v).  Description of the action or claim:
CIBC Mellon Trust Company ("CMTC") submitted a Consent to Entry of Judgment (the "Consent") which was presented by the SEC in the United States District Court for the District of Columbia (the "Court") on February 16, 2005. In the Consent, and solely for the purpose of the injunctive action and any other proceedings arising out of the SEC's investigation brought by or on behalf of the SEC or to which the SEC is a party, CMTC consented to the entry of Final Judgment as to Defendant CMTC (the "Final Judgment") without admitting or denying the matters set forth therein (other than those relating to the jurisdiction of the Court and the subject matter of the action). The Final Judgment, entered on February 24, 2005, resolved the allegations that CMTC had failed to register as a transfer agent with the SEC, that it had issued "legend free" stock certificates of a company whose shares were not registered with the SEC, that one of its managers had accepted payments of stock from that company's officers to issue the certificates, and that it had acted as an unregistered broker or dealer in connection with its stock plan administration business. CMTC was permanently enjoined from prescribed violations of Securities Act Section 5, Exchange Act Section 10(b) and Rule 10b-5, Exchange Act Section 15(a), Exchange Act Section 17A(c)(1), and from aiding and abetting future violations of Exchange Act Section 10(b) or Rule 10b-5. CMTC also agreed to pay a civil monetary penalty of $5 million and disgorgement of $889,773 and prejudgment interest of $140,270. Payment was made on March 4, 2005. CMTC also consented, without admitting or denying the SEC complaint's allegations, to the entry of an SEC administrative order based on the Final Judgment on March 2, 2005 (the "Order"). Pursuant to the Order, CMTC was censured and agreed to an undertaking to engage an independent consultant to review its relevant businesses and procedures. This matter responds to items 10B(1) and 10C(2).
10(b)(1)(vi).  Disposition of action or claim:
Entry of Judgment on consent. See item (v) above for detail.
10(b)(1)(i).  The individuals named in the action or claim:
Canadian Imperial Bank of Commerce, ("CIBC")
10(b)(1)(ii).  Title of Action 10(b)(1)(iii).  Date of Action
Not available
12/22/2003
10(b)(1)(iv).  The Court or body taking the Action and location:
U.S. Securities and Exchange Commission ("SEC")
10(b)(1)(v).  Description of the action or claim:
On December 22, 2003 the SEC filed a Complaint with the US District Court for the Southern District of Texas alleging that CIBC aided and abetted violations of the federal securities laws related to certain structured finance transactions between CIBC and the Enron Corporation including Enron's manipulation of its reported financial results through a series of financial transactions that were improperly reported by Enron as asset sales; that CIBC knew or was reckless in not knowing that loans were structured as asset sales for accounting and financial reporting purposes and therefore CIBC knowingly and substantially assisted Enron to file with the SEC false and misleading reports and failed to make and keep accurate books, records and accounts. Without admitting or denying any wrongdoing CIBC consented to the entry of a Final Judgment permanently enjoining CIBC from violation of Section 10(b) of the Exchange Act and Rule l0b-5 there under, Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 there under, Section 13(b)(2) of the Exchange Act, Rule 13b2-1, and Section 13(b)(5) of the Exchange Act. This Final Judgment was also filed on December 22, 2003. On the same day CIBC deposited with the Court $80,000,000 in disgorgement, interest and a civil penalty. In addition to these sanctions CIBC also agreed that it will not seek any benefit from any offset or reduction of any investor's claim, and that it shall not seek reimbursement or indemnification, nor any tax deduction or credit for any of the amount paid. The SEC has agreed to not institute any proceedings against CIBC, its subsidiaries or affiliates pursuant to Sections 15(b), 15B, 15C, or 19(h) of the Exchange Act.
10(b)(1)(vi).  Disposition of action or claim:
Final judgment as outlined in (v) above
10(b)(2). found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?
