I-14.01 - Derivatives Act

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80. Dealers, advisers or representatives who wish to surrender their registration must first file an application for surrender with the Authority.
The Authority may, on the conditions it determines, suspend, modify, or impose conditions or restrictions on, the registration during examination of the application for surrender.
The Authority may impose such conditions as it may determine on the surrender and accepts the surrender if it considers that the interests of clients and of the public are sufficiently protected.
The Authority retains jurisdiction with regard to acts performed by a dealer, adviser or representative prior to the surrender.
2008, c. 24, s. 80.