Acts and Regulations

S-5.5 - Securities Act

Section 162
Disposition versions

Full text
Record-keeping
162(1)A market participant shall keep such books, records and documents as are necessary for the proper recording of the business transactions and financial affairs of the market participant and of the transactions that the market participant executes on behalf of others, if any, and shall keep such other books, records and documents as are otherwise required under New Brunswick securities law.
162(2)A market participant shall deliver to the Commission at such time or times as the Commission, any member of the Commission or any employee of the Commission requires
(a) any of the books, records and documents that are required to be kept by the market participant under New Brunswick securities law, and
(b) any filings, reports or other communications made to any other regulatory agency whether within or outside of New Brunswick.
2007, c.38, s.174; 2011, c.43, s.27
Record-keeping
162(1)A market participant shall keep such books, records and documents as are necessary for the proper recording of the business transactions and financial affairs of the market participant and the transactions that the market participant executes on behalf of others and shall keep such other books, records and documents as are otherwise required under New Brunswick securities law.
162(2)A market participant shall deliver to the Commission at such time or times as the Commission, any member of the Commission or any employee of the Commission requires
(a) any of the books, records and documents that are required to be kept by the market participant under New Brunswick securities law, and
(b) any filings, reports or other communications made to any other regulatory agency whether within or outside of New Brunswick.
2007, c.38, s.174
Record-keeping
162(1)A market participant shall keep such books, records and documents as are necessary for the proper recording of the business transactions and financial affairs of the market participant and the transactions that the market participant executes on behalf of others and shall keep such other books, records and documents as are otherwise required under New Brunswick securities law.
162(2)A market participant shall deliver to the Commission at such time or times as the Commission or any member or employee of the Commission requires
(a) any of the books, records and documents that are required to be kept by the market participant under New Brunswick securities law, and
(b) any filings, reports or other communications made to any other regulatory agency whether within or outside of New Brunswick.