X Yes    No
10(b)(2)(i).  The individuals named in the action or claim:
Canadian Imperial Bank of Commerce, ("CIBC")
10(b)(2)(ii).  Title of Action 10(b)(2)(iii).  Date of Action
Not available
12/22/2003
10(b)(2)(iv).  The Court or body taking the Action and location:
U.S. Securities and Exchange Commission ("SEC")
10(b)(2)(v).  Description of the action or claim:
On December 22, 2003 the SEC filed a Complaint with the US District Court for the Southern District of Texas alleging that CIBC aided and abetted violations of the federal securities laws related to certain structured finance transactions between CIBC and the Enron Corporation including Enron's manipulation of its reported financial results through a series of financial transactions that were improperly reported by Enron as asset sales; that CIBC knew or was reckless in not knowing that loans were structured as asset sales for accounting and financial reporting purposes and therefore CIBC knowingly and substantially assisted Enron to file with the SEC false and misleading reports and failed to make and keep accurate books, records and accounts. Without admitting or denying any wrongdoing CIBC consented to the entry of a Final Judgment permanently enjoining CIBC from violation of Section 10(b) of the Exchange Act and Rule l0b-5 there under, Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 there under, Section 13(b)(2) of the Exchange Act, Rule 13b2-1, and Section 13(b)(5) of the Exchange Act. This Final Judgment was also filed on December 22, 2003. On the same day CIBC deposited with the Court $80,000,000 in disgorgement, interest and a civil penalty. In addition to these sanctions CIBC also agreed that it will not seek any benefit from any offset or reduction of any investor's claim, and that it shall not seek reimbursement or indemnification, nor any tax deduction or credit for any of the amount paid. The SEC has agreed to not institute any proceedings against CIBC, its subsidiaries or affiliates pursuant to Sections 15(b), 15B, 15C, or 19(h) of the Exchange Act.
10(b)(2)(vi).  Disposition of action or claim:
Final judgment as outlined in (v) above
10(c).  Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
10(c)(1). found the applicant or a control affiliate to have made a false statement or omission?
X Yes    No
10(c)(1)(i).  The individuals named in the action or claim:
One or more control affiliates - see attached file for Question 10 data
10(c)(1)(ii).  Title of Action 10(c)(1)(iii).  Date of Action
See attached file for Question 10 data
02/11/2008
10(c)(1)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 data
10(c)(1)(v).  Description of the action or claim:
See attached file for Question 10 data
10(c)(1)(vi).  Disposition of action or claim:
See attached file for Question 10 data
10(c)(2). found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes?
X Yes    No
10(c)(2)(i).  The individuals named in the action or claim:
CIBC Mellon Trust Company
10(c)(2)(ii).  Title of Action 10(c)(2)(iii).  Date of Action
U.S. Securities and Exchange Commission v. CIBC Mellon Trust Company
01/14/2005
10(c)(2)(iv).  The Court or body taking the Action and location:
see item 10(b)(1) above
10(c)(2)(v).  Description of the action or claim:
see item 10(b)(1) above
10(c)(2)(vi).  Disposition of action or claim:
see item 10(b)(1) above
10(c)(2)(i).  The individuals named in the action or claim:
CIBC World Markets Corp and Canadian Imperial Holdings Inc.
10(c)(2)(ii).  Title of Action 10(c)(2)(iii).  Date of Action
In the Matter of Canadian Imperial Holding Inc. and CIBC World Markets Corp.
