V-1.1 - Securities Act

Section 237 Disposition versions

2021-06-02

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(2.1)  a recognized stock exchange or one of its participants;

(2.2)  a recognized clearing house or a person who has an account with such a clearing house;

(2.3)  a person who operates an alternative trading system that is recognized as a stock exchange or registered as a dealer, or one of its subscribers;

(2.3.1)  a recognized regulation services provider;

(2.4)  a recognized securities information processor or one of its users;

(2.5)  a recognized matching service utility or one of its users;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1;

(7)  a designated credit rating organization;

(8)  a recognized settlement system or one of its subscribers;

(9)  a recognized central securities depositary or one of its subscribers;

(10)  a person to whom a decision under section 263 applies;

(11)  a designated benchmark administrator, a person who provides information or data applied to establish a designated benchmark, or a person responsible for the computation of a designated benchmark.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111; 2008, c. 7, s. 156; 2008, c. 24, s. 212; 2009, c. 58, s. 111; 2013, c. 18, s. 110; 2018, c. 23, ss. 701 and 811; 2021, c. 15, s. 106.

2018-07-13

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(2.1)  a recognized stock exchange or one of its participants;

(2.2)  a recognized clearing house or a person who has an account with such a clearing house;

(2.3)  a person who operates an alternative trading system that is recognized as a stock exchange or registered as a dealer, or one of its subscribers;

(2.3.1)  a recognized regulation services provider;

(2.4)  a recognized securities information processor or one of its users;

(2.5)  a recognized matching service utility or one of its users;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1;

(7)  a designated credit rating organization;

(8)  a recognized settlement system or one of its subscribers;

(9)  a recognized central securities depositary or one of its subscribers;

(10)  a person to whom a decision under section 263 applies;

(11)  a benchmark administrator subject to this Act, a person whose activities are governed by an Act listed in Schedule 1 to the Act respecting the regulation of the financial sector (chapter E-6.1) or by an equivalent Act of another legislative authority in Canada and who provides information or data applied to establish a designated benchmark, or a person responsible for the computation of a designated benchmark.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111; 2008, c. 7, s. 156; 2008, c. 24, s. 212; 2009, c. 58, s. 111; 2013, c. 18, s. 110; 2018, c. 23, ss. 701 and 811.

2018-06-13

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(2.1)  a recognized stock exchange or one of its participants;

(2.2)  a recognized clearing house or a person who has an account with such a clearing house;

(2.3)  a person who operates an alternative trading system that is recognized as a stock exchange or registered as a dealer, or one of its subscribers;

(2.3.1)  a recognized regulation services provider;

(2.4)  a recognized securities information processor or one of its users;

(2.5)  a recognized matching service utility or one of its users;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1;

(7)  a designated credit rating organization;

(8)  a recognized settlement system or one of its subscribers;

(9)  a recognized central securities depositary or one of its subscribers;

(10)  a person to whom a decision under section 263 applies;

(11)  a benchmark administrator subject to this Act, a person whose activities are governed by an Act listed in Schedule 1 to the Act respecting the Autorité des marchés financiers (chapter A-33.2) or by an equivalent Act of another legislative authority in Canada and who provides information or data applied to establish a designated benchmark, or a person responsible for the computation of a designated benchmark.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111; 2008, c. 7, s. 156; 2008, c. 24, s. 212; 2009, c. 58, s. 111; 2013, c. 18, s. 110; 2018, c. 23, s. 701.

2013-06-14

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(2.1)  a recognized stock exchange or one of its participants;

(2.2)  a recognized clearing house or a person who has an account with such a clearing house;

(2.3)  a person who operates an alternative trading system that is recognized as a stock exchange or registered as a dealer, or one of its subscribers;

(2.3.1)  a recognized regulation services provider;

(2.4)  a recognized securities information processor or one of its users;

(2.5)  a recognized matching service utility or one of its users;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1;

(7)  a designated credit rating organization;

(8)  a recognized settlement system or one of its subscribers;

(9)  a recognized central securities depositary or one of its subscribers;

(10)  a person to whom a decision under section 263 applies.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111; 2008, c. 7, s. 156; 2008, c. 24, s. 212; 2009, c. 58, s. 111; 2013, c. 18, s. 110.

