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Weekly Reports

Updates for the week ending December 20, 2013

Policies and Instruments

  • CSA Staff Notice 81-323 - Status Report on Consultation under CSA Discussion Paper and Request for Comment 81-407 Mutual Fund fees

    This Notice provides a summary of the key comments the CSA received on the mutual fund fees discussion paper through the comment process and subsequent in-person consultations.

  • CSA Staff Notice 33-316 - Status Report on Consultation under 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 Notice summarizes the consultation work conducted to date in respect of the best interest consultation initiative, and identifies the key themes that emerged from the best interest consultation process.

  • CSA Multilateral Staff Notice 24-309 - Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba

    This CSA Staff Notice provides information relating to the publication of proposed requirements for clearing agencies operating in the provinces of Ontario, Quebec and Manitoba.  The notice also provides information about the possibility of BC adopting similar requirements in the future.

  • CSA Notice - CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing  Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing  Registrant Obligations – Dispute Resolution Services

    This notice announces the expected adoption of amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing  Registrant Obligations and to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing  Registrant Obligations National Instrument 31-103 relating to the provision of dispute resolution services to clients of all registered dealers and registered advisers.  

    Provided we receive all necessary approvals, including ministerial approval, the amendments will come into force on May 1, 2014.
  • CSA Staff Notice 91-303 - Proposed  Model Provincial Rule on Mandatory Central Counterparty Clearing of Derivatives

    The CSA is publishing this paper to obtain public comment on a model rule relating mandatory clearing of derivatives trades. The comment period expires on March 10, 2014.

News and Events

  • News release 2013/96 - Canadian Regulators Release Status Reports on Mutual Fund Fees and Best Interest Duty
  • News release 2013/97 - Securities regulator issues notice of hearing against B.C. company and three B.C. residents alleging illegal distribution
  • News release 2013/98 - Canadian securities regulators mandate OBSI’s dispute resolution service for registered dealers and advisers [CSA]
  • News release 2013/99 - Canadian Securities Regulators seek comment on derivatives rule relating to mandatory central counterparty clearing
  • News release 2013/100 - Securities regulator alleges fraud against Silvercorp short-seller
  • News release 2013/101 - Directors of B.C. mining company settle with BCSC
  • News release 2013/102 - B.C. man agrees to sanctions for illegally distributing securities

Decisions, Settlements, Hearings, and Temporary Orders

(Enforcement)

 

Cease Trade Orders and Revocations

(Failure to File)

Exemption Orders

  • No new documents