1989 Ed.]
Securities
[CAP. 333
47
(3) For the purposes of subsection (2) “financial journalist" means a person who, in the course of his business or employment, contributes advice concerning securities for publication in a newspaper, magazine, journal, or other periodical publication.
67. Certain persons to maintain registers of securities
(1) A person to whom this Part applies shall maintain a register of the securities in which he has an interest and of the particulars relating to their acquisition and disposal in a manner and form approved by the Commission. (Amended 10 of 1989 s. 65)
(2) Particulars of the securities in which a person to whom this Part applies has an interest and particulars of his 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, he 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.
(4A) Where a person to whom this Part applies is a registered dealer who is a partner in a registered dealing partnership or a registered investment adviser in a registered investment advisers' partnership it shall be sufficient compliance with this section if the register required to be maintained by this section is maintained by the partnership in relation to all the partners of the partnership who are registered dealers or registered investment advisers. (Added 58 of 1985 s. 20)
(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. Certain notices to be given to the Commission
(1) A person to whom this Part applies shall notify in writing to the Commission the place at which he keeps or intends to keep the register of his interests in securities: (Replaced 62 of 1976 s. 19)
(Replaced 62 of 1976 s. 19. Amended 58 of 1985 s. 21)
Provided that where the person to whom this Part applies is a registered dealer who is a partner in a registered dealing partnership or a registered investment adviser in a registered investment advisers' partnership such notice shall...
1989 Ed.]
Securities
[CAP. 333
47
(3) For the purposes of subsection (2) “financial journalist" means a person who, in the course of his business or employment, contributes advice concerning securities for publication in a newspaper, magazine, journal, or other periodical publication.
67. Certain persons to maintain registers of securities
(1) A person to whom this Part applies shall maintain a register of the securities in which he has an interest and of the particulars relating to their acquisition and disposal in a manner and form approved by the Commission. (Amended 10 of 1989 s. 65)
(2) Particulars of the securities in which a person to whom this Part applies has an interest and particulars of his 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, he 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.
(4A) Where a person to whom this Part applies is a registered dealer who is a partner in a registered dealing partnership or a registered investment adviser in a registered investment advisers' partnership it shall be sufficient compliance with this section if the register required to be maintained by this section is maintained by the partnership in relation to all the partners of the partnership who are registered dealers or registered investment advisers. (Added 58 of 1985 s. 20)
(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. Certain notices to be given to the Commission
(1) A person to whom this Part applies shall notify in writing to the Commission the place at which he keeps or intends to keep the register of his interests in securities: (Replaced 62 of 1976 s. 19.
(Replaced 62 of 1976 s. 19. Amended 58 of 1985 s. 21)
Provided that where the person to whom this Part applies is a registered dealer who is a partner in a registered dealing partnership or a registered investment adviser in a registered investment advisers' partnership such notice
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