D-9.2, r. 15 - Regulation respecting the registration of firms, representatives and independent partnerships

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2. Such legal person shall, in addition, transmit to the Authority, or authorize the Government, a body, a professional order or any other person in Québec to transmit to the Authority on its behalf, the following documents and information:
(1)  its name and, where applicable, any other name which it intends to use in Québec in carrying on its activities and the address of its head office, the address of its principal establishment in Québec and the address of all its other establishments in Québec, the telephone and facsimile numbers concerned, as well as its mailing address and electronic-mail address, where applicable;
(2)  in the case of a legal person acting through representatives in insurance, the names of the insurers holding, directly or indirectly, interests in the ownership of the legal person, or which the legal person holds direct or indirect interest in the ownership;
(3)  in the case of a legal person intending to register as a firm within the meaning of sections 147 and 574 of the Act, the names and address of the head office of its shareholders which are financial institutions, financial groups or legal persons related thereto within the meaning of section 147, the percentage of shares and voting rights attached thereto which they hold directly or indirectly in the legal person, as well as the allotment or transfer date of such shares;
(4)  the names and residential addresses of its directors and officers;
(5)  the sectors in respect of which the legal person intends to register with the Authority as well as the names and residential addresses of the representatives, in each sector and class, through whom it intends to pursue its activities, specifying those who are employed by it and those who act on its behalf without being employed by it;
(6)  in the case of a legal person intending to register in the sector of damage insurance, the names and residential addresses of all persons who are employed by it and who are referred to in section 547 of the Act;
(7)  the name of the officer responsible for the principal establishment of the legal person in Québec, and of the person designated to act as a correspondent with the Authority and, as the case may be, any persons designated to assist the person designated to act as a correspondent with the Authority;
(8)  a copy of the most recent declaration of registration made in accordance with the Act respecting the legal publicity of enterprises (chapter P-44.1) and, as the case may be, any amending declarations thereto;
(9)  (paragraph revoked);
(10)  except in respect of an insurer intending to act through a claims adjuster in its employ, a copy of the insurance contract indicating that the legal person is covered by liability insurance in accordance with the requirements of the Regulation respecting firms, independent representatives and independent partnerships (chapter D-9.2, r. 2);
(11)  a copy of the insurance contract indicating that any representative acting on behalf of the legal person, but not employed by it, is covered by liability insurance in accordance with the requirements of the Regulation respecting the pursuit of activities as a representative (chapter D-9.2, r. 10);
(12)  in the case of a legal person intending to offer products through a special broker, a copy of the security, in accordance with the requirements of the Regulation respecting special brokerage in damage insurance (chapter D-9.2, r. 6);
(13)  where the officer responsible for the principal establishment of the legal person in Québec does not hold a certificate issued by the Authority, a description of the competence of such officer to act in such capacity and, where applicable, any document establishing such competence;
(14)  a document issued by the legal person attesting to the appointment of the persons referred to in paragraph 7 to act as the officer responsible of the principal establishment and of the person designated to act as a correspondent with the Authority and authorizing any of these persons to sign the application for registration;
(15)  a declaration signed by the person generally or specially authorized by resolution of the board of directors of the legal person to sign the application for registration, confirming whether the legal person:
(a)  has ever been convicted by final judgment of a Canadian or foreign court of a criminal act or an indictable offence;
(b)  has been placed under a liquidation order or a dissolution order or whether it has adopted a resolution or taken any measure in order to liquidate or dissolve;
(c)  has made an assignment of its property in favour of its creditors or has been petitioned in bankruptcy or placed under a receiving order pursuant to the Bankruptcy and Insolvency Act (R.S.C. 1985, c. B-3) or has ever availed itself of any legislative provisions pertaining to insolvency;
(d)  has ever had a certificate issued by the Conseil des assurances de dommages, the Conseil des assurances de personnes or the Inspector General of Financial Institutions pursuant to the Act respecting market intermediaries (chapter I-15.1) or by the Association des courtiers et agents immobiliers du Québec that has been cancelled or suspended, or has ever had a registration cancelled or suspended by the Commission des valeurs mobilières du Québec;
(e)  has ever had its registration for one or more sectors cancelled or suspended by the Authority;
(f)  has ever had its registration as a securities broker or adviser cancelled or suspended by the Authority;
