Securities Law

34-201 - Breach of Requirements of Other Jurisdictions [NP]

Published Date: 1998-10-16
Effective Date: 1998-10-16
Rescinded Date: 2009-07-17
Document(s):

Breach of Requirements of Other Jurisdictions - The breach by a registrant or an applicant for registration or reinstatement or renewal of registration of Canadian securities legislation or Canadian securities directions of a jurisdiction, other than the local jurisdiction, or the securities laws, regulations or rules of a foreign jurisdiction or the by-laws, rules, regulations, policies, procedures, or practices of a stock exchange, commodities exchange, commodity futures exchange or other self-regulatory organization applicable to the registrant or applicant, that were adopted for the protection of investors or to foster fair and efficient capital markets and confidence in capital markets, may be considered by the securities regulatory authority to be prejudicial to the public interest and to affect the fitness for registration or continued registration of the applicant or registrant.