securities act (canada)

(10) Subsection (9) does not relieve a person or company of liability respecting forward-looking information in a financial statement required to be filed under this Act or the regulations or forward-looking information in a document released in connection with an initial public offering. 1990, c. S.5, s. 62 (5). prescribing procedures applicable to investment funds, registrants and any other person or company in respect of sales and redemptions of investment fund securities and payments for sales and redemptions. (b) any participation as a trader in any transaction in a security through the facilities of any exchange or quotation and trade reporting system, (b.1) entering into a derivative or making a material amendment to, terminating, assigning, selling or otherwise acquiring or disposing of a derivative, or. Competition law, by contrast, regulates only anti-competitive contracts and conduct — a particular aspect of economic activity that falls squarely within the federal domain. (b) any request to execute or not to execute a form of proxy or to revoke a proxy. Act, 2008 (Bill 38), 10 was repealed and 38, s. 12 (5-8). (b) any document constituting evidence of title to or interest in the capital, assets, property, profits, earnings or royalties of any person or company. (“profit réalisé”)  1994, c. 11, s. 373; 2010, c. 26, Sched. (7) No person or company, other than the offeror, is liable under subsection (1), (2) or (3) with respect to any part of the circular not purporting to be made on the authority of an expert and not purporting to be a copy of or an extract from a report, opinion or statement of an expert unless he, she or it. 2009, c. 18, Sched. (a) to distribute a notice, circular, advertisement or letter to or otherwise communicate with any person or company identifying the security proposed to be issued, stating the price thereof, if then determined, the name and address of a person or company from whom purchases of the security may be made and containing such further information as may be permitted or required by the regulations, if every such notice, circular, advertisement, letter or other communication states the name and address of a person or company from whom a preliminary prospectus may be obtained; (b) to distribute a preliminary prospectus; and. 143.4 (1) A rule that is approved by the Minister comes into force 15 days after it is approved unless there is a later day specified in the rule in which case it comes into force on that later day. 2002, c. 22, s. 185; 2004, c. 31, Sched. prescribing requirements in respect of, or in relation to, promoters, advisers or persons and companies who administer or participate in the administration of the affairs of investment funds. R.S.O. 2009, c. 18, Sched. (a) any company of which such person or company beneficially owns, directly or indirectly, voting securities carrying more than 10 per cent of the voting rights attached to all voting securities of the company for the time being outstanding. 2017, c. 8, Sched. (j) such other persons or companies as may be prescribed by the regulations. xix. 18, s. 32. v. the establishment, publication and enforcement by a benchmark administrator of codes of conduct applicable to benchmark administrators or benchmark contributors and their respective directors, officers and employees, and any of their service providers or security holders that are in a class prescribed under paragraph 65, and the minimum requirements to be included in such a code of conduct. xviii. Providing for exemptions from or varying the requirements set out in Part XIII. 18, s. 42 (11). (c) the sending or delivery of a form of proxy or other communication to a security holder under circumstances reasonably calculated to result in the procurement, withholding or revocation of a proxy. (2) No order shall be made under subsection (1) unless the Commission has, where practicable, given reasonable notice and an opportunity to be heard to, (a) persons and companies named by the Commission; and. Such other category of adviser as may be prescribed by the regulations. 1994, c. 11, s. 354. (e) that, with respect to a false statement purporting to be a statement made by an official person or contained in what purports to be a copy of or extract from a public official document, it was a correct and fair representation of the statement or copy of or extract from the document, and he, she or it had reasonable grounds to believe and did believe that the statement was true. 1994, c. 11, s. 358. (Bill 21), Related: ASC Notice - Bill 21 Securities Amendment Act 2007, 2(e) was repealed 34, s. 13 (15); 2006, c. 33, Sched. 2009, c. 18, Sched. R.S.O. 34, s. 13 (11). 1997, c. 19, s. 23 (3); 2010, c. 26, Sched. 38, s. 2. 26, s. 2. 1994, c. 33, s. 8. i. the disclosure or furnishing of information to the Commission by a credit rating organization. 1990, c. S.5, s. 130 (2). 2005, c. 31, Sched. 109 Repealed: 2019, c. 15, Sched. 2010, c. 1, Sched. 38, s. 2 (1). 38, s. 14 (2). (b) the person who made the public oral statement; (c) each director and officer of the responsible issuer who authorized, permitted or acquiesced in the making of the public oral statement; (d) each influential person, and each director and officer of the influential person, who knowingly influenced, (i) the person who made the public oral statement to make the public oral statement, or, (ii) a director or officer of the responsible issuer to authorize, permit or acquiesce in the making of the public oral statement; and, (ii) the person making the public oral statement includes, summarizes or quotes from the report, statement or opinion of the expert, and.

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