NIN 2000/26 - Amendments to Form 1 - Summons to Attend Before an Investigator Under Section 144 [NIN - Rescinded]

Published Date:	2000-06-23
Effective Date:	2000-06-30

Effective June 30, 2000, the Executive Director specifies, in accordance with section 182 of the Securities Act, amendments to Form 1 under the Securities Act. The purpose of these amendments is to provide for situations where the individual who signs the Form 1 may not be the individual before whom the person being summoned attends.

A clean copy of amended Form 1 is attached, as well as a blacklined copy showing changes from existing Form 1.

The instructions at the top of the first page of Form 1 are for convenience only, and do not form part of Form 1.

The Commission is in the process of changing how Commission documents are numbered in order to be consistent with the numbering system used for national documents since 1996. Most new documents, including forms relating to national instruments and policies, are numbered using a 5 digit number. Commission staff will consider how the uniform numbering system may be applied to forms that do not relate to other instruments and policies and may recommend that Form 1 be renumbered at a later date.

DATED at Vancouver, British Columbia, on June 21, 2000.


Steve Wilson
Executive Director

This NIN may refer to other documents. These documents can be found at the B.C. Securities Commission public website at www.bcsc.bc.ca in the Commission Documents database.


This is the form required under section 10(1) of the Securities Regulation for a summons to a person to attend before an investigator under section 144 of the Securities Act.

TO: [NAME]
[ADDRESS]


TAKE NOTICE that I have been appointed by order of the [British Columbia Securities Commission/Minister of Finance and Corporate Relations] dated the -day of , 20 to make an investigation in the matter noted above. In connection with that investigation you are required to attend before an investigator appointed under section 142 of the Act to give evidence on oath at the time, date and place set out below. You are also required to bring with you all records and things in your possession or power relating to [including:].

TIME:
DATE:
PLACE:

DATED AT Vancouver, British Columbia this dayof 20.


[Investigator]

Please note the provisions of the Securities Act attached hereto.


Securities Act, R.S.B.C. 1996, c. 418.

Investigation order by commission

142(1) The commission may, by order, appoint a person to make an investigation the commission considers expedient

(a) for the administration of this Act,
(b) to assist in the administration of the securities laws of another jurisdiction,
(c) in respect of matters relating to trading in securities in British Columbia, or
(d) in respect of matters in British Columbia relating to trading in securities or exchange contracts in another jurisdiction.

(2) In its order, the commission must specify the scope of an investigation to be carried out under subsection (1).

Investigator's power at hearing

144(1) An investigator appointed under section 142 or 147 has the same power

(a) to summon and enforce the attendance of witnesses,
(b) to compel witnesses to give evidence on oath or in any other manner, and
(c) to compel witnesses to produce records and things and classes of records and things

as the Supreme Court has for the trial of civil actions.

(2) The failure or refusal of a witness

(a) to attend,
(b) to take an oath,
(c) to answer questions, or
(d) to produce the records and things or classes of records and things in the custody, possession or control of the witness

makes the witness, on application to the Supreme Court, liable to be committed for contempt as if in breach of an order or judgment of the Supreme Court.

(3) Section 34 of the Evidence Act does not exempt any financial institution, as defined in that section of that Act, or any officer or employee of the institution from the operation of this section.

(4) A witness giving evidence at an investigation conducted under section 142 or 147 may be represented by counsel.

Investigation order by minister

147(1) The minister may, by order, appoint a person to make an investigation the minister considers expedient

(a) for the administration of this Act,
(b) to assist in the administration of the securities or exchange contracts laws of another jurisdiction,
(c) in respect of matters relating to trading in securities or exchange contracts in British Columbia, or
(d) in respect of matters in British Columbia relating to trading in securities or exchange contracts in another jurisdiction.

(2) In the order, the minister must specify the scope of an investigation to be carried out under subsection (1).

Evidence not to be disclosed

148(1) Without the consent of the commission, a person must not disclose, except to the person's counsel, any information or evidence obtained or the name of any witness examined or sought to be examined under section 143, 144 or 145.

(2) Subsection (1) applies despite any provision of the Freedom of Information and Protection of Privacy Act other than section 44(2) and (3) of that Act.

(3) Subsection (2) does not apply to personal information, as defined in the Freedom of Information and Protection of Privacy Act, that has been in existence for 100 or more years or to other information that has been in existence for 50 or more years.

Note: You are entitled to be paid the same personal allowances for your attendance at the investigation as are paid for the attendance of a witness summoned to attend before the Supreme Court.

This is the form required under section 10(1) of the Securities Regulation for a summons to a person to attend before an investigator under section 144 of the Securities Act.

TO: [NAME]
[ADDRESS]


TAKE NOTICE that I have been appointed by order of the [British Columbia Securities Commission/Minister of Finance and Corporate Relations] dated the -day of , 20 to make an investigation in the matter noted above. In connection with that investigation you are required to attend before an investigator appointed under section 142 of the Act to give evidence on oath at the time, date and place set out below. You are also required to bring with you all records and things in your possession or power relating to [including:].

TIME:
DATE:
PLACE:

DATED AT Vancouver, British Columbia this dayof 20.


[Investigator]

Please note the provisions of the Securities Act attached hereto.



Securities Act, R.S.B.C. 1996, c. 418.

Investigation order by commission

142(1) The commission may, by order, appoint a person to make an investigation the commission considers expedient(e) for the administration of this Act,

(f) to assist in the administration of the securities laws of another jurisdiction,
(g) in respect of matters relating to trading in securities in British Columbia, or
(h) in respect of matters in British Columbia relating to trading in securities or exchange contracts in another jurisdiction.

(2) In its order, the commission must specify the scope of an investigation to be carried out under subsection (1).

Investigator's power at hearing

144(1) An investigator appointed under section 142 or 147 has the same power

(d) to summon and enforce the attendance of witnesses,
(e) to compel witnesses to give evidence on oath or in any other manner, and
(f) to compel witnesses to produce records and things and classes of records and things

as the Supreme Court has for the trial of civil actions.

(2) The failure or refusal of a witness

(e) to attend,
(f) to take an oath,
(g) to answer questions, or
(h) to produce the records and things or classes of records and things in the custody, possession or control of the witness

makes the witness, on application to the Supreme Court, liable to be committed for contempt as if in breach of an order or judgment of the Supreme Court.

(3) Section 34 of the Evidence Act does not exempt any financial institution, as defined in that section of that Act, or any officer or employee of the institution from the operation of this section.

(4) A witness giving evidence at an investigation conducted under section 142 or 147 may be represented by counsel.

Investigation order by minister

Evidence not to be disclosed 148(1) Without the consent of the commission, a person must not disclose, except to the person's counsel, any information or evidence obtained or the name of any witness examined or sought to be examined under section 143, 144 or 145.

(2) Subsection (1) applies despite any provision of the Freedom of Information and Protection of Privacy Act other than section 44(2) and (3) of that Act.

(3) Subsection (2) does not apply to personal information, as defined in the Freedom of Information and Protection of Privacy Act, that has been in existence for 100 or more years or to other information that has been in existence for 50 or more years.

Note: You are entitled to be paid the same personal allowances for your attendance at the investigation as are paid for the attendance of a witness summoned to attend before the Supreme Court.


Amended June 30, 2000