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I-14.01 - Derivatives Act

Section 162
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162. In the case of an offence under section 145.1, 150 or 151 and in the case of a transaction carried out without the risk information document or qualification information being given to the client as required under section 70, the minimum fine is $5,000, double the profit realized, or double the amounts invested in the transaction or series of transactions, whichever is greatest. The maximum amount of the fine is $5,000,000, four times the profit realized, or four times the amounts invested in the transaction or series of transactions, whichever is greatest.
2008, c. 24, s. 162; 2009, c. 58, s. 174.
162. In the case of an offence under section 150 or 151 and in the case of a transaction carried out without the risk information document or qualification information being given to the client as required under section 70, the minimum fine is $5,000, double the profit realized, or double the amounts invested in the transaction or series of transactions, whichever is greatest. The maximum amount of the fine is $5,000,000, four times the profit realized, or four times the amounts invested in the transaction or series of transactions, whichever is greatest.
2008, c. 24, s. 162.
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