8103. Investigation powers

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    1. In connection with an investigation, Enforcement Staff may, by written or electronic request, require a Regulated Person, an employee, partner, director or officer of a Regulated Person, an approved investor, or, where authorized by law, another person to: 

      1. provide a written report with respect to any matter,

      2. produce for inspection any records and documents in the person’s possession or control that Enforcement Staff believe may be relevant to the investigation, whether written, electronically stored or recorded,
      3. provide copies of any such records and documents in the manner and form, including electronically and recorded, that Enforcement Staff requests, and
      4. attend and answer questions under oath or otherwise, and any such attendance may be transcribed, recorded electronically, audio-recorded or video-recorded, as Enforcement Staff determines.
    2. If Enforcement Staff requires production of original documents in a request made under subsection 8103(1), they must provide a receipt for any original documents received.
    3. In connection with an investigation, Enforcement Staff:
      1. may, with or without prior notice, enter the business location of any Regulated Person during business hours, 
      2. are entitled to free access to and to make and keep copies of all books of account, securities, cash, documents, bank accounts, vouchers, correspondence and records of every description that Enforcement Staff believe may be relevant to the investigation, including by taking an image of the computer hard drives of the Regulated Person, and
      3. may remove the original of any document or record obtained under clause 8103(3)(ii), and where an original document or record is removed from the premises, Enforcement Staff must provide a receipt for the removed document or record.

    There is no history log for this rule.

    There is no history log for this rule.