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Weekly Reports

Updates for the week ending July 27, 2012

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Policies and Instruments

  • CSA Staff Notice 12-307 - Applications for a Decision that an Issuer is not a Reporting Issuer

    The CSA is re-issuing CSA Staff Notice 12-307 Applications for a Decision that an Issuer is not a Reporting Issuer in order to address the adoption of Multilateral Instrument 51-105 Issuers Quoted in the U.S. Over-the-Counter Markets and to make housekeeping changes. The Staff Notice describes the process reporting issuers must follow when applying to cease to be a reporting issuer in multiple jurisdictions. In BC, issuers can use the process described in BC Instrument 11-502 Voluntary Surrender of Reporting Issuer Status.

  • CSA Notice - Proposed Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules related to National Instrument 25-101 Designated Rating Organizations

    This notice publishes for comment proposed consequential amendments to registration, prospectus, and continuous disclosure rules, related to National Instrument 25-101 Designated Rating Organizations. The comment period ends on October 24, 2012.

News and Events

  • News release 2012/63 - Portfolio manager agrees to pay $12,000 for lack of compliance and failing to maintain minimum regulatory capital 

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders

  • No new documents