THE CORPORATIONS LAW

CHAPTER 7 - SECURITIES

PART 7.3 - PARTICIPANTS IN THE SECURITIES INDUSTRY

Division 3 - Representatives

SECTION 814   COMMISSION MAY REQUIRE PRODUCTION OF AUTHORITY  

814(1)  [Requirement to produce]  

Where the Commission has reason to believe that a person:

(a)  holds a proper authority from a licensee; or

(b)  has done an act as a representative of another person;

then, whether or not the Commission knows who the licensee or other person is, it may require the first-mentioned person to produce:

(c)  any proper authority from a licensee; or

(d)  any invalid securities authority from a person;

that the first-mentioned person holds.

814(2)  [Prohibition on refusal to produce]  

A person shall not, without reasonable excuse, refuse or fail to comply with a requirement under this section.




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