Private Shares Transfer (OSC)

Corporations Act, R.S.O. 1990, c. C.38

40 (1) The shares of a company are transferable on the books of the company subject to such conditions and restrictions as this Act, the special Act, the letters patent or supplementary letters patent prescribe.

43 (1) The register of shareholders and the register of transfers shall be kept at the head office of the company or at such other office or place in Ontario as is appointed by resolution of the directors, and the branch register or registers of shareholders and the branch register or registers of transfers may be kept at such office or offices of the company or other place or places, either in or outside Ontario, as are appointed by resolution of the directors.

(4) Particulars of every transfer of shares registered in every branch register of transfers shall be recorded in the register of transfers.

Securities Act, R.S.O. 1990, c. S.5

36 (1) Subject to the regulations, every registered dealer who has acted as principal or agent in connection with the purchase or sale of a security or derivative shall promptly send by ordinary letter mail or deliver to the customer a written confirmation of the transaction containing the information required by the regulations. 2010, c. 26, Sched. 18, s. 23.

(2) Every person or company that has acted as an agent in connection with the purchase or sale of a security or derivative shall promptly disclose to the Commission, on receipt of a written request from the Commission, the name of every person or company from, to or through whom the security or derivative was bought or sold. 2010, c. 26, Sched. 18, s. 23.