Weekly Reports
Updates for the week ending July 15, 2011
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Policies and Instruments
- CSA Staff Notice 51-334 - Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2011
On July 15, 2011 the Canadian Securities Administrators published CSA Staff Notice 51-334 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2011. This notice is designed to help issuers understand and comply with their obligations, summarizes results of the CD review program, and provides examples of areas of common deficiencies. - BCN 2011/19 - Notice and Request for Comment – Proposed Amendments to National Instrument 41-101 General Prospectus Requirements, and its companion policy, National Instrument 44-101 Short Form Prospectus Distributions, and its companion policy, National Instrument 44-102 Shelf Distributions, and its companion policy, National Instrument 81-101 Mutual Fund Prospectus Disclosure, and related consequential amendments
This notice publishes for comment proposed amendments to National Instrument 41-101 General Prospectus Requirements, National Instrument 44-101 Short Form Prospectus Distributions, National Instrument 44-102 Shelf Distributions, National Instrument 81-101 Mutual Fund Prospectus Disclosure, related companion policies, and other proposed consequential amendments. The comment period ends on October 14, 2011. - CSA Staff Notice 31-326 - Other Business Activities
CSA Staff Notice 31-326, published July 15, 2011, reminds registrant of their obligation to ensure outside business activities do not impair or impede the performance of their regulatory obligations, including compliance with the conflicts of interest provisions under National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations.
News and Events
- News release 2011/59 - BCSC panels issue reciprocal orders against 10 people
- News release 2011/60 - Canadian Securities Regulators announce results of continuous disclosure reviews for fiscal 2011
- News release 2011/61 - Canadian securities regulators seek comment on proposed amendments to prospectus rules
- News release 2011/62 - BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing seeking orders against two B.C. residents for insider trading
Decisions, Settlements, Hearings, and Temporary Orders
(Enforcement)- David C. Campbell, Abel Da Silva and Julian M. Sylvester - Reciprocal Order
- Claudio Fernando Maya - Reciprocal Order
- Robert John Harris - Reciprocal Order
- Timothy Kwan - Reciprocal Order
- Alan S. Price - Reciprocal Order
- Rod Woodward - Reciprocal Order
- Gurdip Singh Gahunia also known as Michael Gahunia - Reciprocal Order
- Ravinder Tulsiani - Reciprocal Order
- Ajit Singh Basi - Hearing notice – hearing date
- David Charles Greenway and Kjeld Werbes - Notice of Hearing
- Ross Stanfield, Bul River Mineral Corporation and Gallowai Metal Mining Corporation - Variation Order
Cease Trade Orders and Revocations
(Failure to File)- Sense Technologies Inc. - Cease Trade Order
- Vanity Capital Inc. - Revocation Order
- Can-Cal Resources Ltd. - Cease Trade Order
- Sea Breeze Power Corp. - Revocation Order
Exemption Orders
- Northcliff Resources Ltd. - Decision
- Tanzanian Royalty Exploration Corporation - Decision
- Matrix Funds Management, Matrix Dividend & Income Fund, Matrix Canadian Growth Fund and Matrix International Equity Fund - Decision