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Weekly Reports

Updates for the week ending February 8, 2013

The list below will link directly to documents on the BCSC website. Please use your browser's BACK button to return to this page.

We have a Registrant Outreach Workshop on Thursday, March 7.

Policies and Instruments

  • MFDA - Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.2.1 (Know-Your-Client) and Policy No. 2 (Minimum Standards for Account Supervision)

    This Notice announces that the BCSC has not objected to proposed housekeeping amendments to MFDA Rule 2.2.1 (Know-Your-Client) and MFDA Policy No. 2 (Minimum Standards for Account Supervision).
     
  • CSA Staff Notice 11-321 - CSA Staff Notice 11-321 Business Continuity Planning – Industry Testing Exercise

    The Canadian Securities Administrators issued a notice encouraging members of the financial services system to participate in a business continuity planning test to be carried out by the Investment Industry Regulatory Organization in October 2013.

  • CSA Staff Notice 31-333 - CSA Staff Notice 31-333 Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category

    This CSA Notice is a follow-up to CSA Staff Notice 31-327 - Broker-Dealer Registration in the Exempt Market Dealer Category published on September 2, 2011 and CSA Staff Notice 31-331 - Follow-up to Broker-Dealer Registration in the Exempt Market Dealer published on July 12, 2012. The purpose of this notice is to inform firms currently conducting brokerage activities while registered in the exempt market dealer or in the restricted dealer category that the Investment Industry Regulatory Organization of Canada (IIROC) does not intend to proceed with the Restricted Dealer Member Proposal published on July 12, 2012. The CSA remains of the view that IIROC should regulate firms that conduct brokerage activities. Therefore, we intend to publish proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations later in 2013 in order to prohibit exempt market dealers from conducting brokerage activities.

  • NI 54-101 and NI 51-102 - The British Columbia Securities Commission is adopting amendments to National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer and National Instrument 51-102 Continuous Disclosure Obligations which come into force on February 11, 2013.

News and Events

  • News release 2013/08 - Canadian Securities Administrators renew term of Chair, appoint new Vice-Chair

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

Cease Trade Orders and Revocations (Failure to File)

Exemption Orders