07/20/2005
10(c)(2)(iv).  The Court or body taking the Action and location:
SEC and the Attorney General for the State of New York
10(c)(2)(v).  Description of the action or claim:
On July 20, 2005 Canadian Imperial Bank of Commerce ("CIBC") and The United States Securities and Exchange Commission (the "SEC") announced a joint settlement (the "Settlement") of certain of CIBC's U.S. subsidiaries with the SEC and the Attorney General for the State of New York ("NYAG") of proceedings in relation to the activities of the subsidiaries in respect of certain alleged mutual fund market timing practices. The CIBC subsidiaries to which the Settlement relates are CIBC World Markets Corp. ("World Markets"), Canadian Imperial Holdings Inc. ("CIHI"), CIBC Bank and Trust (Cayman) Limited, Rudy Capital USA LLC and Hudson River Investments LLC (the "Other Parties"). On July 20, 2005, the SEC issued an Order Instituting Administrative and Cease-and-Desist Proceeding, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (the "Securities Act"), Sections 15(b) and 21C of the Securities Exchange Act of 1934 ("Exchange Act"), Section 203(e) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940 ("Investment Company Act") (the "SEC Order"). Under the SEC Order: (a) Without CIHI admitting or denying such findings, the SEC found that as a result of World Markets' registered representatives' facilitation of market timing and related financial transactions in which CIHI participated, CIHI wilfully violated Section 17(a) of the Securities Act, Sections 7(d) and 10(b) of the Exchange Act and Rule 10b-5 thereunder, Rule 22c-1, as adopted under Section 22(c) of the Investment Company Act and Regulation U promulgated by the Federal Reserve Board. (b) Without World Markets admitting or denying such findings, the SEC found that as a result of World Markets' registered representatives' facilitation of market timing and related financial transactions, World Markets wilfully violated Section 17(a) of the Securities Act, Sections 7(c), 10(b), 11(d), 15(c) and 17(a) of the Exchange Act and Rules 10b-3, 10b-5 and 17a-3 thereunder, Rule 22c-1, as adopted under Section 22(c) of the Investment Company Act and Regulation T promulgated by the Federal Reserve Board. (c) World Markets and CIHI agree to pay disgorgement and prejudgement interest in the amount of $100 million and a civil money penalty of $25 million (all numbers in U.S. dollars), and to retain an independent distribution consultant to develop a plan for the distribution of the $125 million to investors. (d) CIHI agrees to cease and desist from committing or causing any violations of Section 17(a) of the Securities Act, Sections 7(d) and 10(b) of the Exchange Act and Rule 10b-5 thereunder, Rule 22c-1 as adopted under Section 22(c) of the Investment Company Act and Regulation U promulgated by the Federal Reserve Board regarding the extension of margin credit. (e) World Markets agrees to cease and desist from committing or causing any violations of Section 17(a) of the Securities Act, Sections 7(c), 10(b), 11(d), 15(c) and 17(a) of the Exchange Act and Rules 10b-3, 10b-5 and 17a-3 thereunder, Rule 22c-1 as adopted under Section 22(c) of the Investment Company Act and Regulation T promulgated by the Federal Reserve Board regarding the extension of margin credit. The settlement with the NYAG (the "NYAG Settlement") is effected under an Assurance of Discontinuance under which the NYAG will agree not to pursue an action against CIHI, World Markets and the Other Parties. The NYAG Settlement requires CIHI, World Markets and the Other Parties to make payment of the $125 million arising under the SEC Order.
10(c)(2)(vi).  Disposition of action or claim:
Agreement of settlement as detailed in (v) above
10(c)(2)(i).  The individuals named in the action or claim:
One or move control affiliates - see attached file for Question 10 data
10(c)(2)(ii).  Title of Action 10(c)(2)(iii).  Date of Action
See attached file for Question 10 data
02/11/2008
10(c)(2)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 data
10(c)(2)(v).  Description of the action or claim:
See attached file for Question 10 Data
10(c)(2)(vi).  Disposition of action or claim:
See attached file for Question 10 data
10(c)(2)(i).  The individuals named in the action or claim:
The Bank of New York Mellon
10(c)(2)(ii).  Title of Action 10(c)(2)(iii).  Date of Action
SEC Admin. Proceeding File No. 3-12526
01/09/2007
10(c)(2)(iv).  The Court or body taking the Action and location:
U.S. Securities and Exchange Commission
10(c)(2)(v).  Description of the action or claim:
The SEC alleged that from at least January 1, 2003 through June 30, 2004, in connection with certain auctions, the Bank of New York Mellon (formerly, The Bank of New York, "BNY") accepted initial or revised bids after submission deadlines and allowed broker-dealers to intervene in auctions. In certain instances, this conduct also affected the rate paid on the auction rate securities. As a result, BNY caused violations of section 17(a)(2) of the Securities Act. BNY was required to make certain disclosures regarding its material auction practices and procedures; and not later than 6 months after the date of this order, unless otherwise extended by the Staff of the Commission for good cause shown, have its CEO or general counsel certify in writing to the Staff of the Commission that BNY has implemented procedures. In addition BNY paid a monetary settlement in the amount of $750,000.
