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I-14.01 - Derivatives Act
Section 90
Disposition versions
90. The Authority or its appointed agent may require that any information or document considered useful for the pursuit of its mission be communicated to it by
(1) a dealer, adviser or representative;
(1.1) an accredited counterparty;
(2) a recognized exchange or one of its participants;
(3) a recognized clearing house or a person holding an account with it;
(4) a person who operates an alternative trading system that is recognized as an exchange or registered as a dealer, or one of its subscribers;
(5) a recognized information processor or one of its users;
(5.1) a trade repository;
(5.2) a recognized settlement system or one of its subscribers;
(5.3) a recognized matching service utility or one of its subscribers;
(6) a self-regulatory organization or one of its members;
(7) a regulation services provider;
(7.1) a qualified person;
(8) a person filing an application or a document required under this Act or the regulations with the Authority;
(9) a market participant; or
(10) a person to whom a decision made under section 86 applies.
In addition, the Authority or its appointed agent may require a person to confirm, in an affidavit, the authenticity of the document or the veracity of the information.
90. The Authority or its appointed agent may require that any information or document considered useful for the pursuit of its mission be communicated to it by
(1) a dealer, adviser or representative;
(1.1) an accredited counterparty;
(2) a recognized exchange or one of its participants;
(3) a recognized clearing house or a person holding an account with it;
(4) a person who operates an alternative trading system that is recognized as an exchange or registered as a dealer, or one of its subscribers;
(5) a recognized information processor or one of its users;
(5.1) a trade repository;
(5.2) a recognized settlement system or one of its subscribers;
(5.3) a recognized matching service utility or one of its subscribers;
(6) a self-regulatory organization or one of its members;
(7) a regulation services provider;
(7.1) a qualified person;
(8) a person filing an application or a document required under this Act or the regulations with the Authority;
(9) a market participant; or
(10) a person to whom a decision made under section 86 applies.
In addition, the Authority or its appointed agent may require a person to confirm, in a sworn statement, the authenticity of the document or the veracity of the information.
90. The Authority or its appointed agent may require that any information or document considered useful for the pursuit of its mission be communicated to it by
(1) a dealer, adviser or representative;
(1.1) an accredited counterparty;
(2) a recognized exchange or one of its participants;
(3) a recognized clearing house or a person holding an account with it;
(4) a person who operates an alternative trading system that is recognized as an exchange or registered as a dealer, or one of its subscribers;
(5) a recognized information processor or one of its users;
(5.1) a trade repository;
(6) a self-regulatory organization or one of its members;
(7) a regulation services provider;
(7.1) a qualified person;
(8) a person filing an application or a document required under this Act or the regulations with the Authority; or
(9) a market participant.
In addition, the Authority or its appointed agent may require a person to confirm, in a sworn statement, the authenticity of the document or the veracity of the information.
90. The Authority or its appointed agent may require that any information or document considered useful for the pursuit of its mission be communicated to it by
(1) a dealer, adviser or representative;
(2) a recognized exchange or one of its participants;
(3) a recognized clearing house or a person holding an account with it;
(4) a person who operates an alternative trading system that is recognized as an exchange or registered as a dealer, or one of its subscribers;
(5) a recognized information processor or one of its users;
(6) a self-regulatory organization or one of its members;
(7) a regulation services provider;
(8) a person filing an application or a document required under this Act or the regulations with the Authority; or
(9) a market participant.
In addition, the Authority or its appointed agent may require a person to confirm, in a sworn statement, the authenticity of the document or the veracity of the information.
