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Weekly Reports

Updates for the week ending November 11, 2011

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Policies and Instruments

  • BCN 2011/29 - Notice and Request for Comment - CSA Staff Consultation Note 45-401 - Review of Minimum Amount and Accredited Investor Exemptions

    CSA staff are reviewing the minimum amount prospectus exemption and the accredited investor prospectus exemption contained in National Instrument 45-106 Prospectus and Registration Exemptions.

    As part of the review, staff will consult with stakeholders, including investors, issuers, dealers and legal and other advisors.  The published consultation note provides more information on the scope of the review, including some background on the history of these exemptions and specific consultation questions for consideration. 

    The comment period ends on February 29, 2012.

News and Events

  • News release 2011/84 - Canadian securities regulators announce review of minimum amount and accredited investor prospectus exemptions
  • Registrant Outreach Workshop - Hosted by BCSC's Capital Markets Regulation Division - November 24, 2011

    The topics covered will include How do you measure up with Know Your Client and Know Your Product; Suits and Suitability: Liability Issues for Registrants; Compliance best practices; Challenges exempt market dealers and fund managers face using prospectus exemptions.  

Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)

  • No new documents

Cease Trade Orders and Revocations (Failure to File)

Exemption Orders