10(c)(2)(vi).  Disposition of action or claim:
See 10 (c) (2) (vi) above
10(c)(2)(i).  The individuals named in the action or claim:
The Bank of New York Mellon
10(c)(2)(ii).  Title of Action 10(c)(2)(iii).  Date of Action
SEC Admin. Proceeding File No. 3-12269
04/24/2006
10(c)(2)(iv).  The Court or body taking the Action and location:
U.S. Securities and Exchange Commission
10(c)(2)(v).  Description of the action or claim:
The SEC alleged that the Bank of New York Mellon(formerly, The Bank of New York, "BNY") failed as a transfer agent to exercise reasonable care to ascertain the correct addresses of lost security holders and escheated assets belonging to those security holders to various states. As a result BNY entered into agreement to offer payment to certain security holders for property escheated erroneously (while reserving the right to pursue their claim for repayment with the State to which the property was escheated). In addition BNY paid a penalty of $250,000 and agreed to the retention of an independent consultant to review and evaluate certain of the Bank's policies and procedures.
10(c)(2)(vi).  Disposition of action or claim:
See 10 (c) (2) (vi) above
10(c)(3). found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
X Yes    No
10(c)(3)(i).  The individuals named in the action or claim:
One or more control affliates - see attached file for Question 10 data
10(c)(3)(ii).  Title of Action 10(c)(3)(iii).  Date of Action
See attached file for Question 10 data
02/11/2008
10(c)(3)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 data
10(c)(3)(v).  Description of the action or claim:
See attached file for Question 10 data
10(c)(3)(vi).  Disposition of action or claim:
See attached file for Question 10 data
10(c)(4). entered an order denying, suspending or revoking the applicant`s or a control affiliate`s registration or otherwise disciplined it by restricting its activities?
X Yes    No
10(c)(4)(i).  The individuals named in the action or claim:
One or more control affliliates - see attached file for Question 10 data
10(c)(4)(ii).  Title of Action 10(c)(4)(iii).  Date of Action
See attached file for Question 10 data
02/11/2008
10(c)(4)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 data
10(c)(4)(v).  Description of the action or claim:
See attached file for Question 10 data
10(c)(4)(vi).  Disposition of action or claim:
See attached file for Question 10 data
10(c)(4)(i).  The individuals named in the action or claim:
The Bank of New York Mellon
10(c)(4)(ii).  Title of Action 10(c)(4)(iii).  Date of Action
SEC Admin. Proceeding File No. 3-12526
01/09/2007
10(c)(4)(iv).  The Court or body taking the Action and location:
U.S. Securities and Exchange Commission
10(c)(4)(v).  Description of the action or claim:
See 10 (c) (2) (vi) above
10(c)(4)(vi).  Disposition of action or claim:
See 10 (c) (2) (vi) above
10(c)(4)(i).  The individuals named in the action or claim:
The Bank of New York Mellon
10(c)(4)(ii).  Title of Action 10(c)(4)(iii).  Date of Action
SEC Admin. Proceeding File No. 3-12269
04/24/2006
10(c)(4)(iv).  The Court or body taking the Action and location:
U.S. Securities and Exchange Commission
10(c)(4)(v).  Description of the action or claim:
See 10 (c) (2) (vi) above
10(c)(4)(vi).  Disposition of action or claim:
See 10 (c) (2) (vi) above
10(d).  Has any other Federal regulatory agency or any state regulatory agency:
10(d)(1). ever found the applicant or a control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical?
   Yes X No
10(d)(2). ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes?
