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Weekly Reports

Updates for the week ending November 1, 2013

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Policies and Instruments

 

  • BCN 2013/09 - Notice and Request for Comment – Proposed Amendments to Conditions of Registration for Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets

    The BCSC is publishing for comment proposed changes to Conditions of Registration – Investment Dealers with a BC Office that Trade in the U.S. Over-the-Counter Markets. The proposal would prohibit investment dealers in British Columbia from engaging in account activity with a financial institution’s office if the office is in a jurisdiction outside Canada or the United States where the securities regulator is not a signatory to the IOSCO Multilateral Memorandum of Understanding. The comment period closes on December 30, 2013.

  • CSA Staff Notice 54-302 - Update on CSA Consultation Paper 54-401 Review of the Proxy Voting Infrastructure

    This notice provides a reminder to the 54-401 comment period deadline and an update that specific topics will be addressed in further consultations to be held in early 2014 after review of the written comments.

 

News and Events

 

 

Decisions, Settlements, Hearings, and Temporary Orders

(Enforcement)

 

 

Cease Trade Orders and Revocations

(Failure to File)

 

 

Exemption Orders