Acts and Regulations

S-5.5 - Securities Act

Full text
Continuous disclosure reviews
168(1)The Commission, any member of the Commission, any employee of the Commission or any agent of the Commission may conduct a review of the disclosures that have been made or that ought to have been made by a reporting issuer or an investment fund, on a basis to be determined at the discretion of the Commission or the Executive Director.
168(2)A reporting issuer or an investment fund that is subject to a review under this section shall, at such time or times as the Commission or Executive Director requires, deliver to the Commission or Executive Director any information and documents relevant to the disclosures that have been made or that ought to have been made by the reporting issuer or investment fund.
168(3)A review referred to in subsection (1) may be conducted within or outside New Brunswick.
168(4)Repealed: 2011, c.43, s.28
2007, c.38, s.175; 2011, c.43, s.28
Continuous disclosure reviews
168(1)The Commission, any member of the Commission, any employee of the Commission or any agent of the Commission may conduct a review of the disclosures that have been made or that ought to have been made by a reporting issuer or an investment fund, on a basis to be determined at the discretion of the Commission or the Executive Director.
168(2)A reporting issuer or an investment fund that is subject to a review under this section shall, at such time or times as the Commission or Executive Director requires, deliver to the Commission or Executive Director any information and documents relevant to the disclosures that have been made or that ought to have been made by the reporting issuer or investment fund.
168(3)A review referred to in subsection (1) may be conducted within or outside New Brunswick.
168(4)A reporting issuer or an investment fund, or any person acting on behalf of a reporting issuer or an investment fund, shall not make any representation, orally or in writing, that the Commission has expressed an opinion on or in any way passed judgment on the merits of the disclosure record of the reporting issuer or investment fund.
2007, c.38, s.175
Continuous disclosure reviews
168(1)The Commission or any member or employee of the Commission may conduct a review of the disclosures that have been made or that ought to have been made by a reporting issuer or mutual fund in New Brunswick, on a basis to be determined at the discretion of the Commission or the Executive Director.
168(2)A reporting issuer or mutual fund in New Brunswick that is subject to a review under this section shall, at such time or times as the Commission or Executive Director requires, deliver to the Commission or Executive Director any information and documents relevant to the disclosures that have been made or that ought to have been made by the reporting issuer or mutual fund.
168(3)A review referred to in subsection (1) may be conducted within or outside New Brunswick.
168(4)A reporting issuer or mutual fund in New Brunswick, or any person acting on behalf of a reporting issuer or mutual fund in New Brunswick, shall not make any representation, orally or in writing, that the Commission has in any way passed judgment on the merits of the disclosure record of the reporting issuer or mutual fund.