2012-04-20

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(2.1)  a recognized stock exchange or one of its participants;

(2.2)  a recognized clearing house or a person who has an account with such a clearing house;

(2.3)  a person who operates an alternative trading system that is recognized as a stock exchange or registered as a dealer, or one of its subscribers;

(2.3.1)  a regulation services provider;

(2.4)  an authorized securities information processor or one of its users;

(2.5)  an authorized matching service utility or one of its users;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1;

(7)  a designated credit rating organization.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111; 2008, c. 7, s. 156; 2008, c. 24, s. 212; 2009, c. 58, s. 111.

2009-02-01

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(2.1)  a recognized stock exchange or one of its participants;

(2.2)  a recognized clearing house or a person who has an account with such a clearing house;

(2.3)  a person who operates an alternative trading system that is recognized as a stock exchange or registered as a dealer, or one of its subscribers;

(2.3.1)  a regulation services provider;

(2.4)  an authorized securities information processor or one of its users;

(2.5)  an authorized matching service utility or one of its users;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111; 2008, c. 7, s. 156; 2008, c. 24, s. 212.

2008-05-28

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(2.1)   an authorized stock exchange or one of its participants;

(2.2)  an authorized securities clearing house or a person that holds an account in a clearing house;

(2.3)  a person that operates an authorized electronic securities trading system or is registered as a dealer or one of the dealer’s participants;

(2.4)  an authorized securities information processor or one of its users;

(2.5)  an authorized matching service utility or one of its users;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111; 2008, c. 7, s. 156.

2006-12-14

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(3)  a reporting issuer;

(4)  (subparagraph repealed);

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a person referred to in section 151.1.1.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their officers, of their directors and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21; 2006, c. 50, s. 81, s. 111.

2004-12-17

237. The Authority or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(3)  a reporting issuer;

(4)  the depositary of the assets of a mutual fund or of an unincorporated mutual fund;

(5)  a person submitting an application to the Authority, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate;

(6)  a body, a person or any other participant referred to in section 151.1.1.

In addition, the Authority or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their senior executives and of their representatives subject to registration, the Authority may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696; 2004, c. 37, s. 21.

2004-02-01

237. The Agency or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(3)  a reporting issuer;

(4)  the depositary of the assets of a mutual fund or of an unincorporated mutual fund;

(5)  a person submitting an application to the Agency, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate.

In addition, the Agency or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their senior executives and of their representatives subject to registration, the Agency may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327; 2002, c. 45, s. 696.

1999-10-22

237. The Commission or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(3)  a reporting issuer;

(4)  the depositary of the assets of a mutual fund or of an unincorporated mutual fund;

(5)  a person submitting an application to the Commission, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate.

In addition, the Commission or its agent may require such persons to confirm by affidavit the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their senior executives and of their representatives subject to registration, the Commission may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59; 1999, c. 40, s. 327.

1984-12-21

237. The Commission or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(3)  a reporting issuer;

(4)  the depositary of the assets of a mutual fund or of an unincorporated mutual fund;

(5)  a person submitting an application to the Commission, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate.

In addition, the Commission or its agent may require such persons to confirm by affidavit or solemn affirmation the authenticity or veracity of submitted documents or information.

In the case of members of a self-regulatory organization, of their senior executives and of their representatives subject to registration, the Commission may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237; 1984, c. 41, s. 59.

1983-04-06

237. The Commission or its appointed agent may require any document or information it considers expedient for the discharge of its functions to be submitted to it by any of the following persons:

(1)  a registrant;

(2)  a recognized self-regulatory organization or one of its members;

(3)  a reporting issuer;

(4)  the depositary of the assets of a mutual fund or of an unincorporated mutual fund;

(5)  a person submitting an application to the Commission, or filing with it documents required by the Act or the regulations, and the issuer to whom the application or the documents relate.

In addition, the Commission or its agent may require such persons to confirm by affidavit or solemn affirmation the authenticity or veracity of submitted documents or information.

In the case of a member of a self-regulatory organization, the Commission may, on the conditions it determines, delegate its powers under this section and section 238 to the self-regulatory organization.

1982, c. 48, s. 237.