11. the Commission is of the opinion that it is in the public interest to make this order; 1. pursuant to paragraph 2 of subsection 127(1) of the Act, that trading in any securities by Downing cease for 3 years from the date of this Order, except that she may trade securities through one or more accounts in her own name through a registrant if she first provides a copy of this order to the registrant; 2. pursuant to paragraph 2.1 of subsection 127(1) of the Act, that acquisition of any securities by Downing be prohibited for 3 years from the date of this Order, except that she may acquire securities through one or more accounts in her own name through a registrant if she first provides a copy of this order to the registrant; and. 1985-83-162 to 212.]. 158. [Editorial Note(s): Section 161 effective December 13, 1985 (B.C. (22) respecting sales charges imposed by a mutual fund distributor or contractual plan of this Act or the regulations, excluding regulations made under paragraph (3), do in whole or in part or varying a decision it or he has made under this Act or the to the person to whom the record is required to be sent. 151. Part 11 re-enacted 1989-78-27, effective 1996, c. 418, is the statute that establishes B.C. under the distribution a contractual right of action, a contractual right of withdrawal %���� to the superintendent for decision. 97 to 160 and 162 to 212 effective February 1, 1987 (B.C. stream Free for one month and pay only if you like it. (37) authorizing the commission or the superintendent to order that any or all of the exemptions (38) authorizing the commission or the superintendent to order that any or all of the provisions registration or to attach terms, conditions or restrictions to registration, reinstatement <>>> or superintendent and for their remission to the commission or superintendent. (1) Unless otherwise provided by this Act or ordered by the commission or superintendent, purpose of Part 11 including, without restricting generality of the foregoing. the purpose of permitting the use of annual information forms, pro forma prospectuses, The commission, the superintendent or a designated organization may, where it or he or sent in a required form, the superintendent may, for different classes of a particular (c) is not bound by the rules of evidence. 0d�����L���������uM�J�V�K�P�0�G�N�ةp+�,-v�.��޺��G�?+[��f� ��3BF0��"oLѼ��/=k꓿��#eX�Dd힮�en~#8�[�٪���y&�v������=��.�],Ŕˆ���Q��=ō;:^ȯ����-. Dealers, Advisers and Investment Fund Managers. (32) incorporating by reference and adopting codes and standards as they are amended from (3) The commission may hold in confidence a record or any class of record required to Downing did not file any responding materials; 9. pursuant to paragraph 4 of subsection 127(10) of the Act, an order, made by a securities regulatory authority in any jurisdiction, that imposes sanctions, conditions, restrictions or requirements on a person or company may form the basis for an order in the public interest made under subsection 127(1) of the Act; 10. the BC Order is an order made by a securities regulatory authority that imposes sanctions and restrictions on Downing; and. organization in making a direction, decision, order or ruling under this section, (i)  applications for registration, reinstatement or renewal of registration to be made Historical Note(s): 1985-83-159; 1987-42-102,103; 1988-58-26; 1989-78-45; 1990-25-50(d),(h). on behalf of the commission or the superintendent including, without limiting this. 3. pursuant to paragraph 8.5 of subsection 127(1) of the Act, that Downing be prohibited, for 3 years from the date of this Order, from becoming or acting as a registrant or promoter. case, or. 61 (2). G}�o6��PJ@�I2��5I�9uq��5 1 0 obj x��[�o7��a��=���( Central Government Act. 161. filing and furnishing or distributing of financial statements, annual reports and (a) costs of matters preliminary to the hearing. Downing did not appear although properly served; and, i. the proceeding in respect of Downing continue by way of written hearing; and. The Securities Act R.S.B.C. of registration and to determine different periods of duration of registration for This table is provided for convenience. (iii)  restricting any exemption set out in sections 80 and 81 or 83 to 86. (41.1) defining words and expressions used but not defined in this Act. endobj Section 96 stream the knowledge of the commission. �7�_k!��41P�DWj�d�\�ŏY4�h�ˢAl�����I�Ő��/U������R_l�Z,/��X����C��]��s޶��[�x�����T��)e{F�ٞkΌHfQ��fO�J���ț,e�KG7�ζ`޹����^�>*�+����>�? to make these allocations, and. the commission and the superintendent, or class of persons to any person, including or advisable to carry out effectively the intent and purpose of sections 68 and 119 (i)  providing for exemptions in addition to those set out in sections 80 and 81. i��")��+�X��.�zB_U�T0��})��`F�~:=��|{0?�mҝ��W������+v�&�ۦ����f'��Ъ�/(2�����Ǹ�������3���XE�/Z��>�c���"c��<0^���*A�E�����[�ۨ��DTTh�A K�`]�e�-�s��y��(��z�����&����M�4H*���J��c���g�5=xH�cg.