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I-14.01 - Derivatives Act
Section 134
Disposition versions
134. If it is brought to the Tribunal’s knowledge that a person has, by an act or omission, contravened or aided in the contravention of a provision of this Act, the Tribunal may, once the facts have been established, reprimand the person or impose an administrative penalty on the person to be collected by the Authority.
The amount of the penalty may in no case exceed $2,000,000 for each contravention.
134. If it is brought to the Board’s knowledge that a person has, by an act or omission, contravened or aided in the contravention of a provision of this Act, the Board may, once the facts have been established, reprimand the person or impose an administrative penalty on the person to be collected by the Authority.
The amount of the penalty may in no case exceed $2,000,000 for each contravention.
134. If it is brought to the Board’s knowledge that a dealer, an adviser, a representative, a market participant, a recognized regulated entity, a qualified person or a person granted an exemption under this Act has failed to comply with a provision of this Act, the Board may, once the facts have been established, reprimand the offender or impose an administrative penalty on the offender to be collected by the Authority.
If it is brought to the Board’s knowledge that a market participant, a dealer, an adviser, a representative or any other person acting on their behalf has, by an act or omission, contravened or aided a person in contravening a provision of this Act, the Board may, once the facts have been established, impose an administrative penalty on the offender.
The amount of the penalty may in no case exceed $2,000,000.
134. If it is brought to the Board’s knowledge that a dealer, an adviser, a representative, a market participant, a recognized regulated entity, a qualified person or a person granted an exemption under this Act has failed to comply with a provision of this Act, the Board may, once the facts have been established, reprimand the offender or impose an administrative penalty on the offender to be collected by the Authority.
If it is brought to the Board’s knowledge that a market participant, a dealer, an adviser, a representative or any other person acting on their behalf has, by an act or omission, contravened or aided a person in contravening a provision of this Act, the Board may, once the facts have been established, impose an administrative penalty on the offender.
The amount of the penalty may in no case exceed $1,000,000.
