Acts and Regulations

S-5.5 - Securities Act

Section 170
Disposition versions

Full text
Provision of information to Executive Director
170(1)The Executive Director may make an order under subsection (2)
(a) for the administration of New Brunswick securities law,
(b) to assist in the administration of the securities or derivatives laws of another jurisdiction,
(c) in respect of matters relating to trading in securities or in derivatives in New Brunswick, or
(d) in respect of matters in New Brunswick relating to trading in securities or in derivatives in another jurisdiction.
170(2)By an order applicable generally or to one or more persons named or otherwise described in the order, the Executive Director may require any of the following persons to provide information or to produce books, records or documents or classes of books, records or documents specified or otherwise described in the order within the time or at the intervals specified in the order:
(a) a clearing agency;
(b) a registrant;
(c) a person exempted under the regulations or in an order made by the Commission under section 55 from the requirement to be registered under this Act or the regulations;
(d) a reporting issuer;
(e) a manager or custodian of assets, shares or units of an investment fund;
(f) a general partner of a person referred to in paragraph (b), (c), (d), (g), (j) or (k);
(g) a person purporting to distribute securities in reliance on an exemption from section 71 provided for under the regulations or in an order made by the Commission under section 80;
(h) a transfer agent or registrar for securities of a reporting issuer;
(i) a director or officer of a reporting issuer;
(j) a promoter or control person of a reporting issuer;
(k) a person engaged in investor relations activities on behalf of a reporting issuer or security holder of a reporting issuer;
(l) the compensation or contingency fund of a self-regulatory organization;
(m) a person providing record-keeping services to a registrant;
(n) a person who has issued securities;
(n.1) a self-regulatory organization;
(n.2) an exchange;
(n.3) a derivatives trading facility;
(n.4) a quotation and trade reporting system;
(n.5) a trade repository;
(n.6) a credit rating organization;
(n.7) an auditor oversight body;
(o) a person who was a person described in paragraphs (a) to (n.7), but is no longer a person described in those paragraphs; or
(p) a person prescribed by regulation.
170(3)The Executive Director may require that the authenticity, accuracy or completeness of information provided or of a book, record or document or a class of books, records or documents produced pursuant to an order under subsection (2) be verified by affidavit.
170(4)The Executive Director may require that the information that is provided or that the books, records or documents or classes of books, records or documents produced pursuant to an order made under subsection (2) be delivered in electronic form, if the information or the books, records or documents or classes of books, records or documents are already available in that form.
2007, c.38, s.176; 2008, c.22, s.47; 2013, c.43, s.29; 2014, c.25, s.3
Provision of information to Executive Director
170(1)The Executive Director may make an order under subsection (2)
(a) for the administration of New Brunswick securities law,
(b) to assist in the administration of the securities or derivatives laws of another jurisdiction,
(c) in respect of matters relating to trading in securities or in derivatives in New Brunswick, or
(d) in respect of matters in New Brunswick relating to trading in securities or in derivatives in another jurisdiction.
170(2)By an order applicable generally or to one or more persons named or otherwise described in the order, the Executive Director may require any of the following persons to provide information or to produce books, records or documents or classes of books, records or documents specified or otherwise described in the order within the time or at the intervals specified in the order:
(a) a clearing agency;
(b) a registrant;
(c) a person exempted under the regulations or in an order made by the Commission under section 55 from the requirement to be registered under this Act or the regulations;
(d) a reporting issuer;
(e) a manager or custodian of assets, shares or units of an investment fund;
(f) a general partner of a person referred to in paragraph (b), (c), (d), (g), (j) or (k);
(g) a person purporting to distribute securities in reliance on an exemption from section 71 provided for under the regulations or in an order made by the Commission under section 80;
(h) a transfer agent or registrar for securities of a reporting issuer;
(i) a director or officer of a reporting issuer;
(j) a promoter or control person of a reporting issuer;
(k) a person engaged in investor relations activities on behalf of a reporting issuer or security holder of a reporting issuer;
(l) the Canadian Investor Protection Fund;
(m) a person providing record-keeping services to a registrant;
(n) a person who has issued securities;
(n.1) a self-regulatory organization;
(n.2) an exchange;
(n.3) a derivatives trading facility;
(n.4) a quotation and trade reporting system;
(n.5) a trade repository;
(n.6) a credit rating organization;
(n.7) an auditor oversight body;
(o) a person who was a person described in paragraphs (a) to (n.7), but is no longer a person described in those paragraphs; or
(p) a person prescribed by regulation.
170(3)The Executive Director may require that the authenticity, accuracy or completeness of information provided or of a book, record or document or a class of books, records or documents produced pursuant to an order under subsection (2) be verified by affidavit.
170(4)The Executive Director may require that the information that is provided or that the books, records or documents or classes of books, records or documents produced pursuant to an order made under subsection (2) be delivered in electronic form, if the information or the books, records or documents or classes of books, records or documents are already available in that form.
2007, c.38, s.176; 2008, c.22, s.47; 2013, c.43, s.29
Provision of information to Executive Director
170(1)The Executive Director may make an order under subsection (2)
(a) for the administration of New Brunswick securities law,
(b) to assist in the administration of the securities laws of another jurisdiction,
(c) in respect of matters relating to trading in securities in New Brunswick, or
(d) in respect of matters in New Brunswick relating to trading in securities in another jurisdiction.
170(2)By an order applicable generally or to one or more persons named or otherwise described in the order, the Executive Director may require any of the following persons to provide information or to produce books, records or documents or classes of books, records or documents specified or otherwise described in the order within the time or at the intervals specified in the order:
(a) a clearing agency;
(b) a registrant;