X Yes    No
10(d)(2)(i).  The individuals named in the action or claim:
One or more control affliliates - see attached file for Question 10 data
10(d)(2)(ii).  Title of Action 10(d)(2)(iii).  Date of Action
See attached file for Question 10 data
02/11/2008
10(d)(2)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 data
10(d)(2)(v).  Description of the action or claim:
See attached file for Question 10 data
10(d)(2)(vi).  Disposition of action or claim:
See attached file for Question 10 data
10(d)(2)(i).  The individuals named in the action or claim:
The Bank of New York Mellon
10(d)(2)(ii).  Title of Action 10(d)(2)(iii).  Date of Action
None - never reached the courts
11/08/2005
10(d)(2)(iv).  The Court or body taking the Action and location:
U.S. Attorney for EDNY and SDNY
10(d)(2)(v).  Description of the action or claim:
The Bank of New York Mellon (formerly, The Bank of New York, the "Bank"), an affiliate of the registrant, entered into a non-prosecution agreement with the U.S. Attorneys offices for the Eastern and Southern Districts of New York ("EDNY" and "SDNY"). The respective EDNY and SDNY investigations related to actions by Bank employees that facilitated a fraudulent scheme conducted by RW Professional Leasing Services Corp., a former customer of one of the Bank's Long Island branch offices, and certain funds transfer activities to and from Russia from 1996 to 1999. Among other things, the non-prosecution agreement outlines a series of measures, many of which already are completed and others that are well underway, to enhance the Bank's procedures for monitoring and reporting suspicious activity. The Bank has agreed to pay restitution and forfeiture totalling $38 million, all of which has been previously reserved. The agreement, which has a term of three years, provides for the Bank to retain an independent examiner to review the enhanced procedures and report to the government on a periodic basis.
10(d)(2)(vi).  Disposition of action or claim:
See 10 (d)(2)(v) above
10(d)(3). ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?
   Yes X No
10(d)(4). in the past ten years entered an order against the applicant or a control affiliate in connection with investment-related activity?
X Yes    No
10(d)(4)(i).  The individuals named in the action or claim:
One or more control affiliates - see attached file for Question 10 Data
10(d)(4)(ii).  Title of Action 10(d)(4)(iii).  Date of Action
See attached file for Question 10 Data
02/11/2008
10(d)(4)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 Data
10(d)(4)(v).  Description of the action or claim:
See attached file for Question 10 Data
10(d)(4)(vi).  Disposition of action or claim:
See attached file for Question 10 Data
10(d)(5). ever denied, suspended, or revoked the applicant`s or a control affiliate`s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities?
X Yes    No
10(d)(5)(i).  The individuals named in the action or claim:
One or more control affiliates - see attached file for Question 10 data
10(d)(5)(ii).  Title of Action 10(d)(5)(iii).  Date of Action
See attached file for Question 10 data
02/11/2008
10(d)(5)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 data
10(d)(5)(v).  Description of the action or claim:
See attached file for Question 10 data
10(d)(5)(vi).  Disposition of action or claim:
See attached file for Question 10 data
10(d)(6). ever revoked or suspended the applicant`s or a control affiliate`s license as an attorney or accountant?
   Yes X No
10(e).  Has any self-regulatory organization or commodities exchange ever:
10(e)(1). found the applicant or a control affiliate to have made a false statement or omission?
X Yes    No
10(e)(1)(i).  The individuals named in the action or claim:
One or more control affiliates-see attached file for Question 10 Data
10(e)(1)(ii).  Title of Action 10(e)(1)(iii).  Date of Action
See attached file for Question 10 Data
04/14/2009
10(e)(1)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 Data
10(e)(1)(v).  Description of the action or claim:
See attached file for Question 10 Data
10(e)(1)(vi).  Disposition of action or claim:
See attached file for Question 10 Data
10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules?
X Yes    No
10(e)(2)(i).  The individuals named in the action or claim:
One or more control affiliates - see attached file for Question 10 data
10(e)(2)(ii).  Title of Action 10(e)(2)(iii).  Date of Action
See attached file for Question 10 data
02/11/2008
10(e)(2)(iv).  The Court or body taking the Action and location:
See attached file for Question 10 data
10(e)(2)(v).  Description of the action or claim:
See attached file for Question 10 data
10(e)(2)(vi).  Disposition of action or claim:
See attached file for Question 10 data
10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business?
