Acts and Regulations

S-5.5 - Securities Act

Section 197
Disposition versions

Full text
Certificate of exchange or self-regulatory organization
197(1)A certificate containing any of the following statements by an exchange or a self-regulatory organization recognized by the Commission for the purposes of this section and purporting to be signed by the chief administrative officer of the exchange or self-regulatory organization or the chief administrative officer’s delegate is, without proof of the appointment, authority or signature of the person who has signed the certificate, admissible in evidence, and is, in the absence of evidence to the contrary, proof of the facts stated in the certificate:
(a) a statement about the membership or non-membership of any person in the exchange or self-regulatory organization;
(b) a statement about the filing or non-filing of any information or material required or permitted to be filed with the exchange or self-regulatory organization;
(c) a statement about any other matter pertaining to such membership, non-membership, filing or non-filing or to any such person, information or material;
(d) a statement about any by-law or other regulatory instrument or practice or policy of the exchange or self-regulatory organization; and
(e) a statement about any decision of the exchange or self-regulatory organization that is within its statutory authority or duly delegated authority.
197(2)A certificate referred to in subsection (1) shall not be received in evidence unless the party intending to produce it has given the person against whom it is to be produced reasonable notice of the party’s intention, together with a copy of the certificate.
197(3)A person against whom a certificate referred to in subsection (1) is produced may, with leave of the court, require the attendance of the person who signed the certificate for purposes of cross-examination.