(g)  has ever had conditions or restrictions attached to its registration for one or more sectors by the Authority or to its registration as a securities broker or adviser by the Authority;
(h)  is in default of paying any outstanding fines and legal costs imposed on it by the discipline committee of the Chambre de l’assurance de dommages, the Chambre de la sécurité financière or the Court of Québec, sitting in appeal from a decision of such committees, as well as the accrued interest at the rate established in accordance with section 28 of the Tax Administration Act (chapter A-6.002), as the case may be;
(i)  is in default of paying any fine pertaining to the commission of an offence pursuant to the Act, the Act respecting market intermediaries, the Securities Act (chapter V-1.1) or the Real Estate Brokerage Act (chapter C-73.2);
(16)  a declaration signed by each of the directors and officers of the legal person confirming whether the director or the officer:
(a)  has ever had his registration cancelled for any of the sectors referred to in section 13 of the Act or has ever been a partner of an independent partnership or a director or officer of a firm the registration of which has been cancelled;
(b)  has ever had a certificate issued by the Conseil des assurances de dommages, the Conseil des assurances de personnes or the Inspector General of Financial Institutions pursuant to the Act respecting market intermediaries or by the Association des courtiers et agents immobiliers du Québec that has been cancelled or suspended, or has ever had a registration cancelled or suspended by the Commission des valeurs mobilières du Québec;
(c)  has ever been convicted by final judgment of a Canadian or foreign court of an offence with respect to the Act;
(d)  has ever been convicted by final judgment of a Canadian or foreign court of a an offence or criminal act other than those referred to in subparagraph c, within the past 10 years;
(e)  has, during the past 10 years, made an assignment of his property in favour of his creditors, has been petitioned in bankruptcy or placed under a receiving order pursuant to the Bankruptcy and Insolvency Act or has ever availed himself of any legislative provisions pertaining to insolvency;
(f)  has been assigned a tutor, curator or adviser;
(17)  in the case of a legal person intending to register in the sector of insurance of persons, group insurance of persons, damage insurance, claims adjustment or financial planning, a copy of the declaration of which the content is set out in Schedule 1 or, in the case of a firm that is a financial institution, in Schedule 1-A, respecting the opening and maintaining of a separate account and, in the case of such a legal person not intending to receive or collect any amount on behalf of others in connection with its activities governed by the Act, a copy of the declaration the content of which is set out in Schedule 2;
(18)  (paragraph revoked).
Decision 99.07.09, s. 2; M.O. 2009-06, s. 2; I.N. 2016-01-01 (NCCP).
2. Such legal person shall, in addition, transmit to the Authority, or authorize the Government, a body, a professional order or any other person in Québec to transmit to the Authority on its behalf, the following documents and information:
(1)  its name and, where applicable, any other name which it intends to use in Québec in carrying on its activities and the address of its head office, the address of its principal establishment in Québec and the address of all its other establishments in Québec, the telephone and facsimile numbers concerned, as well as its mailing address and electronic-mail address, where applicable;
(2)  in the case of a legal person acting through representatives in insurance, the names of the insurers holding, directly or indirectly, interests in the ownership of the legal person, or which the legal person holds direct or indirect interest in the ownership;
(3)  in the case of a legal person intending to register as a firm within the meaning of sections 147 and 574 of the Act, the names and address of the head office of its shareholders which are financial institutions, financial groups or legal persons related thereto within the meaning of section 147, the percentage of shares and voting rights attached thereto which they hold directly or indirectly in the legal person, as well as the allotment or transfer date of such shares;
(4)  the names and residential addresses of its directors and officers;
(5)  the sectors in respect of which the legal person intends to register with the Authority as well as the names and residential addresses of the representatives, in each sector and class, through whom it intends to pursue its activities, specifying those who are employed by it and those who act on its behalf without being employed by it;
(6)  in the case of a legal person intending to register in the sector of damage insurance, the names and residential addresses of all persons who are employed by it and who are referred to in section 547 of the Act;
(7)  the name of the officer responsible for the principal establishment of the legal person in Québec, and of the person designated to act as a correspondent with the Authority and, as the case may be, any persons designated to assist the person designated to act as a correspondent with the Authority;
(8)  a copy of the most recent declaration of registration made in accordance with the Act respecting the legal publicity of enterprises (chapter P-44.1) and, as the case may be, any amending declarations thereto;
(9)  (paragraph revoked);
(10)  except in respect of an insurer intending to act through a claims adjuster in its employ, a copy of the insurance contract indicating that the legal person is covered by liability insurance in accordance with the requirements of the Regulation respecting firms, independent representatives and independent partnerships (chapter D-9.2, r. 2);
