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Acts and Regulations
2023, c.3
- Financial Advisors and Financial Planners Title Protection Act
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Financial Advisors and Financial Planners Title Protection Act
1
DEFINITIONS AND INTERPRETATION
1
Definitions
2
Non-application of Act
3
Exemptions
2
TITLE PROTECTION
4
Use of titles
3
APPROVALS
Division A
Credentialing bodies
5
Approval required
6
Application for approval
7
Terms and conditions
8
Suspension or revocation of approval
Division B
Credentials
9
Application for approval
10
Terms and conditions
11
Suspension or revocation of approval
4
POWERS AND DUTIES OF CREDENTIALING BODIES
12
Credentialing programs
13
Issuance of credentials
14
Oversight of financial advisors and financial planners
15
Agreement or arrangement
16
Fees
17
List of financial advisors and financial planners
18
Annual return
19
Annual fees
5
RECORDKEEPING, COMPLIANCE REVIEWS ANDNOTICE OF ADMINISTRATIVE PENALTY
20
Definition of “administrative penalty”
21
Recordkeeping
22
Compliance officers – appointment
23
Compliance reviews
24
Removal of documents
25
Obstruction
26
Misleading statements
27
Fees and expenses payable for compliance review
28
Administrative penalty officers – appointment
29
Imposition of administrative penalty
30
Maximum amount of administrative penalty
31
Determination of amount of administrative penalty
32
Notice of administrative penalty
33
Withdraw notice of administrative penalty
34
Extend time for payment
35
Review of administrative penalty
36
Payment of administrative penalty
37
Deemed contravention or failure
38
Filing notice of administrative penalty with the Court
39
Misleading statements
6
INVESTIGATIONS
40
Director’s order – provision of information
41
Investigation order
42
Powers of investigator
43
Power to compel evidence
44
Investigators authorized as peace officers
45
Seized property
46
Report of investigation
47
Prohibition against disclosure
48
Non-compellability
7
OFFENCES, PENALTIES,ENFORCEMENT AND REMEDIES
49
Offences generally
50
Misleading statements
51
Orders in the public interest
52
Administrative penalty
53
Directors and officers
54
Resolution of administrative proceedings
55
Limitation period
8
GENERAL
56
List of credentialing bodies and approved credentials
57
Appeals
58
Certificate evidence
59
Conflict with the Right to Information and Protection of Privacy Act
60
Administration
61
Regulation and rules
62
Notice and publication of rules
63
Changes by Secretary of the Commission
64
Consolidated rules
9
CONSEQUENTIAL AMENDMENTS AND COMMENCEMENT
65
Financial and Consumer Services Commission Act
66
Commencement
SCHEDULE A
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