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Weekly Reports

Updates for the week ending January 21, 2011

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Policies and Instruments

  • Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report
    This Notice announces that the BCSC has not objected to the MFDA's proposed amendment to its Rule 3.1.1 (Capital - Minimum Levels) and Form 1 - Financial Questionnaire and Report. The amendments are intended to:
    • harmonize the MFDA's minimum capital requirements with those under National Instrument 31-103 - Registration Requirements and Exemptions; and
    • align financial reporting required under Form 1 with International Financial Reporting Standards.

    The amendments are subject to the condition that the MFDA submit a proposed definition of "market value" of securities for Form 1 purposes to the recognizing regulators for review by March 31, 2011.

    The BCSC published the amendments for comment on its website on August 31, 2010. The MFDA received one comment on the proposal. We attach a copy of the summary and MFDA response, as well as a blacklined copy of the amendments showing the changes to the version of Form 1 that was published in August 2010.

  • 13-315 Securities Regulatory Authority Closed Dates 2011* [CSA Staff Notice]
    This CSA staff notice advises issuers of the dates the securities regulatory authorities in jurisdictions across Canada are closed.

News and Events

Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)

  • No new documents

Cease Trade Orders and Revocations (Failure to File)

Exemption Orders

  • No new documents