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Weekly Reports

Updates for the week ending March 2, 2012

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

  • BCN 2012/04 - Adoption of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and its companion policy

    This BC Notice announces the adoption, effective February 28, 2012, of amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP.

  • BCN 2012/05 - Notice of Amended BC Instrument 32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities

    The Commission has amended BC Instrument 32-517 Exemption from Dealer Registration Requirement for Trades in Securities of Mortgage Investment Entities to extend the expiry date to December 31, 2012

  • MFDA Notice - Notice of BCSC Non-Objection to Proposed Public Interest Amendments to MFDA Rule 5.3 – Client Reporting 

    This Notice announces that the BCSC has not objected to proposed public interest amendments to the MFDA's Rule 5.3 (Client Reporting).

  • CSA / IIROC Joint Notice 23-312 - Transparency of Short Selling and Failed Trades

    The CSA and IIROC are publishing this paper to obtain public comment regarding regulatory proposals to increase transparency of short selling and failed trades in Canada.  The comment period expires May 31, 2012.

  • CSA Staff Notice 41-307 - Concerns regarding an issuer’s financial condition and the sufficiency of proceeds from a prospectus offering

    This staff notice discusses concerns regarding an issuer's financial condition and the sufficiency of proceeds from a prospectus offering. It applies to issuers that have short-term liquidity concerns and/or offerings that do not appear to be raising sufficient proceeds.

News and Events

  • News release 2012/09 - Commission panel sanctions B.C. man for trading on insider information
  • News release 2012/10 - BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing alleging market manipulation against former President and CEO of B.C. corporation
  • News release 2012/11 - BC Securities Commission releases its National Investment Fraud Vulnerability Report (ENG. and FR.)
  • News release 2012/12 - CSA and IIROC seek input on trade transparency

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders

  • No new documents