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I-14.01 - Derivatives Act
Section 115
Disposition versions
115. The Authority may, in accordance with Chapter III of Title I of the Act respecting the regulation of the financial sector (chapter E-6.1), inspect the affairs of a dealer, adviser or market participant in order to verify compliance with this Act.
The Authority may also inspect the affairs of a regulated entity or a qualified person to verify compliance with this Act or with any decision of the Authority, or to verify how the entity or person exercises the functions and powers delegated by the Authority.
The Authority may also inspect the affairs of a guarantee fund to which dealers, advisors or representatives are required to contribute in order to ascertain compliance with their obligations under this Act.
The Authority may also inspect the affairs of a person to verify compliance with the provisions applicable to the person with respect to over-the-counter derivatives under this Act.
115. The Authority may, in accordance with Chapter III of Title I of the Act respecting the Autorité des marchés financiers (chapter A-33.2), inspect the affairs of a dealer, adviser or market participant in order to verify compliance with this Act.
The Authority may also inspect the affairs of a regulated entity or a qualified person to verify compliance with this Act or with any decision of the Authority, or to verify how the entity or person exercises the functions and powers delegated by the Authority.
The Authority may also inspect the affairs of a guarantee fund to which dealers, advisors or representatives are required to contribute in order to ascertain compliance with their obligations under this Act.
115. The Authority may, in accordance with Chapter III of Title I of the Act respecting the Autorité des marchés financiers (chapter A-33.2), inspect the affairs of a dealer, adviser or market participant in order to verify compliance with this Act.
The Authority may also inspect the affairs of a regulated entity or a qualified person to verify compliance with this Act or with any decision of the Authority, or to verify how the entity or person exercises the functions and powers delegated by the Authority.
115. The Authority may, in accordance with Chapter III of Title I of the Act respecting the Autorité des marchés financiers (chapter A-33.2), inspect the affairs of a dealer, adviser or market participant in order to verify compliance with this Act.
The Authority may also inspect the affairs of a recognized regulated entity to verify compliance with this Act, with the conditions specified in its recognition decision or with any other decision of the Authority, or to verify the manner in which the entity exercises the functions and powers delegated to it by the Authority.
