A-6.001, r. 9 - Regulation respecting savings products

Section 33 Disposition versions

2020-08-06

33. Épargne Placements Québec must send an annual statement to the participant or the person authorized to act in the participant’s name, called “Portfolio Statement”, which details the status of the participant’s securities portfolio at 31 December of the preceding year. A Portfolio Statement must also be sent after each quarter in which a transaction was effected. Another statement called “Transaction Confirmation” must also be sent to confirm certain transactions in the participant’s securities portfolio and entered in the book based system.

The participant or the person authorized to act in the participant’s name may also remotely access the information appearing in the participant’s securities portfolio as well as the Portfolio Statement produced quarterly by Épargne Placements Québec.

Sales agents referred to in section 25.1 are, with regard to their clients, authorized to remotely access the information appearing in their client’s securities portfolio and the Portfolio Statement of securities concerning them produced quarterly by Épargne Placements Québec.

O.C. 1129-2008, s. 33; S.Q. 2020, c. 5, s. 220; O.C. 767-2020, s. 13.

2020-03-17

33. Épargne Placements Québec must send a periodic statement to the participant or the person authorized to act in the participant’s name, entitled “Portfolio Statement”, which details the status of the participant’s securities portfolio. A second statement entitled “Transaction Confirmation” is also sent as required to confirm various transactions in the participant’s securities portfolio conducted through the book based system.

The Portfolio Statement is sent quarterly unless a different arrangement has been agreed on by Épargne Placements Québec and the participant or the person authorized to act in the participant’s name. The participant’s Portfolio Statement may, however, be sent annually if no transaction has been made for a period of at least 1 year and the total balance of all accounts is less than $100, unless the participant or the person authorized to act in the participant’s name requires otherwise.

A participant may also obtain the information in the securities portfolio by telephone or through the Internet.

A participant may also empower an authorized sales agent to receive a copy of statements sent to the participant by completing the form prescribed for that purpose.

O.C. 1129-2008, s. 33; S.Q. 2020, c. 5, s. 220.

2012-09-01

33. Épargne Placements Québec must send a periodic statement to the participant or the person authorized to act in the participant’s name, entitled “Portfolio Statement”, which details the status of the participant’s securities portfolio. A second statement entitled “Transaction Confirmation” is also sent as required to confirm various transactions in the participant’s securities portfolio conducted through the book based system.

The Portfolio Statement is sent quarterly unless a different arrangement has been agreed on by Épargne Placements Québec and the participant or the person authorized to act in the participant’s name. The participant’s Portfolio Statement may, however, be sent annually if no transaction has been made for a period of at least 1 year and the total balance of all accounts is less than $100, unless the participant or the person authorized to act in the participant’s name requires otherwise.

A participant may also obtain the information in the securities portfolio by telephone or through the Internet.

A participant may also empower an authorized sales agent to receive a copy of statements sent to the participant by completing the form prescribed by the Minister for that purpose.

O.C. 1129-2008, s. 33.