(c) a person exempted under the regulations or in an order made by the Commission under section 55 from the requirement to be registered under this Act or the regulations;
(d) a reporting issuer;
(e) a manager or custodian of assets, shares or units of an investment fund;
(f) a general partner of a person referred to in paragraph (b), (c), (d), (g), (j) or (k);
(g) a person purporting to distribute securities in reliance on an exemption from section 71 provided for under the regulations or in an order made by the Commission under section 80;
(h) a transfer agent or registrar for securities of a reporting issuer;
(i) a director or officer of a reporting issuer;
(j) a promoter or control person of a reporting issuer;
(k) a person engaged in investor relations activities on behalf of a reporting issuer or security holder of a reporting issuer;
(l) the Canadian Investor Protection Fund;
(m) a person providing record-keeping services to a registrant;
(n) a person who has issued securities;
(o) a person who was a person described in paragraphs (a) to (n), but is no longer a person described in those paragraphs; or
(p) a person prescribed by regulation.
170(3)The Executive Director may require that the authenticity, accuracy or completeness of information provided or of a book, record or document or a class of books, records or documents produced pursuant to an order under subsection (2) be verified by affidavit.
170(4)The Executive Director may require that the information that is provided or that the books, records or documents or classes of books, records or documents produced pursuant to an order made under subsection (2) be delivered in electronic form, if the information or the books, records or documents or classes of books, records or documents are already available in that form.
2007, c.38, s.176; 2008, c.22, s.47
Provision of information to Executive Director
170(1)The Executive Director may make an order under subsection (2)
(a) for the administration of this Act or the regulations,
(b) to assist in the administration of the securities laws of another jurisdiction,
(c) in respect of matters relating to trading in securities in New Brunswick, or
(d) in respect of matters in New Brunswick relating to trading in securities in another jurisdiction.
170(2)By an order applicable generally or to one or more persons named or otherwise described in the order, the Executive Director may require any of the following persons to provide information or to produce books, records or documents or classes of books, records or documents specified or otherwise described in the order within the time or at the intervals specified in the order:
(a) a clearing agency;
(b) a registrant;
(c) a person exempted under the regulations or in an order made by the Commission under section 55 from the requirement to be registered under this Act or the regulations;
(d) a reporting issuer;
(e) a manager or custodian of assets, shares or units of an investment fund;
(f) a general partner of a person referred to in paragraph (b), (c), (d), (g), (j) or (k);
(g) a person purporting to distribute securities in reliance on an exemption from section 71 provided for under the regulations or in an order made by the Commission under section 80;
(h) a transfer agent or registrar for securities of a reporting issuer;
(i) a director or officer of a reporting issuer;
(j) a promoter or control person of a reporting issuer;
(k) a person engaged in investor relations activities on behalf of a reporting issuer or security holder of a reporting issuer;
(l) the Canadian Investor Protection Fund;
(m) a person providing record-keeping services to a registrant;
(n) a person who has issued securities;
(o) a person who was a person described in paragraphs (a) to (n), but is no longer a person described in those paragraphs; or
(p) a person prescribed by regulation.
170(3)The Executive Director may require that the authenticity, accuracy or completeness of information provided or of a book, record or document or a class of books, records or documents produced pursuant to an order under subsection (2) be verified by affidavit.
170(4)The Executive Director may require that the information that is provided or that the books, records or documents or classes of books, records or documents produced pursuant to an order made under subsection (2) be delivered in electronic form, if the information or the books, records or documents or classes of books, records or documents are already available in that form.
2007, c.38, s.176
Provision of information to Executive Director
170(1)The Executive Director may make an order under subsection (2)
(a) for the administration of this Act,
(b) to assist in the administration of the securities laws of another jurisdiction,
(c) in respect of matters relating to trading in securities in New Brunswick, or
(d) in respect of matters in New Brunswick relating to trading in securities in another jurisdiction.
170(2)By an order applicable generally or to one or more persons named or otherwise described in the order, the Executive Director may require any of the following persons to provide information or to produce books, records or documents or classes of books, records or documents specified or otherwise described in the order within the time or at the intervals specified in the order:
(a) a clearing agency;
(b) a registrant;
(c) a person exempted under the regulations or in an order made by the Commission under section 55 from the requirement to be registered under this Act;
(d) a reporting issuer;
(e) a manager or custodian of assets, shares or units of a mutual fund;
(f) a general partner of a person referred to in paragraph (b), (c), (d), (g), (j) or (k);
(g) a person purporting to distribute securities in reliance on an exemption from section 71 provided for under the regulations or in an order made by the Commission under section 80;
(h) a transfer agent or registrar for securities of a reporting issuer;
(i) a director or officer of a reporting issuer;
(j) a promoter or control person of a reporting issuer;
(k) a person engaged in investor relations activities on behalf of a reporting issuer or security holder of a reporting issuer;
(l) the Canadian Investor Protection Fund;
(m) a person providing record-keeping services to a registrant;
(n) a person who has issued securities;
(o) a person who was a person described in paragraphs (a) to (n), but is no longer a person described in those paragraphs; or
(p) a person prescribed by regulation.
170(3)The Executive Director may require that the authenticity, accuracy or completeness of information provided or of a book, record or document or a class of books, records or documents produced pursuant to an order under subsection (2) be verified by affidavit.
170(4)The Executive Director may require that the information that is provided or that the books, records or documents or classes of books, records or documents produced pursuant to an order made under subsection (2) be delivered in electronic form, if the information or the books, records or documents or classes of books, records or documents are already available in that form.