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

Section 219 Disposition versions

2024-05-09

219. The Authority may, for a given sector, refuse to issue or renew a certificate or impose restrictions or conditions on the certificate

(1)  where the applicant’s certificate or right to transact business has previously been cancelled or suspended, or where restrictions or conditions have previously been imposed on the applicant’s certificate, by the discipline committee or by a body in Québec, another province or another state that is responsible for supervising and monitoring persons acting as representatives;

(2)  where the applicant has previously been convicted by a court inside or outside Canada of an indictable offence or criminal act which, in the opinion of the Authority, is linked to the pursuit of the activity of representative;

(3)  where the applicant is under tutorship or under a protection mandate;

(4)  where the applicant 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).

1998, c. 37, s. 219; 2002, c. 45, s. 499; 2004, c. 37, s. 90; 2006, c. 50, s. 128; 2009, c. 25, s. 77; 2020, c. 11, s. 189; 2024, c. 15, s. 106.

2022-11-01

219. The Authority may, for a given sector, refuse to issue or renew a certificate or impose restrictions or conditions on the certificate

(1)  where the applicant’s certificate or right to transact business has previously been cancelled or suspended, or where restrictions or conditions have previously been imposed on the applicant’s certificate, by the discipline committee or by a body in Québec, another province or another state that is responsible for supervising and monitoring persons acting as representatives;

(2)  where the applicant has previously been convicted by a court inside or outside Canada of an indictable offence or criminal act which, in the opinion of the Authority, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an offence or act;

(3)  where the applicant is under tutorship or under a protection mandate;

(4)  where the applicant 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).

1998, c. 37, s. 219; 2002, c. 45, s. 499; 2004, c. 37, s. 90; 2006, c. 50, s. 128; 2009, c. 25, s. 77; 2020, c. 11, s. 189.

2009-09-28

219. The Authority may, for a given sector, refuse to issue or renew a certificate or impose restrictions or conditions on the certificate

(1)  where the applicant’s certificate or right to transact business has previously been cancelled or suspended, or where restrictions or conditions have previously been imposed on the applicant’s certificate, by the discipline committee or by a body in Québec, another province or another state that is responsible for supervising and monitoring persons acting as representatives;

(2)  where the applicant has previously been convicted by a court inside or outside Canada of an indictable offence or criminal act which, in the opinion of the Authority, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an offence or act;

(3)  where the applicant has been assigned a tutor, curator or adviser;

(4)  where the applicant 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).

1998, c. 37, s. 219; 2002, c. 45, s. 499; 2004, c. 37, s. 90; 2006, c. 50, s. 128; 2009, c. 25, s. 77.

2006-12-14

219. The Authority may, for a given sector, refuse to issue or renew a certificate or impose restrictions or conditions on the certificate

(1)  where the applicant’s certificate or right to transact business, in a sector referred to in the second paragraph of section 13, has previously been cancelled or suspended, or where restrictions or conditions have previously been imposed on the applicant’s certificate, by the discipline committee or by a body in Québec, another province or another state that is responsible for supervising and monitoring persons acting as representatives;

(2)  where the applicant has previously been convicted by a court inside or outside Canada of an indictable offence or criminal act which, in the opinion of the Authority, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an offence or act;

(3)  where the applicant has been assigned a tutor, curator or adviser;

(4)  where the applicant 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).

The Authority may, for a given securities sector, impose any restriction or condition it determines on a representative’s certificate, including limiting the term prescribed by regulation.

1998, c. 37, s. 219; 2002, c. 45, s. 499; 2004, c. 37, s. 90; 2006, c. 50, s. 128.

2004-12-17

219. The Authority may, for a given sector, refuse to issue or renew a certificate or impose restrictions or conditions on the certificate

(1)  where the applicant’s certificate or right to transact business, in a sector referred to in the second paragraph of section 13, has previously been cancelled or suspended, or where restrictions or conditions have previously been imposed on the applicant’s certificate, by the discipline committee or by a body in Québec, another province or another state that is responsible for supervising and monitoring persons acting as representatives;

(2)  where the applicant has previously been convicted by a court inside or outside Canada of an indictable offence or criminal act which, in the opinion of the Authority, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an offence or act;

(3)  where the applicant has been assigned a tutor, curator or adviser;

(4)  where the applicant 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).

1998, c. 37, s. 219; 2002, c. 45, s. 499; 2004, c. 37, s. 90.

2004-02-01

219. The Agency may, for a given sector, refuse to issue or renew a certificate or impose restrictions or conditions on the certificate

(1)  where the applicant’s certificate or right to transact business, in a sector referred to in the second paragraph of section 13, has previously been cancelled or suspended, or where restrictions or conditions have previously been imposed on the applicant’s certificate, by the discipline committee or by a body in Québec, another province or another state that is responsible for supervising and monitoring persons acting as representatives;

(2)  where the applicant has previously been convicted by a court inside or outside Canada of an indictable offence or criminal act which, in the opinion of the Agency, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an offence or act;

(3)  where the applicant has been assigned a tutor, curator or adviser;

(4)  where the applicant 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).

1998, c. 37, s. 219; 2002, c. 45, s. 499.

1999-07-19

219. The Bureau may, for a given sector, refuse to issue or renew a certificate or impose restrictions or conditions on the certificate

(1)  where the applicant’s certificate or right to transact business, in a sector referred to in the second paragraph of section 13, has previously been cancelled or suspended, or where restrictions or conditions have previously been imposed on the applicant’s certificate, by the discipline committee or by a body in Québec, another province or another state that is responsible for supervising and monitoring persons acting as representatives;

(2)  where the applicant has previously been convicted by a court inside or outside Canada of an indictable offence or criminal act which, in the opinion of the Bureau, is linked to the pursuit of the activity of representative, or has pleaded guilty to such an offence or act;

(3)  where the applicant has been assigned a tutor, curator or adviser;

(4)  where the applicant 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).

1998, c. 37, s. 219.