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Weekly Reports

Updates for the week ending October 11, 2013

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Policies and Instruments

  • 13-320 - CSA Staff Notice regarding implementation of Multilateral Instrument 13-102 System Fees for SEDAR and NRD and related consequential amendments to CSA National Systems Rules

    This notice confirms that MI 13-102 is still expected to come into force on October 12, 2013, and it advises that the new effective date for the related consequential amendments is December 2, 2013. These changes arise from a delay in transitioning the operation of SEDAR, SEDI and NRD from CDS Inc. to CGI Information Systems and Management Consultants Inc.

  • MFDA - Request for Comment: Proposed amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans)

    The BCSC is publishing for a 60-day comment period proposed amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans). Section V of the MFDA's notice sets out the process for submitting comments.

    Comment period expires: December 9, 2013

  • BCN 2013/08 - Memorandum of Understanding Regarding Oversight of the Mutual Fund Dealers Association of Canada

    BC Notice of a memorandum of understanding (MOU) regarding oversight of the Mutual Fund Dealers Association of Canada (MFDA) between the securities commissions or regulatory authorities of British Columbia, Alberta, Saskatchewan, Manitoba, Ontario, Nova Scotia, New Brunswick and Prince Edward Island effective October 2, 2013.

  • 13-102 - Multilateral Instrument 13-102 System Fees for SEDAR and NRD and related consequential amendments to CSA National Systems Rules

    The Commission has adopted Multilateral Instrument 13-102 System Fees for SEDAR and NRD effective October 12, 2013 and related consequential amendments to CSA National Systems Rules (SEDAR, SEDI and NRD) effective December 2, 2013.

News and Events

  • Registrant Outreach Workshop, October 2013
  • News release 2013/76 - B.C. Securities Commission launches year three of province-wide Be Fraud Aware Campaign
  • News release 2013/77 - CSA announces change in cutover date for information management services
  • News release 2013/78 - CSA encourages all Canadians to take time to "Check Before You Invest"
  • News release 2013/79 - B.C. Securities Commission to look for answers to current junior mining downturn

Decisions, Settlements, Hearings, and Temporary Orders

(Enforcement)

Cease Trade Orders and Revocations

(Failure to File)

Exemption Orders