Acts and Regulations

S-5.5 - Securities Act

Full text
Filing and inspection of information or material
198(1)Where New Brunswick securities law requires that information or material be filed and does not specify where or with whom the information or material is to be filed, the filing shall be effected by depositing the information or material, or causing it to be deposited, with the Commission.
198(2)Where New Brunswick securities law requires that information or material be filed with the Executive Director, the filing shall be effected by depositing the information or material, or causing it to be deposited, with the Commission.
198(3)Subject to subsections (4) and (6), all information or material filed under subsection (1) or (2) shall be made available for public inspection at the Commission offices during the normal business hours of the Commission.
198(4)The Commission or the Executive Director may hold information or material or any class of information or material required to be filed with the Commission or Executive Director under New Brunswick securities law in confidence so long as the Commission or the Executive Director is of the opinion that the information or material so held discloses intimate financial, personal or other information and that the desirability of avoiding disclosure of the information in the interests of any person affected outweighs the desirability of adhering to the principle that information or material filed with the Commission or the Executive Director be available to the public for inspection.
198(4.1)A decision of the Commission made under subsection (4) is final and, despite subsection 195(1), is not subject to appeal under section 195.
198(5)If a decision of the Executive Director under subsection (4) is reviewed by the Tribunal under section 193, the decision made by the Tribunal under subsection 193(6) is final and, despite subsection 48(1) of the Financial and Consumer Services Commission Act, is not subject to appeal under section 48 of that Act.
198(6)On the application of an interested person or the Executive Director and after giving the interested person or the Executive Director an opportunity to be heard, the Tribunal may make an order directing that any information or class of information or any material or class of materials filed with the Commission or the Executive Director under New Brunswick securities law be held in confidence if the Tribunal is of the opinion that the information or material so held discloses intimate financial, personal or other information and that the desirability of avoiding disclosure of the information in the interests of any person affected outweighs the desirability of adhering to the principle that information or material filed with the Commission or the Executive Director be available to the public for inspection.
198(7)An order of the Tribunal made under subsection (6) is final and, despite subsection 48(1) of the Financial and Consumer Services Commission Act, is not subject to appeal under section 48 of that Act.
2007, c.38, s.192; 2013, c.31, s.36
Filing and inspection of information or material
198(1)Where New Brunswick securities law requires that information or material be filed and does not specify where or with whom the information or material is to be filed, the filing shall be effected by depositing the information or material, or causing it to be deposited, with the Commission.
198(2)Where New Brunswick securities law requires that information or material be filed with the Executive Director, the filing shall be effected by depositing the information or material, or causing it to be deposited, with the Commission.
198(3)Subject to subsections (4) and (6), all information or material filed under subsection (1) or (2) shall be made available for public inspection at the Commission offices during the normal business hours of the Commission.
198(4)The Commission or the Executive Director may hold information or material or any class of information or material required to be filed with the Commission or Executive Director under New Brunswick securities law in confidence so long as the Commission or the Executive Director is of the opinion that the information or material so held discloses intimate financial, personal or other information and that the desirability of avoiding disclosure of the information in the interests of any person affected outweighs the desirability of adhering to the principle that information or material filed with the Commission or the Executive Director be available to the public for inspection.
198(5)If the Executive Director makes a decision under subsection (4) to hold information or material or a class of information or materials in confidence or not to hold information or material or a class of information or materials in confidence and that decision is reviewed by the Commission under section 193, the decision made by the Commission under subsection 193(6) is final and, notwithstanding subsection 195(1), is not subject to appeal under section 195.
198(6)The Commission may, on the application of an interested person or the Executive Director and after giving the interested person or the Executive Director an opportunity to be heard, make an order directing that any information or class of information or any material or class of materials filed with the Commission or Executive Director under New Brunswick securities law be held in confidence if the Commission is of the opinion that the information or material so held discloses intimate financial, personal or other information and that the desirability of avoiding disclosure of the information in the interests of any person affected outweighs the desirability of adhering to the principle that information or material filed with the Commission or the Executive Director be available to the public for inspection.
198(7)A decision of the Commission made under subsection (4) or an order of the Commission made under subsection (6) is final and, notwithstanding subsection 195(1), is not subject to appeal under section 195.
2007, c.38, s.192
Filing and inspection of information or material
198(1)Where New Brunswick securities law requires that information or material be filed and does not specify where or with whom the information or material is to be filed, the filing shall be effected by depositing the information or material, or causing it to be deposited, with the Commission.
198(2)Where New Brunswick securities law requires that information or material be filed with the Executive Director, the filing shall be effected by depositing the information or material, or causing it to be deposited, with the Commission.
198(3)Subject to subsection (4), all information or material filed under subsection (1) or (2) shall be made available for public inspection at the Commission offices during the normal business hours of the Commission.
198(4)The Commission or the Executive Director may hold information or material or any class of information or material required to be filed with the Commission or Executive Director under New Brunswick securities law in confidence so long as the Commission or the Executive Director is of the opinion that the information or material so held discloses intimate financial, personal or other information and that the desirability of avoiding disclosure of the information in the interests of any person affected outweighs the desirability of adhering to the principle that information or material filed with the Commission or the Executive Director be available to the public for inspection.