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D-9.2 - Act respecting the distribution of financial products and services
Section 146.1
Disposition versions
146.1. Sections 115, 115.1 and 115.3 to 115.9 as well as the second paragraph of section 115.9.2 apply to an independent representative or independent partnership that does not comply with this Act or the regulations, or if necessary in order to protect the public. Section 115.2 applies, with the necessary modifications, if an independent representative or independent partnership does not comply with section 74, 103.1, 103.7, 128, 135, 136 or 142.1 of this Act or fails to file documents as required under this Act or the regulations.
146.1. Sections 115, 115.1 and 115.3 to 115.9 as well as the second paragraph of section 115.9.2 apply to an independent representative or independent partnership that does not comply with this Act or the regulations, or if necessary in order to protect the public. Section 115.2 applies, with the necessary modifications, if an independent representative or independent partnership does not comply with section 103.1, 103.7, 128, 135 or 136 of this Act or fails to file documents as required under this Act or the regulations.
146.1. Sections 115, 115.1 and 115.3 to 115.9 apply to an independent representative or independent partnership that does not comply with this Act or the regulations, or if necessary in order to protect the public. Section 115.2 applies, with the necessary modifications, if an independent representative or independent partnership does not comply with section 103.1, 128, 135 or 136 of this Act or fails to file documents as required by regulation.
146.1. The first paragraph of section 115 applies to an independent representative or independent partnership that does not comply with this Act or the regulations, or if necessary in order to protect the public. The second paragraph of that section applies, with the necessary modifications, if an independent representative or independent partnership does not comply with section 103.1, 128, 135 or 136 of this Act or fails to file documents as required by regulation.