   Yes X No
10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities?
   Yes X No
10(f). Has any foreign government, court, regulatory agency, or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud?
X Yes    No
10(f)(1)(i).  The individuals named in the action or claim:
CIBC World Markets (Japan) Inc. (CIBC Japan)
10(f)(1)(ii).  Title of Action 10(f)(1)(iii).  Date of Action
Not available
03/14/2001
10(f)(1)(iv).  The Court or body taking the Action and location:
Financial Services Agency, Japan ("FSA")
10(f)(1)(v).  Description of the action or claim:
On March 14, 2001, the FSA entered an order against CIBC Japan suspending the business of its Financial Products Department from March 26, 2001 to March 30, 2001, suspending its business of acting as an intermediary in derivatives transactions and sale of monetary claims from March 26, 2001 to March 30, 2001, and requiring a submission of a Remedial Action Plan for implementation of a stronger internal control/compliance system, as a result of the FSA's findings that CIBC Japan violated the Japanese Securities and Exchange Law by conducting a Financial Products and Derivatives business for which it was not licensed and permitting the conduct of related sales activities by unregistered securities representatives.
10(f)(1)(vi).  Disposition of action or claim:
Order entered as specified in (v) above.
10(f)(1)(i).  The individuals named in the action or claim:
Canadian Imperial Bank of Commerce, Tokyo Branch
10(f)(1)(ii).  Title of Action 10(f)(1)(iii).  Date of Action
Not available
04/13/2001
10(f)(1)(iv).  The Court or body taking the Action and location:
Financial Services Agency, Japan (FSA)
10(f)(1)(v).  Description of the action or claim:
In an action related to the first item listed above under 10(f), on April 13, 2001, the FSA entered an order against the CIBC Branch suspending all business of the Equities Derivatives Department from April 23, 2001 to April 27, 2001 and requiring submission of a Remedial Action Plan to the FSA, as a result of the FSA's findings that the CIBC Branch violated the Japanese Banking Law and the Securities and Exchange Law by: (i) structuring/executing a Single Stock Option Linked Swap, (ii) structuring/executing a Nikkei Stock Index Linked Swap, (iii) structuring/executing inappropriate transactions which could be used for the intentional manipulation of accounting by customers, (iv) improperly handling conflict of interest/ information management due to the commingled business operations of CIBC Japan, the CIBC Branch and a service company in Japan, (v) poorly managing market, liquidity, operational and system risk, and (vi) insufficiently following up on observations made by CIBC's Internal Audit Department.
10(f)(1)(vi).  Disposition of action or claim:
FSA entered order as specified in (v) above.
10(f)(1)(i).  The individuals named in the action or claim:
CIBC World Markets Inc. ("CIBC World Markets")
10(f)(1)(ii).  Title of Action 10(f)(1)(iii).  Date of Action
Not available
02/12/2003
10(f)(1)(iv).  The Court or body taking the Action and location:
Ontario & Quebec Securities Commissions, Canada
10(f)(1)(v).  Description of the action or claim:
On February 12, 2003 each Commission approved a Settlement Agreement between CIBC World Markets and itself, whereby CIBC World Markets agreed to submit to a review of its practices relating to the disclosure of potential conflicts of interest in its equities research reports and institute changes ordered by the Commissions; to be reprimanded by the Commissions; and to pay $100,000 towards the costs of the Commissions' investigations. The Settlement Agreements were negotiated in relation to proceedings initiated by the Commissions as a result of CIBC World Markets violating Ontario and Quebec securities law by failing to adequately disclose the potential conflicts of interest inherent in recommendations it made, within five research reports, to purchase the shares of Shoppers Drug Mart Corporation ("Shoppers"). Specifically, the reports failed to adequately disclose that (i) CIBC World Markets had assumed an underwriting liability to Shoppers in the 12 months prior to the reports; (ii) CIBC World Markets, along with its affiliate, owned 7,450,000 shares of Shoppers; and (iii) Shoppers was indebted to CIBC (CIBC World Markets' parent corporation).
