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I-14.01 - Derivatives Act
Section 174
Disposition versions
174. The Authority may, by regulation,
(1) determine the procedure to be followed in any matter relating to the carrying out of this Act;
(2) determine, for the purposes of section 72, exceptions to the obligations of dealers, advisers or representatives relating to the segregation of their clients’ property or the maintenance of separate accounting records;
(3) set the tariffs referred to in sections 135, 143 and 170;
(4) determine the provisions of Title III whose contravention may be sanctioned by a monetary administrative penalty, and the amount of and the conditions for imposing such a penalty; and
(5) prescribe the fees payable for any formality required by this Act or for services rendered by the Authority, and the terms of payment.
A regulation under this section must be submitted to the Government, which may approve it with or without amendments.
The Government may make or amend a regulation under this section if the Authority does not do so within the time specified by the Government.
A draft regulation or regulation under this section must be published in the Authority’s Bulletin.
174. The Authority may, by regulation,
(1) determine the procedure to be followed in any matter relating to the carrying out of this Act;
(2) determine, for the purposes of section 72, exceptions to the obligations of dealers, advisers or representatives relating to the segregation of their clients’ property or the maintenance of separate accounting records;
(3) set the tariffs referred to in sections 135, 143 and 170;
(4) determine the provisions of Title III whose contravention may be sanctioned by an administrative monetary penalty, and the amount of and the conditions for imposing such a penalty; and
(5) prescribe the fees payable for any formality required by this Act or for services rendered by the Authority, and the terms of payment.
A regulation under this section must be submitted to the Government, which may approve it with or without amendments.
The Government may make or amend a regulation under this section if the Authority does not do so within the time specified by the Government.
A draft regulation or regulation under this section must be published in the Authority’s Bulletin.
