BILL NO. 85
3rd Session, 63rd General Assembly
70 Elizabeth II, 2021
CHAPTER 17 OF THE ACTS OF 2021
The Honourable Labi Kousoulis
Minister responsible for the Securities Act
First Reading: April 6, 2021 (LINK TO BILL AS INTRODUCED)
Second Reading: April 7, 2021
Third Reading: April 15, 2021
Royal Assent: April 19, 2021
- 29EB A person or company that gives an undertaking in writing, including by electronic means, to the Commission or Director shall comply with the undertaking.
29EC (1) A person or company shall not and shall not attempt to withhold, conceal or destroy any information, document, record or thing that is reasonably required for a hearing, an opportunity to be heard, a review, an investigation, an examination or an inspection under Nova Scotia securities laws, if the person or company knows or reasonably ought to know that the hearing, opportunity to be heard, review, investigation, examination or inspection is being, or is likely to be, conducted.
- 132C No person or company shall do or omit to do anything the person or company knows or reasonably ought to know aids, abets or counsels any other person or company to contravene Nova Scotia securities laws.
- 148A (1) A person or company shall not take any measure of reprisal against another person, or counsel or direct that any measure of reprisal be taken against another person, solely by reason that the other person has, in good faith,
(c) co-operated with a review, investigation, examination or inspection under this Act, in relation to criminal law relating to securities or derivatives, or under the by-laws or similar instruments of a recognized self-regulatory organization.
(2) For the purpose of subsection (1), a measure of reprisal is any measure taken against a person that adversely affects the person's employment or contract for services, and includes but is not limited to
(4) Subsection (1) does not limit a person's right to any other remedy that the person may have, including, in the case of an employee, the employee's right to a remedy available to the employee under a collective agreement or contract.
- (iv) requirements that any person or company registered under this Act use specified titles,
- (A) requirements with respect to participation in a dispute-resolution process, including a dispute-resolution process by a complaint-resolution service,
(viii) requirements with respect to systems of control and supervision, including requirements respecting the appointment and registration of individuals responsible for those systems, and the responsibilities of those individuals, and
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