Weekly Reports
Updates for the week ending April 1, 2011
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Policies and Instruments
- BCN 2011/04 - Notice and Request for Comments - Proposed National Instrument 41-103 Supplementary Prospectus Disclosure Requirements for Securitized Products, Proposed National Instrument 51-106 Continuous Disclosure Requirements for Securitized Products, Proposed Amendments to National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, National Instrument 45-106 Prospectus and Registration Exemptions, National Instrument 45-102 Resale of Securities, and Proposed Consequential Amendments
This notice publishes for comment proposed National Instrument 41-103 Supplementary Prospectus Disclosure Requirements for Securitized Products, proposed National Instrument 51-106 Continuous Disclosure Requirements for Securitized Products, proposed amendments to National Instrument 45-106 Prospectus and Registration Exemptions, related forms, and other proposed amendments.
The proposed new rules would enhance disclosure requirements for securitized products offered publicly and in the exempt market, and narrow the class of investors eligible to purchase securitized products under exemptions. The comment period ends on July 1, 2011.
The Canadian Securities Administrators (CSA) today released the report on the first oversight review of the performance of the Investment Industry Regulatory Organization of Canada (IIROC), the self-regulatory body that regulates investment dealers and trading activity on debt and equity marketplaces in Canada.
News and Events
- News release 2011/24 - B.C. man previously convicted for involvement in Ponzi scheme banned 25 years for running illegal phone room
- News release 2011/25 - CSA, IIROC and MFDA launch expanded disciplined persons list
- News release 2011/26 - Canadian securities regulators propose enhanced oversight of securitized products
- News release 2011/27 - Canadian securities regulators release oversight review of IIROC
- News release 2011/28 - Commission overturns IIROC panel decision that Victoria broker contravened IIROC rules
Decisions, Settlements, Hearings, and Temporary Orders
(Enforcement)
- Frederick Johnathon Nielsen - Order and Settlement Agreement
- Frederick Johnathon Nielsen - Notice of Discontinuance
- SFCS Capital (Canada) Corp. and Robert John Alexander Stitt - Hearing notice – Extension of Temporary Order
- Brookmount Explorations Inc., Peter John Flueck and Zafer Erick Sungur - Hearing notice – hearing dates
- Great White Capital Corp. and Adam Keller - Hearing notice – hearing date
- Jo Ann Nuttall - Hearing notice - adjournment
- Kunekt Corporation and Mark Bruk - Hearing notice – Extension of Temporary Order and Adjournment
- Carolann Steinhoff, Investment Industry Regulatory Organization of Canada - Decision
Cease Trade Orders and Revocations
(Failure to File)
- CelLynx Group, Inc. - Cease Trade Order
- Bryan Nethery, John Detmold and Frontera Copper Corporation - Cease Trade Order
Exemption Orders
- Franco-Nevada Corporation, Gold Wheaton Gold Corp., 0901490 B.C. Ltd., and Franco-Nevada GLW Holdings Corp. - Decision
- Valley High Ventures Ltd. - Decision