2015, c. 38, Sched. (5) In an action respecting a rescission to which subsection (1) or (2) applies, the onus of proving that a registered dealer disclosed that he, she or it acted or intended to act as principal is on the registered dealer. (11) The Commission shall not adopt a policy that, by reason of its prohibitive or mandatory character, is of a legislative nature. 146 (1) Despite subsection 33 (4) of the Evidence Act, the Commission may by order compel a bank or officer of a bank, in an investigation, financial examination or hearing under Ontario securities law to which the bank is not a party, to produce any book or record the contents of which can be proved under section 33 of the Evidence Act or to appear as a witness to prove the matters, transactions and accounts contained in the book or record. (3) The Secretary shall certify to the Divisional Court.
1990, c. S.5, s. 87; 2017, c. 34. (6) The regulations may prescribe conditions and restrictions that apply to an exemption under subsection (5). A partner, director or officer of the adviser. 2009, c. 18, Sched. (6) A regulation or rule may incorporate by reference, and require compliance with, one or more provisions of an Act or regulation and all or part of any standard, procedure or guideline. 1990, c. S.5, s. 67.
H, s. 10. 1999, c. 9, s. 216. to otherwise promote compliance by the registrant and by individuals acting on the registrant’s behalf with Ontario securities law. See: 2010, c. 26, Sched. (a) promptly issue a news release disclosing that leave has been granted to commence an action under section 138.3; (b) send a written notice to the Commission within seven days, together with a copy of the news release; (c) send a copy of the statement of claim or other originating document to the Commission when filed; and. 1994, c. 11, s. 358. (3) The Commission shall appoint one or more auditors licensed under the Public Accounting Act, 2004 to audit the financial statements of the Commission for each fiscal year. A statement of the Commission setting out its response to the significant issues and concerns brought to the attention of the Commission during the comment periods. 18, s. 1 (7). 1990, c. S.5, s. 134 (4); 2015, c. 20, Sched. 18, s. 29 (2). vi.
(8) A by-law that is returned to the Commission for further consideration does not become effective until the Commission returns it to the Minister and the Minister approves it. (3) Despite subsections (1) and (2), assessed damages shall not include any amount that the defendant proves is attributable to a change in the market price of securities that is unrelated to the misrepresentation or the failure to make timely disclosure.
(2.1) The definition of “market participant” in subsection 1 (1) does not include. 1994, c. 11, s. 358. vii.
An order that a person or company be reprimanded. 18, s. 28.
Note: On a day to be named by proclamation of the Lieutenant Governor, subsection (3) is amended by striking out the portion before clause (a) and substituting the following: (3) Unless a person or company is exempt under Ontario securities law from the requirement to comply with this subsection, the person or company shall not engage in the business of, or hold himself, herself or itself out as engaging in the business of, advising anyone with respect to investing in securities or buying or selling securities or derivatives unless the person or company. 3.
5. 4. R.S.O. (5) Despite subsection (4), an issuer shall not be liable where it is not receiving any proceeds from the distribution of the securities being distributed and the misrepresentation was not based on information provided by the issuer, unless the misrepresentation. (5) Upon publication of the notice, the Commission shall invite, and shall give a reasonable opportunity to, interested persons and companies to make written representations with respect to the proposed policy within a period of at least 60 days after the publication. 150 Nothing in this Act shall be construed as limiting the Commission’s ability to make a decision under more than one provision of Ontario securities law in respect of the same conduct or matter. 1994, c. 11, s. 358. Recognized self-regulatory organization auditor. 2009, c. 18, Sched. “custodian” means a custodian of securities issued by a mutual fund held for the benefit of plan holders under a custodial agreement or other arrangement.
See: 2010, c. 26, Sched. 41 Repealed: 2009, c. 18, Sched. (i.3) a person or company that engages or participates in the provision of information for use by a benchmark administrator for the purpose of determining a designated benchmark. 143.3 (1) The Commission must deliver to the Minister a copy of every rule made by it together with the following: 1. “waiting period” means the period prescribed by regulation or, if no period is prescribed, the period between the Director’s issuance of a receipt for a preliminary prospectus relating to the offering of a security and the Director’s issuance of a receipt for the prospectus.
(b) any partner of that person or company. R.S.O. Z.5, s. 14; 2007, c. 7, Sched.
26, s. 14. Providing for the application of Part XVIII (Continuous Disclosure) and Part XIX (Proxies and Proxy Solicitation) in respect of registered holders or beneficial owners of voting securities or equity securities of reporting issuers or other persons or companies on behalf of whom the securities are held, including requirements for reporting issuers, recognized clearing agencies, registered holders, registrants and other persons or companies who hold securities on behalf of persons or companies but who are not the registered holders. R.S.O. (ii) three years after the date of the transaction that gave rise to the cause of action.
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