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Weekly Reports

Updates for the week ending December 3, 2010

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Policies and Instruments

 

  • 58-306 [CSA Staff Notice] - 2010 Corporate Governance Disclosure Compliance Review

    This CSA notice provides results of the 2010 corporate governance disclosure compliance review and provides guidance on compliance with existing corporate governance disclosure requirements

  • 31-322 [CSA Staff Notice] - Extension of Omnibus/Blanket Order Exempting Mortgage Investment Entities from the Requirement to Register as Investment Fund Managers and Advisers

    This notice describes the extension of the omnibus/blanket order that provides temporary relief from the investment fund manager registration requirement and the adviser registration requirement for persons that are mortgage investment entities.  The original order was issued on August 20, 2010.  The order becomes effective on December 3, 2010 and expires on June 30, 2011.

  • BCN2010/40 - Adoption of BC Instrument 32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities

    This notice describes the order that provides temporary relief from the dealer registration requirement for persons that are mortgage investment entities.  The order becomes effective on January 1, 2011 and expires on June 30, 2011.

 

News and Events

 

  • News Release 2010/83 - BCSC Executive Director’s Bulletin: Securities regulator alleges illegal distributions and breach of order 
  • News Release 2010/85 - Mackie Research Capital pays $225,000 and agrees to an independent review
  • News Release 2010/86 - BC man who contravened securities laws banned for 20 years

 

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

 

 

Cease Trade Orders and Revocations

 (Failure to File)

 

 

Exemption Orders