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Weekly Reports

Updates for the week ending June 25, 2010

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Policies and Instruments

  • CSA Staff Notice 23-309 - Frequently Asked Questions about the Order Protection Rule and Intentionally Locked or Crossed Markets - Part 6 of National Instrumebt 23-101 and Related Companion Policy

    This CSA staff notice answers some frequently asked questions about the order protection rule, which will come into effect in 2011, and the prohibition against intentionally locking or crossing markets, which is in effect now.

  • BCN 2010/20 - Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions, Companion Policy 31-103CP Registration Requirements and Exemptions, National Instrument 33-109 Registration Information, Companion Policy 33-109 Registration Information

    This notice publishes for comment proposed amendments to National Instrument 31-103 Registration Requirements and Exemptions, National Instrument 33-109 Registration Information, their companion policies and certain related forms. The proposed changes reflect the results of industry consultation and our experience working with the registration rule since its adoption in September 2009. They aim to enhance investor protection and improve the day-to-day operation of the instrument for both industry and regulators. The comment period is 90 days and ends on September 30, 2010.

  • BCN 2010/21 - Notice of Proposed Amendments to National Instrument 81-102 Mutual Funds and to National Instrument 81-106 Investment Fund Continuous Disclosure and Related Consequential Amendments

    This notice requests comments on proposed amendments to National Instrument 81-102 Mutual Funds, National Instrument 81-106 Investment Fund Continuous Disclosure and related consequential amendments. The proposed amendments would codify discretionary exemptions, create new operational requirements, improve transparency of information about mutual funds and remove obsolete provisions. The comment period ends on September 24, 2010.

  • Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records)

    The Commission is publishing for comment for 90 days the proposed new MFDA Rule 2.4.4 (Transaction Fees and Charges) and amendments to MFDA Rule 5.1 (Requirement for Records). The comment period expires on September 23, 2010. Details on the process for submitting comments are included in Section V of the MFDA's notice.

  • Proposed amendments to MFDA rule 3.3.2 (Segregation of Client Property - Cash)

    The Commission is publishing for comment for 91 days the proposed amendments to MFDA Rule 3.3.2 (Segregation of Client Property - Cash) and Policy No. 4 - Internal Control Policy Statements. The comment period expires on September 24, 2010. Details on the process for submitting comments are included in Section V of the MFDA's notice.

News and Events

  • News Release 2010/40 - Canadian securities regulators seek comment on proposed changes to registration rules for dealers, advisers and investment fund managers [CSA]
  • News Release 2010/41 - Canadian securities regulators propose amendments to mutual fund rules [CSA]
  • News Release 2010/42 - BCSC panel sanctions technology company and director for illegal trading

Decisions, Settlements, Hearings, and Temporary Orders

(Enforcement)

Cease Trade Orders and Revocations

(Failure to File)

Exemption Orders