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

Section 132 Disposition versions

2004-12-17

132. The Authority may refuse to register an applicant as an independent representative or impose restrictions or conditions for registration where the applicant’s registration for that sector has previously been cancelled.

The Authority may also refuse to register a partnership for a particular sector where the registration of one of the partners has previously been cancelled, or where one of the partners was previously a partner in an independent partnership or a director or executive officer of a firm whose registration has previously been cancelled.

1998, c. 37, s. 132; 2002, c. 45, s. 499; 2004, c. 37, s. 90.

2004-02-01

132. The Agency may refuse to register an applicant as an independent representative or impose restrictions or conditions for registration where the applicant’s registration for that sector has previously been cancelled.

The Agency may also refuse to register a partnership for a particular sector where the registration of one of the partners has previously been cancelled, or where one of the partners was previously a partner in an independent partnership or a director or executive officer of a firm whose registration has previously been cancelled.

1998, c. 37, s. 132; 2002, c. 45, s. 499.

1999-07-19

132. The Bureau may refuse to register an applicant as an independent representative or impose restrictions or conditions for registration where the applicant’s registration for that sector has previously been cancelled.

The Bureau may also refuse to register a partnership for a particular sector where the registration of one of the partners has previously been cancelled, or where one of the partners was previously a partner in an independent partnership or a director or executive officer of a firm whose registration has previously been cancelled.

1998, c. 37, s. 132.