Weekly Reports

Policies & Instruments

• CSA Staff Notice 13-315 (Revised) - Securities Regulatory Authority Closed Dates 2014
  This CSA staff notice advises issuers of the dates the securities regulatory authorities in jurisdictions across Canada are closed.
  
  
• CSA Staff Notice 13-319 - SEDAR Filer Manual Update
  This CSA staff notice is to inform users that a new version of the SEDAR Manual is now available. The new manual reflects change to CGI Information Systems and Management Consultants Inc. for operations of the SEDAR system.
  
  
• CSA Staff Notice 31-336 - Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitability Obligations
  
  This Notice provides guidance, including CSA staff’s views on best practices and practices we consider to be unacceptable, in the areas of KYC, KYP and suitability. This Notice should assist portfolio managers, exempt market dealers and other registrants who are not members of a self-regulatory organization in meeting their regulatory obligations.
  
  
• CSA Staff Notice 13-322 - Service Transition Cutover Date for Information Management Services and implementation of Related Consequential Amendments to CSA National System Rules
  
  The implementation date of the change-over for hosting, operating and maintaining the CSA National Systems to CGI is scheduled for January 13, 2014. Effective January 13, 2014, the Commission is revoking BCI 13-503 Transitional Exemption from Complying with Consequential Amendments to NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR), NI 31-102 National Registration Database, and NI 55-102 System for Electronic Disclosure by Insiders (SEDI) which provided a temporary exemption from certain consequential amendments related to this transition.
  
  

News & Events

• News release 2014/02 - CSA publishes guidance for know-your-client, know-your-product and suitability obligations
• News release 2014/03 - BCSC panel finds that B.C. man committed fraud
• News release 2014/04 - Investor Alert: BCSC issues warning about Binary Options Trading Platforms

Decisions, Settlements, Hearings & Temporary Orders

(Enforcement)

• Streamline Properties Inc., 0772835 B.C. Ltd., Local 1661 Building Inc., Almaval Building Inc., Jeffrey Karl Wiegel and Michael Jerome Knight - Hearing Notice
• Rashida Samji, Rashida Samji Notary Corporation and Samji & Assoc. Holdings Inc. - Hearing Notice
• Jefferson Franklin Mesidor - Decision

Cease Trade Orders & Revocations

(Failure to File)

• Caribbean Diversified Investments, Inc. - Cease Trade Order
• Minewest Silver and Gold Inc. and Times Telecom Inc. - Cease Trade Order
• Lyynks Inc. and New America Energy Corp. - Cease Trade Order

Exemption Orders

• No new documents