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Weekly Reports

Updates for the week ending February 28, 2014

Instruments & Policies

  • 31-337 - CSA Staff Notice 31-337 Cost Disclosure, Performance Reporting and Client Statements - Frequently Asked Questions and Additional Guidance as of February 27, 2014

    This CSA Staff Notice sets out responses to frequently asked questions on the amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations implementing phase 2 of the client relationship model which came into force on July 15, 2013 (the CRM2 Amendments). It also provides additional guidance on the CRM2 Amendments.
     
  • 45-106 - CSA Notice and Request for Comment - Proposed Amendments to National Instrument 45-106 Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions

    The comment period ends on May 28, 2014.

News & Events

  • News Release 2014/14 - Canadian Securities Regulators propose changes to the accredited investor and minimum amount investment prospectus exemptions
  • News Release 2014/15 - BCSC Executive Director's Bulletin: Securities regulator issues amended notice of hearing alleging securities fraud against two individuals

Decisions, Settlements, Hearings & Temporary Orders (Enforcement)

Cease Trade Orders & Revocations (Failure to File)

Exemption Orders