D-9.2 - Act respecting the distribution of financial products and services

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218. The Authority may cancel, suspend or impose restrictions or conditions on a certificate where
(1)  the certificate holder has made an assignment of property or has been placed under a receiving order pursuant to the Bankruptcy and Insolvency Act (R.S.C, 1985, c. B-3);
(2)  the certificate holder has been convicted by a court inside or outside Canada of an act or offence which, in the opinion of the Authority, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an act or offence;
(2.1)  the certificate or the certificate holder’s right to transact business has been cancelled or suspended, or restrictions or conditions have been imposed on it, by the discipline committee or by a body in Québec or another province or state that is responsible for supervising and monitoring persons acting as representatives;
(3)  the certificate holder has been assigned a tutor, curator or adviser;
(4)  the certificate holder no longer complies with an obligation prescribed by this Act or the regulations for the issue or renewal of the certificate.
The Authority may, in addition, suspend a certificate where the certificate holder has not complied with compulsory professional development requirements or the liability insurance requirements prescribed by regulation.
1998, c. 37, s. 218; 2002, c. 45, s. 499; 2004, c. 37, s. 90; 2007, c. 15, s. 23; 2009, c. 25, s. 76.
218. The Authority may cancel, suspend or impose restrictions or conditions on a certificate where the certificate holder
(1)  has made an assignment of property or has been placed under a receiving order pursuant to the Bankruptcy and Insolvency Act (Revised Statutes of Canada, 1985, chapter B-3);
(2)  has been convicted by a court inside or outside Canada of a criminal act or indictable offence which, in the opinion of the Authority, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an act or offence;
(3)  has been assigned a tutor, curator or adviser.
The Authority may, in addition, suspend a certificate where the certificate holder has not complied with compulsory professional development requirements.
1998, c. 37, s. 218; 2002, c. 45, s. 499; 2004, c. 37, s. 90; 2007, c. 15, s. 23.
218. The Authority may cancel, suspend or impose restrictions or conditions on a certificate where the certificate holder
(1)  has made an assignment of property or has been placed under a receiving order pursuant to the Bankruptcy and Insolvency Act (Revised Statutes of Canada, 1985, chapter B-3);
(2)  has been convicted by a court inside or outside Canada of a criminal act or indictable offence which, in the opinion of the Authority, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an act or offence;
(3)  has been assigned a tutor, curator or adviser.
1998, c. 37, s. 218; 2002, c. 45, s. 499; 2004, c. 37, s. 90.
218. The Agency may cancel, suspend or impose restrictions or conditions on a certificate where the certificate holder
(1)  has made an assignment of property or has been placed under a receiving order pursuant to the Bankruptcy and Insolvency Act (Revised Statutes of Canada, 1985, chapter B-3);
(2)  has been convicted by a court inside or outside Canada of a criminal act or indictable offence which, in the opinion of the Agency, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an act or offence;
(3)  has been assigned a tutor, curator or adviser.
1998, c. 37, s. 218; 2002, c. 45, s. 499.
218. The Bureau may cancel, suspend or impose restrictions or conditions on a certificate where the certificate holder
(1)  has made an assignment of property or has been placed under a receiving order pursuant to the Bankruptcy and Insolvency Act (Revised Statutes of Canada, 1985, chapter B-3);
(2)  has been convicted by a court inside or outside Canada of a criminal act or indictable offence which, in the opinion of the Bureau, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an act or offence;
(3)  has been assigned a tutor, curator or adviser.
1998, c. 37, s. 218.