10(f)(1)(vi).  Disposition of action or claim:
The Commissions approved a Settlement Agreement as specified in (v) above.
10(f)(1)(i).  The individuals named in the action or claim:
CIBC World Markets Inc.
10(f)(1)(ii).  Title of Action 10(f)(1)(iii).  Date of Action
Not available
12/21/2004
10(f)(1)(iv).  The Court or body taking the Action and location:
Market Regulation Services Inc., Toronto, Canada
10(f)(1)(v).  Description of the action or claim:
Market Regulation Services Inc. ("RS") alleged that in 2002, a group of related clients with accounts at CIBC World Markets Inc. ("CIBC WM") engaged in suspicious trading in certain stocks and warrants listed on the TSX and the TSX Venture Exchanges, which had the appearance of manipulative and deceptive trading. The trading was carried out through numerous accounts held by the client group, including retail accounts and individual RRSP accounts and Direct Market Access trading accounts at CIBC Investor Services Inc. ("CIBC ISI"), CIBC WM and another unrelated investment dealer. It was alleged that CIBC WM did not fulfill its trading supervision obligations in relation to the client. On December 21, 2004, RS approved a settlement agreement with CIBC WM pursuant to which CIBC WM admitted that: CIBC WM failed to comply with its trading supervision obligations, contrary to Section 2-401(5) of the Rules of the Toronto Stock Exchange; and, in the period of April to December 2002, CIBC WM failed to comply with its trading supervision obligations, contrary to Universal Market Integrity Rule 7.1 (1) and Policy 7.1. As part of the Settlement Agreement CIBC WM was required to pay to RS a fine of $700,000 and $92,500 towards RS' investigation costs. CIBC WM also agreed to implement specified measures, by June 30, 2005, to ensure compliance with its obligations going forward.
10(f)(1)(vi).  Disposition of action or claim:
December 21, 2004 Settlement Agreement as outlined in (v) above.
10(f)(1)(i).  The individuals named in the action or claim:
CIBC Mortgages Inc.
10(f)(1)(ii).  Title of Action 10(f)(1)(iii).  Date of Action
Not available
07/23/2004
10(f)(1)(iv).  The Court or body taking the Action and location:
Financial Consumer Agency of Canada (FCAC); Ottawa, Ontario, Canada
10(f)(1)(v).  Description of the action or claim:
The FCAC found that CMI had failed to disclose, in an initial disclosure statement for its mortgage agreements, the amount of a payment frequency change charge.
10(f)(1)(vi).  Disposition of action or claim:
FCAC issued a Notice of Violation and imposed a penalty for the violation in the amount of $50,000.
10(f)(1)(i).  The individuals named in the action or claim:
CIBC World Markets (Japan) Inc. (CIBC Japan)
10(f)(1)(ii).  Title of Action 10(f)(1)(iii).  Date of Action
Not available
03/31/2001
10(f)(1)(iv).  The Court or body taking the Action and location:
Japan Securities Dealers Association ("JSDA")
10(f)(1)(v).  Description of the action or claim:
In an action related to the first item listed above under 10(f), on March 31, 2001, the JSDA found that based on the findings of the FSA (see item 3F above), CIBC Japan had violated principles of fair and equitable trade and breached the Japanese Securities and Exchange Law.
10(f)(1)(vi).  Disposition of action or claim:
The JSDA fined CIBC Japan Yen 11 million.
10(g). Is the applicant or a control affiliate now the subject of any proceeding that could result in a yes answer to questions 10(a) - 10(f)?
   Yes X No
10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate?
   Yes X No
10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it?
   Yes X No

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
SIGNATURE: The Registrant submitting this Form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.
11(a).  Signature of Official responsible for Form:
Elizabeth Earle
11(b).  Telephone Number:
416 643 5381
11(c).  Title of Signing Officer:
Corporate Secretary
11(d).  Date Signed (Month/Day/Year)
01/12/2011