Marginal note:Definitions
164 The definitions in this section apply in this Division.
registrant
courtier agréé
registrant means a securities broker or dealer required to be registered to trade or deal in securities under the laws of any jurisdiction. (courtier agréé)
solicit or solicitation
sollicitation
solicit or solicitation includes
(a) a request for a proxy, whether or not accompanied by or included in a form of proxy,
(b) a request to execute or not to execute a form of proxy or to revoke a proxy,
(c) the sending of a form of proxy or other communication to a shareholder or policyholder under circumstances reasonably calculated to result in the procurement, withholding or revocation of a proxy, and
(d) the sending of a form of proxy to a shareholder or a policyholder under section 164.03,
but does not include
(e) the sending of a form of proxy in response to an unsolicited request made by or on behalf of a shareholder or policyholder,
(f) the performance of administrative acts or professional services on behalf of a person soliciting a proxy,
(g) the sending by a registrant of the documents referred to in section 164.06, or
(h) a solicitation by a person in respect of shares of which that person is the beneficial owner. (sollicitation)
solicitation by or on behalf of the management of a company
sollicitation effectuée par la direction d’une société ou pour son compte
solicitation by or on behalf of the management of a company means a solicitation by any person pursuant to a resolution or instruction of, or with the acquiescence of, the directors or a committee of the directors of the company. (sollicitation effectuée par la direction d’une société ou pour son compte)
- 1991, c. 47, s. 164
- 1997, c. 15, s. 197
- Date modified: