I-14.01 - Derivatives Act

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49. The Financial Markets Administrative Tribunal (“the Tribunal”), established by section 92 of the Act respecting the regulation of the financial sector (chapter E-6.1), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
2008, c. 24, s. 49; 2009, c. 58, s. 156; 2016, c. 7, s. 179; 2018, c. 23, s. 811.
49. The Financial Markets Administrative Tribunal (“the Tribunal”), established by section 92 of the Act respecting the Autorité des marchés financiers (chapter A-33.2), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
2008, c. 24, s. 49; 2009, c. 58, s. 156; 2016, c. 7, s. 179.
49. The Bureau de décision et de révision (“the Board”), established by section 92 of the Act respecting the Autorité des marchés financiers (chapter A-33.2), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
2008, c. 24, s. 49; 2009, c. 58, s. 156.
49. The Bureau de décision et de révision en valeurs mobilières (“the Board”), established by section 92 of the Act respecting the Autorité des marchés financiers (chapter A-33.2), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
2008, c. 24, s. 49.