New Securities Law

for

Investment Advisers

and

Market Participants

New Securities Law for
Investment Advisers and Market Participants
2008

Investment Advisers and Investment Brokers

Index to this chapter

• Introduction
• Important principles
  • Who is an investment adviser?
  • What is investment advice?
  • Who is a member of the public?
  • When is an investor not a member of the public?
  • What investments are covered?
  • Who is an investment broker?
• Disclosure obligations of investment advisers and investment brokers
  • When do disclosure obligations apply?
  • When and how must an adviser or broker disclose?
  • What are the requirements of a disclosure statement?
  • What must an adviser disclose in a disclosure statement?
  • What must an adviser disclose about experience and qualifications?
  • What must an adviser disclose about criminal convictions?
  • What must an adviser disclose about fees?
  • What must an adviser disclose about other interests and relationships?
  • When must an adviser disclose fees and remuneration?
  • What must an adviser disclose about the investments the adviser gives advice on?
  • What must a broker disclose in a disclosure statement?
  • What must a broker disclose about criminal convictions?
  • What must a broker disclose about procedures for dealing with investment money and investment property?
  • Disclosure must not be misleading
  • Other information
  • Disclosure statement must be kept up-to-date
• Advertisements by investment advisers and investment brokers
• Offers of securities must comply with the law
• Enforcement and remedies
  • Prohibition orders
  • Corrective orders
  • Disclosure orders
  • Temporary banning orders
  • Procedure for making orders
  • Criminal offences
  • Court orders and injunctions
  • Civil remedies
  • Banning orders
• Glossary

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