(11)  a copy of the insurance contract indicating that any representative acting on behalf of the legal person, but not employed by it, is covered by liability insurance in accordance with the requirements of the Regulation respecting the pursuit of activities as a representative (chapter D-9.2, r. 10);
(12)  in the case of a legal person intending to offer products through a special broker, a copy of the security, in accordance with the requirements of the Regulation respecting special brokerage in damage insurance (chapter D-9.2, r. 6);
(13)  where the officer responsible for the principal establishment of the legal person in Québec does not hold a certificate issued by the Authority, a description of the competence of such officer to act in such capacity and, where applicable, any document establishing such competence;
(14)  a document issued by the legal person attesting to the appointment of the persons referred to in paragraph 7 to act as the officer responsible of the principal establishment and of the person designated to act as a correspondent with the Authority and authorizing any of these persons to sign the application for registration;
(15)  a declaration signed by the person generally or specially authorized by resolution of the board of directors of the legal person to sign the application for registration, confirming whether the legal person:
(a)  has ever been convicted by final judgment of a Canadian or foreign court of a criminal act or an indictable offence;
(b)  has been placed under a liquidation order or a dissolution order or whether it has adopted a resolution or taken any measure in order to liquidate or dissolve;
(c)  has made an assignment of its property in favour of its creditors or has been petitioned in bankruptcy or placed under a receiving order pursuant to the Bankruptcy and Insolvency Act (R.S.C. 1985, c. B-3) or has ever availed itself of any legislative provisions pertaining to insolvency;
(d)  has ever had a certificate issued by the Conseil des assurances de dommages, the Conseil des assurances de personnes or the Inspector General of Financial Institutions pursuant to the Act respecting market intermediaries (chapter I-15.1) or by the Association des courtiers et agents immobiliers du Québec that has been cancelled or suspended, or has ever had a registration cancelled or suspended by the Commission des valeurs mobilières du Québec;
(e)  has ever had its registration for one or more sectors cancelled or suspended by the Authority;
(f)  has ever had its registration as a securities broker or adviser cancelled or suspended by the Authority;
(g)  has ever had conditions or restrictions attached to its registration for one or more sectors by the Authority or to its registration as a securities broker or adviser by the Authority;
(h)  is in default of paying any outstanding fines and costs imposed on it by the discipline committee of the Chambre de l’assurance de dommages, the Chambre de la sécurité financière or the Court of Québec, sitting in appeal from a decision of such committees, as well as the accrued interest at the rate established in accordance with section 28 of the Tax Administration Act (chapter A-6.002), as the case may be;
(i)  is in default of paying any fine pertaining to the commission of an offence pursuant to the Act, the Act respecting market intermediaries, the Securities Act (chapter V-1.1) or the Real Estate Brokerage Act (chapter C-73.2);
(16)  a declaration signed by each of the directors and officers of the legal person confirming whether the director or the officer:
(a)  has ever had his registration cancelled for any of the sectors referred to in section 13 of the Act or has ever been a partner of an independent partnership or a director or officer of a firm the registration of which has been cancelled;
(b)  has ever had a certificate issued by the Conseil des assurances de dommages, the Conseil des assurances de personnes or the Inspector General of Financial Institutions pursuant to the Act respecting market intermediaries or by the Association des courtiers et agents immobiliers du Québec that has been cancelled or suspended, or has ever had a registration cancelled or suspended by the Commission des valeurs mobilières du Québec;
(c)  has ever been convicted by final judgment of a Canadian or foreign court of an offence with respect to the Act;
(d)  has ever been convicted by final judgment of a Canadian or foreign court of a an offence or criminal act other than those referred to in subparagraph c, within the past 10 years;
(e)  has, during the past 10 years, made an assignment of his property in favour of his creditors, has been petitioned in bankruptcy or placed under a receiving order pursuant to the Bankruptcy and Insolvency Act or has ever availed himself of any legislative provisions pertaining to insolvency;
(f)  has been assigned a tutor, curator or adviser;
(17)  in the case of a legal person intending to register in the sector of insurance of persons, group insurance of persons, damage insurance, claims adjustment or financial planning, a copy of the declaration of which the content is set out in Schedule 1 or, in the case of a firm that is a financial institution, in Schedule 1-A, respecting the opening and maintaining of a separate account and, in the case of such a legal person not intending to receive or collect any amount on behalf of others in connection with its activities governed by the Act, a copy of the declaration the content of which is set out in Schedule 2;
(18)  (paragraph revoked).
Decision 99.07.09, s. 2; M.O. 2009-06, s. 2.