Weekly Reports
Updates for the week ending July 8, 2011
The list below will link directly to documents on the BCSC website. Please use your browser's BACK button to return to this page.
Policies and Instruments
- CSA Staff Notice 31-325 - Marketing Practices of Portfolio Managers
On July 5, 2011 the Canadian Securities Administrators published CSA Notice 31-325 Marketing Practices of Portfolio Managers. The notice summarizes the CSA's recent review of portfolio managers' marketing practices and provides guidance on the preparation, review and use of marketing materials by portfolio managers and other registrants. - BCN 2011/18 - Adoption of Amendments to National Instrument 31-103 Registration Requirements and Exemptions and Amendments to National Instrument 33-109 Registration Information
This BC Notice announces the adoption, effective July 11, 2011, of amendments to National Instrument 31-103 Registration Requirements and Exemptions, related forms and Companion Policy 31-103CP and amendments to National Instrument 33-109 Registration Information, related forms and Companion Policy 33-109CP. - TSX-V Request for Comment (link no longer operational) – Amendments to TSX Venture Exchange Rules Regarding Prioritization of Non-Displayed Orders (Dark Orders) that have a Minimum Quantity Condition
The Commission is publishing for comment for 30 days (until August 8, 2011) proposed amendments to the TSX Venture Exchange Inc.’s rules to prioritize dark orders that meet minimum quantity conditions. - MFDA - Request for Comment: Proposed amendments to MFDA Rule 2.2.1 (Know-Your Client) and MFDA Policy No. 2 (Minimum Standards for Account Supervision)
The BCSC is publishing for a 90 day comment proposed amendments to MFDA Rule 2.2.1 (Know-Your-Client) and MFDA Policy No. 2 (Minimum Standards for Account Supervision). Section V of the MFDA's notice sets out the process for submitting comments. - MFDA - Notice of BCSC revocation of non-objection to proposed amendments to MFDA Rule 1.2.1(d)(vii)(A) - Dual Occupations - Financial Planning
This Notice announces that the BCSC revoked its non-objection to the MFDA's proposed public interest amendments to Rule 1.2.1(d)(vii)(A) - Dual Occupations - Financial Planning (now Rule 1.2.1(c)(vii)(A)).
News and Events
- News release 2011/57 - Canadian Securities Administrators publish guidance on marketing practices of portfolio managers
- News release 2011/58 - Couple arrested following BCSC investigation
Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)
- VerifySmart Corp. (formerly known as Verified Capital Corp.), Verified Transactions Corp., Daniel Scammell and Casper de Beer aka Casha de Beer - Amended Notice of Hearing
Cease Trade Orders and Revocations (Failure to File)
- Ambrilia Biopharma Inc. - Cease Trade Order
- Genesis WorldWide Inc. and Kasten Energy Inc - Cease Trade Order
- Delta Uranium Inc. - Cease Trade Order
- PetroGlobe Inc. and Stonepoint Global Brands Inc. - Cease Trade Order
- OutdoorPartner Media Corporation and Vanity Capital Inc. - Cease Trade Order
- BENZAI CAPITAL CORP. - Revocation Order
Exemption Orders
- RCG Capital Inc. - Decision