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V-1.1 - Securities Act

Section 170
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170. The Authority may recognize a person referred to in section 169 on the conditions it determines.
The Authority may also require that the person be recognized as a self-regulatory organization under Title III of the Act respecting the regulation of the financial sector (chapter E-6.1) in order to carry on the person’s activities.
The organization referred to in the second paragraph shall also be subject to the provisions of this Act which are applicable to a self-regulatory organization.
Despite section 60 of the Act respecting the regulation of the financial sector, a person recognized as an exchange, a clearing house, a central securities depositary or a settlement system may include provisions governing the business or professional conduct of its members or participants and their representatives in its constituting documents, by-laws or operating rules.
1982, c. 48, s. 170; 2001, c. 38, s. 65; 2002, c. 45, s. 631; 2004, c. 37, s. 90; 2006, c. 50, s. 51; 2008, c. 24, s. 204; 2013, c. 18, s. 107; 2018, c. 23, s. 811.
170. The Authority may recognize a person referred to in section 169 on the conditions it determines.
The Authority may also require that the person be recognized as a self-regulatory organization under Title III of the Act respecting the Autorité des marchés financiers (chapter A-33.2) in order to carry on the person’s activities.
The organization referred to in the second paragraph shall also be subject to the provisions of this Act which are applicable to a self-regulatory organization.
Despite section 60 of the Act respecting the Autorité des marchés financiers, a person recognized as an exchange, a clearing house, a central securities depositary or a settlement system may include provisions governing the business or professional conduct of its members or participants and their representatives in its constituting documents, by-laws or operating rules.
1982, c. 48, s. 170; 2001, c. 38, s. 65; 2002, c. 45, s. 631; 2004, c. 37, s. 90; 2006, c. 50, s. 51; 2008, c. 24, s. 204; 2013, c. 18, s. 107.
170. The Authority may recognize a person referred to in section 169 on the conditions it determines.
The Authority may also require that the person be recognized as a self-regulatory organization under Title III of the Act respecting the Autorité des marchés financiers (chapter A-33.2) in order to carry on the person’s activities.
The organization referred to in the second paragraph shall also be subject to the provisions of this Act which are applicable to a self-regulatory organization.
Despite section 60 of the Act respecting the Autorité des marchés financiers, a person recognized as an exchange or clearing house may include provisions governing the business or professional conduct of its members or participants and their representatives in its constituting documents, by-laws or operating rules.
1982, c. 48, s. 170; 2001, c. 38, s. 65; 2002, c. 45, s. 631; 2004, c. 37, s. 90; 2006, c. 50, s. 51; 2008, c. 24, s. 204.
170. The Authority may authorize the carrying on of an activity mentioned in section 169 on the conditions it determines.
The Authority may also determine that a person that carries on such an activity or any other activity governed by this Act is to be recognized as a self-regulatory organization under Title III of the Act respecting the Autorité des marchés financiers (chapter A‐33.2).
The organization referred to in the second paragraph shall also be subject to the provisions of this Act which are applicable to a self-regulatory organization.
Despite section 60 of the Act respecting the Autorité des marchés financiers (chapter A-33.2), a person authorized to carry on securities exchange or clearing activities may include provisions governing the business or professional conduct of its members or participants and their representatives in its constituting documents, by-laws or operating rules.
1982, c. 48, s. 170; 2001, c. 38, s. 65; 2002, c. 45, s. 631; 2004, c. 37, s. 90; 2006, c. 50, s. 51.
170. The Authority may authorize the carrying on of an activity mentioned in section 169 on the conditions it determines.
The Authority may also determine that a legal person, partnership or other entity that carries on such an activity or any other activity governed by this Act is to be recognized as a self-regulatory organization under Title III of the Act respecting the Autorité des marchés financiers (chapter A‐33.2).
The organization referred to in the second paragraph shall also be subject to the provisions of this Act which are applicable to a self-regulatory organization.
1982, c. 48, s. 170; 2001, c. 38, s. 65; 2002, c. 45, s. 631; 2004, c. 37, s. 90.
170. The Agency may authorize the carrying on of an activity mentioned in section 169 on the conditions it determines.
The Agency may also determine that a legal person, partnership or other entity that carries on such an activity or any other activity governed by this Act is to be recognized as a self-regulatory organization under Title III of the Act respecting the Agence nationale d’encadrement du secteur financier (chapter A‐7.03).
The organization referred to in the second paragraph shall also be subject to the provisions of this Act which are applicable to a self-regulatory organization.
1982, c. 48, s. 170; 2001, c. 38, s. 65; 2002, c. 45, s. 631.
170. The Commission, on such conditions as it may determine, may delegate to a recognized organization the application of the whole or part of Title V and the regulations thereunder.
Similarly, the Commission may delegate to a recognized organization the application of the regulations under paragraph 32 of section 331.1.
1982, c. 48, s. 170; 2001, c. 38, s. 65.
170. The Commission, on such conditions as it may determine, may delegate to a recognized organization the application of the whole or part of Title V and the regulations thereunder.
Similarly, the Commission may delegate to a recognized organization the application of the regulations under paragraph 26 of section 331.
1982, c. 48, s. 170.
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