Publication
of names of registered dealers, etc.
Application
of Part VII.
54
tive and such other particulars as may be prescribed by regulations in relation to registered dealers' representa- tives; and
(d) a register of investment representatives in which shall be entered the name of every registered investment representative and such other particulars as may be prescribed by regulations in relation to registered invest- ment representatives.
(2) The registers kept under this section and, after registra- tion or renewal of registration, as the case may be, all applications made for registration or renewal of registration under this Part shall, during such hours as may be prescribed and on payment of any fee prescribed by regulations, be open to inspection by members of the public.
(3) A copy of any extract of or entry in the registers kept under this section, purporting to be certified by the Commis- sioner, shall be admissible as evidence in any legal proceedings, whether under this Ordinance or otherwise.
65. (1) The Commissioner shall cause to be published in the Gazette, al such times and in such manner as he thinks proper, the names and addresses of all persons who are registered under this Part, and also-
(a) in relation to any such person who is not a corporation, his nationality or, as the case may be, that he has no nationality; or
(b) in relation to any such person which is a corporation, the country where the corporation is domiciled or under the law of which the corporation is incorporated.
(2) The information required by subsection (1) shall be published at least once each year.
(3) If the Commissioner at any time amends any of the registers kept by him under this Part by adding or removing the name of any person, he shall cause particulars of the amend- ment to be published in the Gazette within one month after making the amendment.
PART VII
RECORDS
66. (1) This Part applies to and in relation to (a) a person who is
(i) a dealer;
55
(ii) a dealer's representative;
(iii) an investment adviser; or
(iv) an investment representative; and
(b) securities listed on a stock exchange and any other securities of a class prescribed in regulations for the purposes of this subsection.
(2) The Governor in Council may, by order, apply any of the provisions of this Part, with such modifications and additions as he thinks fit, to financial journalists.
(3) For the purposes of subsection (2) “financial journalistTM means a person who, in the course of his business or employ- ment, contributes advice concerning securities for publication in a newspaper, magazine, journal, or other periodical publication.
maintain
67. (1) A person to whom this Part applies shall maintain Certain a register of the securities in which he has an interest and of persons to the particulars relating to their acquisition and disposal in a registers of manner and form approved by the Commissioner,
(2) Particulars of the securities in which a person to whom this Part applies has an interest and particulars of bis interest in those securities shall be entered by that person in the register within 14 days after he becomes aware of the acquisition of the interest or after the commencement of this section, whichever is the later.
(3) Where there is a change (not being a change prescribed by regulations) in the interest or interests in securities of a person to whom this Part applies, be shall, within 14 days after he becomes aware of the change, enter in the register full particulars of the change, including the date when the change occurred and the circumstances by reason of which the change occurred,
(4) For the purposes of this section, where a person acquires or disposes of securities there shall be deemed to be a change in the interest or interests of that person.
(5) A person who contravenes any provision of this section that is applicable to him shall be guilty of an offence and shall be liable on conviction to a fine of $5,000.
68. (1) A person to whom this Part applies shall give notice to the Commissioner in the form, and containing the particulars prescribed by regulations, including the place at which he will keep the register of his interests in securities.
securities.
Certain notices to be given to the Com- missioner,
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