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Weekly Reports

Updates for the week ending December 6, 2013

 

Policies and Instruments

 

  • CSA Notice - Notice of and Request for Comment on Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, National Instrument 52-107 Acceptable Accounting Principles And Auditing Standards and to related policies and forms.

    In the attached notice, the Canadian Securities Administrators are publishing for comment proposed amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, National Instrument 52-107 Acceptable Accounting Principles And Auditing Standards and related companion policies and forms. The comment period expires on March 5, 2014.

 

News and Events

 

  • News Release 2013/93 - Canadian Securities Regulators Seek Comment on Proposed Changes to Registration Rules for Dealers, Advisers and Investment Fund Managers
  • News Release 2013/94 - Supreme Court of Canada dismisses McLean appeal of BCSC order

 

Decisions, Settlements, Hearings, and Temporary Orders

(Enforcement)

 

 

Cease Trade Orders and Revocations

(Failure to File)

 

 

Exemption Orders