D-9.2, r. 1 - Regulation respecting the eligibility of a claim submitted to the Fonds d’indemnisation des services financiers

Section 5 Disposition versions

2012-09-01

5. The following persons may not submit a claim to the Fonds, unless they are or would have been clients, had they not been the victims of the fraud, fraudulent tactics or embezzlement:

(1)  an insurer;

(2)  a deposit institution;

(3)  a trust company;

(4)  any other financial institution;

(5)  a securities dealer or securities adviser governed by the Securities Act, (chapter V-1.1);

(6)  a mutual fund;

(7)  a firm, an independent representative or an independent partnership;

(8)  a representative.

O.C. 831-99, s. 5.