| 10 |
Failure to file with Superintendent proxy circular, notice of meeting, form of proxy or other documents on time |
156.05(2)(a) (with modifications required, as the case may be, under section 746) |
166.05(2)(a) |
164.04(2)(a) and 789(2)(a) |
160.05(2)(a) |
Minor |
| 27 |
Failure to take precautions to protect records |
244 (with modifications required, as the case may be, under section 598) and 821 |
241 |
267 (with modifications required, as the case may be, under section 649) and 875 |
249 |
Very serious |
| 28 |
Failure to obtain approval of Superintendent for maintaining and processing of information outside Canada or to comply with terms and conditions regarding maintenance and processing of information outside Canada |
245(1) (with modifications required, as the case may be, under section 598) and 822(1) |
242(1) |
268(1) (with modifications required, as the case may be, under section 649) and 876(1) |
250(1) |
Serious |
| 29 |
Failure to inform Superintendent of maintenance of copies of records and further processing of information outside Canada or to provide information required by Superintendent |
245(4) (with modifications required, as the case may be, under section 598) and 822(3) |
242(3) |
268(4) (with modifications required, as the case may be, under section 649) and 876(3) |
250(4) |
Minor |
| 30 |
Failure to comply without delay with a direction to maintain copies of records or further process information in Canada |
245(6) (with modifications required, as the case may be, under section 598) and 822(5) |
242(5) |
268(6) (with modifications required, as the case may be, under section 649) and 876(5) |
250(6) |
Very serious |
| 32 |
Failure to notify Superintendent without delay of designation of member of firm of accountants who will conduct audit |
315(3) and (4), 585(4) and (5) and 847(3) and (4) |
299(3) and (4) |
338(3) and (4) (with modifications required, as the case may be, under subsection 547(1)), 634(3) and (4) and 894(3) and (4) |
320(3) and (4) |
Minor |
| 63 |
Failure to provide Superintendent with required information at the time or in the form specified |
600, 628 and 950 |
431 |
664 and 993 |
495 |
Minor, if the violation relates to information required as part of periodic reports Serious, in any other case |
