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Weekly Reports

Updates for the week ending November 25, 2011

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Policies and Instruments

  • BCN 2011/31 - Advance Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP

    This notice announces the expected adoption of amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP. The changes relate to SRO exemptions from the requirements of NI 31-103.
     
    Provided we receive all necessary approvals, including ministerial approval, the amendments will come into force on February 28, 2012.

  • BCN 2011/32 - Scholarship Plan Prospectus Form - Request for Comment

    This notice publishes for a second comment period of a new prospectus form for scholarship plans, proposed amendments to National Instrument 41-101 General Prospectus Requirements, Form 41-101F2 and its companion policy. The comment period ends on January 24, 2012.

  • BCN 2011/33 - Prospectus Marketing Amendments – Request for Comment

    This notice publishes for a comment period ending February 23, 2012, proposed amendments to the prospectus marketing regime in National Instrument 41-101 General Prospectus Requirements and its companion policy; National Policy 41-201 Income Trusts and Other Indirect Offerings; National Instrument 44-101 Short Form Prospectus Distributions and its companion policy; National Instrument 44-102 Shelf Distributions and its companion policy; and National Policy 47-201 Trading Securities Using the Internet and Other Electronic Means.

  • CSA Consultation Paper 91-403 - Derivatives: Surveillance and Enforcement

    The CSA is publishing the paper to obtain public comment on its recommendations about the surveillance, monitoring and enforcement of the OTC derivatives market.  The comment period expires January 25, 2012.

News and Events

  • News release 2011/87 - Illegal insider trading decision on Torudag upheld
  • News release 2011/88 - BCSC panel finds that woman made false or misleading statements to commission staff
  • News release 2011/89 - Canadian securities regulators propose enhancements to scholarship plan disclosure
  • News release 2011/90 - The CSA seeks comments on the regulation of over-the-counter derivatives surveillance and enforcement
  • News release 2011/91 - Canadian securities regulators propose amendments to “pre-marketing” and “marketing” prospectus rules

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders