Acts and Regulations

S-5.5 - Securities Act

Section 34
Disposition versions

Full text
Interpretation
34(1)A reference in this Part
(a) to a member of an exchange includes
(i) any security holder in an organization that carries on business as an exchange, and
(ii) any person who agrees to comply with the by-laws and other regulatory instruments and the practices and policies of the exchange and is granted trading access on or through the facilities of the exchange,
(b) to a member of a self-regulatory organization includes any person who agrees to be regulated by the self-regulatory organization,
(c) to a representative of a member of an exchange includes
(i) any person approved by the exchange as a partner, officer, director, trader or assistant trader of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i), or
(d) to a representative of a member of a self-regulatory organization includes
(i) any person approved by the self-regulatory organization as a partner, officer, director, branch manager or assistant branch manager of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i).
34(2)A reference in sections 38 to 44 to an exchange, a self-regulatory organization, a quotation and trade reporting system, a clearing agency, an auditor oversight body, a trade repository or a derivatives trading facility is a reference to a person that has been recognized as an exchange, a self-regulatory organization, a quotation and trade reporting system, a clearing agency, an auditor oversight body, a trade repository or a derivatives trading facility, as the case may be, under section 35.
2008, c.22, s.5; 2011, c.43, s.9; 2013, c.43, s.5
Interpretation
34(1)A reference in this Part
(a) to a member of an exchange includes
(i) any security holder in an organization that carries on business as an exchange, and
(ii) any person who agrees to comply with the by-laws and other regulatory instruments and the practices and policies of the exchange and is granted trading access on or through the facilities of the exchange,
(b) to a member of a self-regulatory organization includes any person who agrees to be regulated by the self-regulatory organization,
(c) to a representative of a member of an exchange includes
(i) any person approved by the exchange as a partner, officer, director, trader or assistant trader of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i), or
(d) to a representative of a member of a self-regulatory organization includes
(i) any person approved by the self-regulatory organization as a partner, officer, director, branch manager or assistant branch manager of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i).
34(2)A reference in sections 38 to 44 to an exchange, a self-regulatory organization, a quotation and trade reporting system, a clearing agency or an auditor oversight body is a reference to a person who has been recognized as an exchange, a self-regulatory organization, a quotation and trade reporting system, a clearing agency or an auditor oversight body, as the case may be, under section 35.
2008, c.22, s.5; 2011, c.43, s.9
Interpretation
34(1)A reference in this Part
(a) to a member of an exchange includes
(i) any security holder in an organization that carries on business as an exchange, and
(ii) any person who agrees to comply with the by-laws and other regulatory instruments and the practices and policies of the exchange and is granted trading access on or through the facilities of the exchange,
(b) to a member of a self-regulatory organization includes any person who agrees to be regulated by the self-regulatory organization,
(c) to a representative of a member of an exchange includes
(i) any person approved by the exchange as a partner, officer, director, trader or assistant trader of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i), or
(d) to a representative of a member of a self-regulatory organization includes
(i) any person approved by the self-regulatory organization as a partner, officer, director, branch manager or assistant branch manager of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i).
34(2)A reference in sections 38 to 44 to an exchange, a self-regulatory organization, a quotation and trade reporting system or a clearing agency is a reference to a person who has been recognized as an exchange, a self-regulatory organization, a quotation and trade reporting system or a clearing agency, as the case may be, under section 35.
2008, c.22, s.5
Interpretation
34(1)A reference in this Part
(a) to a member of an exchange includes
(i) any security holder in an organization that carries on business as an exchange, and
(ii) any person who agrees to comply with the by-laws and other regulatory instruments and the practices and policies of the exchange and is granted trading access on or through the facilities of the exchange,
(b) to a member of a self-regulatory organization includes any person carrying on business as a dealer who agrees to be regulated by the self-regulatory organization,
(c) to a representative of a member of an exchange includes
(i) any person approved by the exchange as a partner, officer, director, salesperson, trader or assistant trader of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i), or
(d) to a representative of a member of a self-regulatory organization includes
(i) any person approved by the self-regulatory organization as a partner, officer, director, salesperson, branch manager or assistant branch manager of the member, and
(ii) any employee of the member not otherwise referred to in subparagraph (i).
34(2)A reference in sections 38 to 44 to an exchange, a self-regulatory organization, a quotation and trade reporting system or a clearing agency is a reference to a person who has been recognized as an exchange, a self-regulatory organization, a quotation and trade reporting system or a clearing agency, as the case may be, under section 35.