31Notice to produce books about securities

31 Notice to produce books about securities

(1) The Commission may give to: (a) a securities exchange; (b) a member of the board of a securities exchange; (c) a person who is or has been (either alone or together with any other person or persons) a dealer, an investment adviser or a securities representative of a person; (d) a nominee controlled by a person of a kind referred to in paragraph (c) or jointly controlled by 2 or more persons at least one of whom is such a person; (e) an eligible person in relation to a person of a kind referred to in paragraph (a), (b), (c) or (d); or (f) any other person who, in the Commission’s opinion, has been a party to a dealing in securities; a written notice requiring the production to a specified member or staff member, at a specified place and time, of specified books relating to: (g) the business or affairs of a securities exchange; (h) a dealing in securities; (j) advice given, or an analysis or report issued or published, about securities; (k) the character or financial position of, or a business carried on by, a person of a kind referred to in paragraph (c) or (d); or (m) an audit of, or a report of an auditor about, a dealing in securities or accounts or records of a dealer or investment adviser. (2) A reference in subsection (1) to a dealing in securities, or to a business carried on by a person, includes a reference to a dealing in securities by a person as a trustee, or to a business carried on by a person as a trustee, as the case may be.