Acts and Regulations

S-5.5 - Securities Act

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Power to investigate
2019, c.32, s.3
41.1(1)If a self-regulatory organization recognized under subsection 35(1) is empowered under its bylaws or rules to conduct investigations, the self-regulatory organization may appoint an investigator.
41.1(2) An investigator conducting an investigation under this Part has the same power that the Court of King’s Bench, for the trial of civil actions, has
(a) to summon and enforce the attendance of witnesses,
(b) to compel witnesses to give evidence under oath or in any other manner, and
(c) to compel witnesses to produce books, records, documents and things or classes of books, records, documents and things.
41.1(3)On application to the Court of King’s Bench by an investigator, the failure or refusal of a person to attend, to take an oath, to answer questions or to produce books, records, documents and things or classes of books, records, documents and things in the custody, possession or control of the person makes the person liable to be committed for contempt as if in breach of an order or judgment of the Court of King’s Bench.
41.1(4)A person giving evidence at an investigation conducted under this Part may be represented by legal counsel.
2019, c.32, s.3; 2023, c.17, s.253
Power to investigate
2019, c.32, s.3
41.1(1)If a self-regulatory organization recognized under subsection 35(1) is empowered under its bylaws or rules to conduct investigations, the self-regulatory organization may appoint an investigator.
41.1(2) An investigator conducting an investigation under this Part has the same power that the Court of Queen’s Bench, for the trial of civil actions, has
(a) to summon and enforce the attendance of witnesses,
(b) to compel witnesses to give evidence under oath or in any other manner, and
(c) to compel witnesses to produce books, records, documents and things or classes of books, records, documents and things.
41.1(3)On application to the Court of Queen’s Bench by an investigator, the failure or refusal of a person to attend, to take an oath, to answer questions or to produce books, records, documents and things or classes of books, records, documents and things in the custody, possession or control of the person makes the person liable to be committed for contempt as if in breach of an order or judgment of the Court of Queen’s Bench.
41.1(4)A person giving evidence at an investigation conducted under this Part may be represented by legal counsel.
2019, c.32, s.3