163(1)The Commission may appoint in writing a person as a compliance officer for the purpose of ensuring compliance with New Brunswick securities law.
163(2)The Commission shall issue to every compliance officer a certificate of appointment and every compliance officer, in the execution of his or her duties under this Act or the regulations, shall produce his or her certificate of appointment on request.
163(3)For the purpose of determining whether New Brunswick securities law is being complied with, a compliance officer, in carrying out a compliance review, may
(a)
enter the premises of any market participant during normal business hours,
(b)
require a market participant or an officer or employee of a market participant to produce for inspection, examination, audit or copying any books, records and documents relating to the business of the market participant,
(c)
inspect, examine, audit or copy the books, records or documents relating to the business of a market participant, and
(d)
question a market participant or an officer or employee of a market participant in relation to the business of the market participant.
163(4)In carrying out a compliance review, a compliance officer may
(a)
use a data processing system at the premises where the books, records or documents are kept,
(b)
reproduce any book, record or document, and
(c)
use any copying equipment at the premises where the books, records or documents are kept to make copies of any book, record or document.
163(5)A compliance officer may carry out a compliance review within or outside New Brunswick.
163(6)A compliance officer shall not enter a private dwelling under subsection (3) unless the compliance officer has the consent of the occupier or has obtained an entry warrant under the Entry Warrants Act.
163(7)Before or after attempting to enter or to have access to any premises, a compliance officer may apply for an entry warrant under the Entry Warrants Act.
163(1)The Commission may appoint in writing a person as a compliance officer for the purpose of ensuring compliance with New Brunswick securities law.
163(2)The Commission shall issue to every compliance officer a certificate of appointment and every compliance officer, in the execution of his or her duties under this Act or the regulations, shall produce his or her certificate of appointment on request.
163(3)For the purpose of determining whether New Brunswick securities law is being complied with, a compliance officer, in carrying out a compliance review, may
(a)
enter the premises of any market participant during normal business hours,
(b)
require a market participant or an officer or employee of a market participant to produce for inspection, examination, audit or copying any books, records and documents relating to the business of the market participant,
(c)
inspect, examine, audit or copy the books, records or documents relating to the business of a market participant, and
(d)
question a market participant or an officer or employee of a market participant in relation to the business of the market participant.
163(4)In carrying out a compliance review, a compliance officer may
(a)
use a data processing system at the premises where the books, records or documents are kept,
(b)
reproduce any book, record or document, and
(c)
use any copying equipment at the premises where the books, records or documents are kept to make copies of any book, record or document.
163(5)A compliance officer may carry out a compliance review within or outside New Brunswick.
163(6)A compliance officer shall not enter a private dwelling under subsection (3) unless the compliance officer has the consent of the occupier or has obtained an entry warrant under the Entry Warrants Act.
163(7)Before or after attempting to enter or to have access to any premises, a compliance officer may apply for an entry warrant under the Entry Warrants Act.
163(1)The Commission may appoint in writing a person as a compliance officer for the purpose of ensuring compliance with New Brunswick securities law.
163(2)The Commission shall issue to every compliance officer a certificate of appointment and every compliance officer, in the execution of his or her duties under this Act or the regulations, shall produce his or her certificate of appointment on request.
163(3)For the purpose of determining whether New Brunswick securities law is being complied with, a compliance officer, in carrying out a compliance review, may
(a)
enter the premises of any market participant during normal business hours,
(b)
require a market participant or an officer or employee of a market participant to produce for inspection, examination, audit or copying any books, records and documents relating to the business of the market participant,
(c)
inspect, examine, audit or copy the books, records or documents relating to the business of a market participant, and
(d)
question a market participant or an officer or employee of a market participant in relation to the business of the market participant.
163(4)In carrying out a compliance review, a compliance officer may
(a)
use a data processing system at the premises where the books, records or documents are kept,
(b)
reproduce any book, record or document, and
(c)
use any copying equipment at the premises where the books, records or documents are kept to make copies of any book, record or document.
163(5)A compliance officer may carry out a compliance review within or outside New Brunswick.
163(6)A compliance officer shall not enter a private dwelling under subsection (3) unless the compliance officer has the consent of the occupier or has obtained an entry warrant under the Entry Warrants Act.
163(7)Before or after attempting to enter or to have access to any premises, a compliance officer may apply for an entry warrant under the Entry Warrants Act.