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Weekly Reports

Updates for the week ending October 26, 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

 

  • CSA Consultation Paper 33-403 - The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty when Advice is Provided to Retail Clients

    This Consultation Paper explores the potential benefits and competing considerations of introducing a statutory fiduciary, or ‘best interest’, standard on advisers and dealers when they provide advice to retail clients. The CSA is seeking feedback on the issues raised in the Consultation Paper, including whether to introduce such a statutory best interest standard.  The comment period expires on February 22, 2013.

  • MFDA - Notice of BCSC Non-Objection to Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1

    This Notice announces that the BCSC has not objected to proposed public interest amendments to sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1.

  • 23-103 - CSA Notice and Request for Comment Proposed Amendments to National Instrument 23-103 Electronic Trading

    This notice announces the publication for comment of amendments to National Instrument 23-103 Electronic Trading and consequential amendments to Multilateral Instrument 11-102 Passport System. The proposed amendments would impose requirements for direct electronic access. The comment period is open until January 23, 2013.

 

News and Events

 

  • News release 2012/87 - Canadian Regulators Publish Consultation Paper on a Statutory Best Interest Duty
  • News release 2012/88 - Canadian Securities Regulators Seek Comment on Amendments Relating to Direct Electronic Access
  • News release 2012/89 - BC Securities Commission launches new saveSMART InvestRight program
  • News release 2012/90 - B.C. Securities Commission’s Criminal Investigations Team and Vancouver Police arrest Vancouver man for fraud

 

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

 

 

Cease Trade Orders and Revocations

 (Failure to File)

 

 

Exemption Orders