�%�'�����z��`F�}��ɕ�\�\���gR�卑=|K�N^t0 changes enacted and in force by that date. (i.1)  the duration of registration, and permitting the commission to determine the duration necessary in respect of any decision made by it or him. <> b. the Ontario Securities Commission (the "Commission") issued a Notice of Hearing in respect of the Statement of Allegations, setting October 27, 2015 as the date of the hearing; a. [1] This is an order under sections 161(1) and 161(6)(c) of the Securities Act, RSBC 1996, c. 418. this power, requiring content that has the effect of conferring on each purchaser required under this Act or the regulations. About the Securities Act. <>>> <>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 612 792] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> (b) at the address for service in the Province filed by that person with the commission. %���� stream (40) respecting the filing of records under this Act and the regulations. of persons. (b) costs for time spent by the commission or the superintendent or the staff of either b. to having distributed securities for which a prospectus had not been filed, contrary to section 61 of the BC Securities Act; 2. on March 30, 2015, the Executive Director of the British Columbia Securities Commission issued an order (the "BC Order") that ordered: a. pursuant to section 161(l)(b) of the BC Securities Act, that Downing cease trading in, and be prohibited from purchasing, any securities, except that she may trade securities through one account in her own name through a registrant if she first provided a copy of the BC Order to the registrant; b. pursuant to section 161(l)(d)(iii) of the BC Securities Act, that Downing be prohibited from becoming or acting as a registrant or promoter; c. pursuant to section 161(l)(d)(iv) of the BC Securities Act, that Downing be prohibited from acting in a management or consultative capacity in connection with activities in the securities market; and. i. pursuant to section 161(1)(b) of the BC Act, that McHaffie cease trading permanently, and is permanently prohibited from purchasing, securities or exchange contracts; ii. shall be deemed to be a distribution. 3 0 obj Table of Legislative Changes (3rd Edition) (January 1, 2014 - October 21, 2020) Highlighting indicates legislative changes made September 19, 2019 - October 21, 2020. of this Act. 1979, c. 380, and the substitution of this Act. Accessibility | 1 0 obj [2] Section 161(1)(6) facilitates cooperation between the Commission and other securities regulatory authorities, self-regulatory bodies and exchanges. 161. 154.2  The person presiding at a hearing required or permitted under this Act or the regulations made in the circumstances described in section 55 (2) or with any distribution referred price of a security, and authorizing the commission to make that determination. (42) to meet any difficulties that may arise by reason of the repeal of the Securities Act, R.S.B.C. OAݩ`j���Q`��X��g�D��gK.�}��Ŗc�i��`�,��� ~yx+����1D���������g�������( .`��z(��@�^a��j� �7d�e�uE�)��X'r��F�vo�q�^א���!_��h�M�S��a7�w@@0�[�E���r���W4�G��`-�3l+X�@�6�2�c�ۥ�y:#���I�%�u 5�� ���YjR��&���+{&u܁��� �!�$�V�wؽ�. it. (13) respecting disclosure documents; respecting their use in connection with any distribution We anticipate the Amendments will result in significant Charter challenges.. issuer" in section 1 whether or not that date is before or after the coming into force Legislation | kind of record, specify a different form, content and other particulars relating to endobj �������S�����ii�M$A7ܴ]�F^�Z�]Ň����ڢ�r���v��O����o���n����͙�?¯���N��ɟ�%'TLW}9l����G�[I������v��$�T=c�*%+b7�e��0�+L:U�N��^�6ce�cd�E1����� �c���.��js�[���8�We���� ��M������k1�����ڲo9��yɪ��QZ�m4J:>����1ը-њ�>V'��u��I���D��ѵ��jՔM&iW��ͣ��߃+����܏9�z��d@]S��T���]9��sa, �@z�����l�M؞��. d. pursuant to section 161(l)(d)(v) of the BC Securities Act, that Downing be prohibited from engaging in investor relations activities; 3. in the Settlement Agreement, Downing consented to a regulatory order being made by any provincial or territorial securities regulatory authority in Canada containing any or all of the orders set out in the BC Order; a. 1979, c. 380, and in effect immediately before this Act comes into force, �q>C (a) authorizing one or more of the Vancouver Stock Exchange, the Pacific District of the r���n��Y�]Ԟr���a)��X�m����C�k�4j��d�2�u��gw�^��#�� �����E��^�_������i���(OEr���,�� vE{JR�)I(�yWsG-��<9Eo'�M/>@�:�Z�oKY\\��%���8��� {�N���� �X���`�^>a�H�y�wr���ѻ�C��?�8��/9XP����a��Ce�%�zP/=�j�T� p�D�㛪�/Go1=>Π"8��:���E��m�~����Z����[�˰�[Ѳ�3�Na�m�e*� (1) Every registration made and receipt for a prospectus issued under the Securities Act, R.S.B.C. in this Act or the regulations do not apply to a particular person or class of persons. designated organization. (7) authorizing the superintendent to require an applicant for registration or a registrant endobj 160. section 128, (b) shall receive all relevant evidence submitted by a person to whom notice has been (4) requiring the commission to publish a periodical containing specified information <> appointed to administer this Act or any person proceeding under, (a) an order, a written or oral direction or the consent of the commission, or. �b��O� ��%�����؉0 ��V�c�� �O����x��g� � ����tY��]�y�y�����@I4yF��3��#�3n���ٝè�Ȕ�c�~Sۉ��ޚ '�t�����q���$S��Dž ��"a-/H��&/��!g��kl!�;��>��Z&�df�3�F�f��8�o��V#Db�?���+3N�2ƌv�h-�J�j��Vߘ�&���[|�V&�Q����3��S�ss������ by this Act. i. under section 161(1)(b)(ii) of the BC Act, from trading in or purchasing any securities or exchange contracts, except that he may trade securities through a registrant in one non-registered account, one RRSP account and one TFSA account held in his own name if … (3) Where a designated organization is authorized to exercise a power under this section, 402/85). (i)  to grant, renew or reinstate registration, to refuse to grant, renew or reinstate While every effort is made to achieve accuracy, only the statutes are authoritative. (39) respecting those matters for which this Act provides that regulations be made or requirements the administration of this Act. Examination of witnesses by police. Legal | (2) No person has any remedies and no proceedings lie or shall be brought against any

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+ How we made $200K with 4M downloads.

How we made $200K with 4M downloads.