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I-14.01 - Derivatives Act
Section 49
Disposition versions
49. The Financial Markets Administrative Tribunal (“the Tribunal”), established by section 92 of the Act respecting the regulation of the financial sector (chapter E-6.1), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
49. The Financial Markets Administrative Tribunal (“the Tribunal”), established by section 92 of the Act respecting the Autorité des marchés financiers (chapter A-33.2), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
49. The Bureau de décision et de révision (“the Board”), established by section 92 of the Act respecting the Autorité des marchés financiers (chapter A-33.2), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
49. The Bureau de décision et de révision en valeurs mobilières (“the Board”), established by section 92 of the Act respecting the Autorité des marchés financiers (chapter A-33.2), may prescribe a course of conduct to a recognized regulated entity if it considers that it is necessary for the proper operation of the entity or for the protection of the public.
However, in the case of a self-regulatory organization that is not recognized as an exchange, clearing house or regulation services provider, the course of conduct may be prescribed by the Authority.
