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

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6. Such partnership shall, in addition, transmit to the Authority, or authorize the Government, a government 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, the address of the location which serves as its principal establishment in Québec and the address of all its other locations which serve as establishments in Québec, the telephone and facsimile numbers concerned, as well as its mailing address and its electronic-mail address, where applicable;
(2)  the sectors in respect of which the partnership intends to register with the Authority as well as the names and residential addresses, per sector and class of sector, of the representatives through whom it intends to pursue its activities, specifying those who are partners of the partnership and those who are employed by it;
(3)  in the case of a partnership intending to register in the sector of damage insurance, the names and residential addresses of all the persons employed by it and referred to in section 547 of the Act;
(4)  a copy of the partnership agreement and, as the case may be, any amendments thereto;
(5)  the name of the partner responsible for the principal establishment of the partnership and of the partner designated to act as a correspondent with the Authority and, as the case may be, any persons designated to assist the partner designated to act as a correspondent with the Authority;
(6)  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;
(7)  a copy of the insurance contract purchased by the partnership to cover the liability of its partners and the representatives employed by it, in accordance with the Regulation respecting firms, independent representatives and independent partnerships (chapter D-9.2, r. 2);
(8)  a document issued by the partnership attesting to the appointment of partners referred to in paragraph 5 to act as the partner responsible for the principal establishment and of the partner designated to act as a correspondent with the Authority and authorizing the signature of the application for registration by one of them;
(9)  a declaration signed by a partner generally or specially authorized, by resolution of the partnership, to sign the application for registration, confirming whether the partnership:
(a)  has been convicted by final judgment of a Canadian or foreign court of a an offence or a criminal act;
(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 with the Authority or to its registration as a securities broker or adviser with 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 or 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 Securities Act (chapter V-1.1), the Real Estate Brokerage Act (chapter C-73.2);
(10)  a declaration signed by each of the partners of the partnership confirming whether the partner:
(a)  has ever had his registration for one or more sectors referred to in section 13 of the Act cancelled or has ever been a partner of an independent partnership or a director or an 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 distribution of financial products and services;
(d)  has ever been convicted by final judgment of a Canadian or foreign court of 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;
(11)  a copy of the declaration of which the content is set out in Schedule 5 pertaining to the opening and maintaining of a separate account and in the case of a partnership 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 6.
Decision 99.07.09, s. 6; I.N. 2016-01-01 (NCCP).
6. Such partnership shall, in addition, transmit to the Authority, or authorize the Government, a government 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, the address of the location which serves as its principal establishment in Québec and the address of all its other locations which serve as establishments in Québec, the telephone and facsimile numbers concerned, as well as its mailing address and its electronic-mail address, where applicable;
(2)  the sectors in respect of which the partnership intends to register with the Authority as well as the names and residential addresses, per sector and class of sector, of the representatives through whom it intends to pursue its activities, specifying those who are partners of the partnership and those who are employed by it;
(3)  in the case of a partnership intending to register in the sector of damage insurance, the names and residential addresses of all the persons employed by it and referred to in section 547 of the Act;
(4)  a copy of the partnership agreement and, as the case may be, any amendments thereto;
(5)  the name of the partner responsible for the principal establishment of the partnership and of the partner designated to act as a correspondent with the Authority and, as the case may be, any persons designated to assist the partner designated to act as a correspondent with the Authority;
(6)  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;
(7)  a copy of the insurance contract purchased by the partnership to cover the liability of its partners and the representatives employed by it, in accordance with the Regulation respecting firms, independent representatives and independent partnerships (chapter D-9.2, r. 2);
(8)  a document issued by the partnership attesting to the appointment of partners referred to in paragraph 5 to act as the partner responsible for the principal establishment and of the partner designated to act as a correspondent with the Authority and authorizing the signature of the application for registration by one of them;
(9)  a declaration signed by a partner generally or specially authorized, by resolution of the partnership, to sign the application for registration, confirming whether the partnership:
(a)  has been convicted by final judgment of a Canadian or foreign court of a an offence or a criminal act;
(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 with the Authority or to its registration as a securities broker or adviser with 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 or 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 Securities Act (chapter V-1.1), the Real Estate Brokerage Act (chapter C-73.2);
(10)  a declaration signed by each of the partners of the partnership confirming whether the partner:
(a)  has ever had his registration for one or more sectors referred to in section 13 of the Act cancelled or has ever been a partner of an independent partnership or a director or an 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 distribution of financial products and services;
(d)  has ever been convicted by final judgment of a Canadian or foreign court of 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;
(11)  a copy of the declaration of which the content is set out in Schedule 5 pertaining to the opening and maintaining of a separate account and in the case of a partnership 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 6.
Decision 99.07.09, s. 6.