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Weekly Reports

Updates for the week ending June 24, 2011

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Policies and Instruments

  • BCN 2011/15 - Notice and Request for Comment - Proposed Amendments to National Instrument 31-103 Registration Requirements and Exemptions and Companion Policy 31-103CP Registration Requirements and Exemptions

    On June 22, 2011, the Canadian Securities Administrators published for comment proposed amendments to National Instrument 31-103 Registration Requirements and Exemptions and its companion policy. The proposed amendments are part of the CSA's Client Relationship Model project. They introduce performance reporting requirements and enhance existing cost disclosure requirements. The comment period ends on September 23, 2011.

  • CSA Staff Notice 31-324 - Exempt Market Dealers and Account Statement Requirements in National Instrument 31-103 Registration Requirements and Exemptions

    On June 22, 2011, the Canadian Securities Administrators published CSA Staff Notice 31-324 Exempt Market Dealers and Account Statement Requirements in National Instrument 31-103 Registration Requirements and Exemptions. The notice provides guidance about exempt market dealers' client reporting obligations under NI 31-103. 

  • CSA Consultation Paper 91-402 - Derivatives: Trade Repositories

    The CSA is publishing the paper to obtain public comment on its recommendations for the reporting of OTC derivatives transactions and the operation of trade repositories.  The comment period expires September 12, 2011.

  • BCN 2011/16 - Notice of Repeal and Replacement of National Instrument 43-101 Standards of Disclosure for Mineral Projects

    This notice announces the adoption, effective June 30, 2011, of new versions of National Instrument 43-101 Standards of Disclosure for Mineral Projects, Form 43-101F1 Technical Report and Companion Policy 43-101CP, and related amendments to other rules.

  • BCN 2011-17 - Adoption of BC Instrument 32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities

    The Commission has varied BC Instrument 32-517 Exemption from dealer registration requirement for trades in securities of mortgage investment entities so that it expires on March 31, 2012.

News and Events

  • News release 2011/50 - Canadian Securities Administrators propose enhanced disclosure requirements on investment costs and performance
  • News release 2011/51 - BCSC panel fines man $1.9 million and bans him for 20 years
  • News release 2011/52 - Canadian Securities Administrators seek comments on regulation of over-the-counter derivatives trade reporting and repositories
  • News release 2011/53 - Survey: Work experience and financial literacy programs helping Kelowna-area grads make it in the “real world”

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders