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

Section 340 Disposition versions

2009-09-28

340. A person conducting an inquiry may

(1)  have access, at any reasonable time, to any establishment of a firm, independent representative, independent partnership or mutual fund dealer or scholarship plan dealer registered in accordance with Title V of the Securities Act (chapter V-1.1);

(2)  examine and make copies of the books, registers, accounts, records and other documents of the firm, independent representative, independent partnership or mutual fund dealer or scholarship plan dealer registered in accordance with Title V of the Securities Act;

(3)  require any document relating to their activities.

Every person having custody, possession or control of such books, registers, accounts, records and other documents must, at the request of the person conducting the inquiry, produce them and allow them to be examined.

1998, c. 37, s. 340; 2009, c. 25, s. 97.

1999-10-01

340. A person conducting an inquiry may

(1)  have access, at any reasonable time, to any establishment of a firm, independent representative or independent partnership;

(2)  examine and make copies of the books, registers, accounts, records and other documents of the firm, independent representative or independent partnership;

(3)  require any document relating to their activities.

Every person having custody, possession or control of such books, registers, accounts, records and other documents must, at the request of the person conducting the inquiry, produce them and allow them to be examined.

1998, c. 37, s. 340.