Skip to Main Content

Securities

print small medium large 

HOME / LINK PAGES / DELEGATION ORDERS /


11-501

Securities Act

R.S.P.E.I. 1988, Cap-S-3.1

Document Type: Delegation Order

Document No: 11-501

Subject: Delegation of Powers, Functions and Duties to Steven Dowling, General Counsel

Effective Date: February 10, 2015


DELEGATION ORDER 11-501

Delegation of Powers, Functions and Duties to Steven Dowling, General Counsel


PART 1  DEFINITIONS

1.1 In this Order:

“Act” means the Securities Act R.S.P.E.I. 1988, Cap-S-3.1;

“Department” means the Department of Environment, Labour and Justice;

“Steven Dowling” means Steven Douglas Dowling, General Counsel of the Consumer, Labour and Financial Services Division of the Department.

PART 2  DELEGATION

2.1 Section 14 of the Act provides that the Superintendent may delegate to an employee of the Department any of the powers, functions or duties of the Superintendent except the power to delegate and the power to recommend that the Minister make, repeal or amend a rule.

2.2 The Superintendent hereby delegates to Steven Dowling the powers, functions and duties set out in the following provisions of the Act:

(a) Designation orders - section 6;

(b) Exemption orders -section 16;

(c) Cease trade orders for failing to file periodic disclosure as required - section 59;

(d) Designation orders requiring recognition - section 71;

(e) Recognition orders - section 72;

(f) Acceptance of voluntary surrender of recognition - section 73;

(g) Authorization orders - section 76;

(h) Decisions with respect to recognized entities - section 80;

(i) Granting registration, reinstatement or amendment of registration and the imposition of terms, conditions, restrictions or requirements on registration - section 89;

(j) Acceptance of surrender of registration or suspension, imposition of terms, conditions, restrictions or requirements on the registration - section 91;

(k) Suspension or termination of registration - section 92;

(l) Waiting period cease trade orders - section 98;

(m) Advertising and sales literature delivery orders - section 159.

PART 3  EFFECTIVE DATE

3.1 This Order comes into force on February 21, 2015.

back to top