I-14.01 - Derivatives Act

Full text
174. The Authority may, by regulation,
(1)  determine the procedure to be followed in any matter relating to the carrying out of this Act;
(2)  determine, for the purposes of section 72, exceptions to the obligations of dealers, advisers or representatives relating to the segregation of their clients’ property or the maintenance of separate accounting records;
(3)  set the tariffs referred to in sections 135, 143 and 170;
(4)  determine the provisions of Title III whose contravention may be sanctioned by a monetary administrative penalty, and the amount of and the conditions for imposing such a penalty; and
(5)  prescribe the fees payable for any formality required by this Act or for services rendered by the Authority, and the terms of payment.
A regulation under this section must be submitted to the Government, which may approve it with or without amendments.
The Government may make or amend a regulation under this section if the Authority does not do so within the time specified by the Government.
A draft regulation or regulation under this section must be published in the Authority’s Bulletin.
2008, c. 24, s. 174; 2018, c. 232018, c. 23, s. 809.
174. The Authority may, by regulation,
(1)  determine the procedure to be followed in any matter relating to the carrying out of this Act;
(2)  determine, for the purposes of section 72, exceptions to the obligations of dealers, advisers or representatives relating to the segregation of their clients’ property or the maintenance of separate accounting records;
(3)  set the tariffs referred to in sections 135, 143 and 170;
(4)  determine the provisions of Title III whose contravention may be sanctioned by an administrative monetary penalty, and the amount of and the conditions for imposing such a penalty; and
(5)  prescribe the fees payable for any formality required by this Act or for services rendered by the Authority, and the terms of payment.
A regulation under this section must be submitted to the Government, which may approve it with or without amendments.
The Government may make or amend a regulation under this section if the Authority does not do so within the time specified by the Government.
A draft regulation or regulation under this section must be published in the Authority’s Bulletin.
2008, c. 24, s. 174.