Weekly Reports
Updates for the week ending September 2, 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 31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category
CSA Staff Notice 31-327, published September 2, 2011, announces that staff of the Canadian Securities Administrators will be examining policy issues relating to firms registered as exempt market dealers that are carrying out brokerage activities and in the interim will consider registering these firms in the restricted dealer category with terms and conditions.
News and Events
- News release 2011/72 - Mortgage broker agrees to pay $7,000 for trading without registration
Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)
- Don Maxwell - Order and Settlement Agreement
- Don Maxwell - Notice of Discontinuance
Cease Trade Orders and Revocations (Failure to File)
- Newlook Industries Corp. - Revocation Order
- Cyterra Capital Corp. - Revocation Order
- TransEuro Energy Corp. - Cease Trade Order
- Absolute Life Solutions, Inc. (formerly Shimmer Gold, Inc.) - Revocation Order
- Kamal Alawas, Souhail Abi-Farrage and Sidon International Resources Corporation - Cease Trade Order
- Lions Diversified Strategies Fund - Cease Trade Order
- Quad Energy Corp - Cease Trade Order
Exemption Orders
- Burcon NutraScience Corporation - Decision