Weekly Reports

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Policies & Instruments

• BC Notice 2004/10 - Request for Comment - Proposed National Instrument 31-101 Requirements under the National Registration System and Proposed National Policy 31-201 National Registration System

• National Instrument 31-101 - Requirements under the National Registration System
• National Policy 31-201 - National Registration System

 

This notice publishes for comment proposed National Instrument 31-101 Requirements under the National Registration System and proposed National Policy 31-201 National Registration System. Comments received by April 12, 2004 will be considered.

• CSA Notice 33-310 - Joint Forum Releases Summary of Comments and Responses on Principles and Practices for the Sale of Products and Services in the Financial Sector
  
  This CSA notice announces the release of a summary of comments and responses on the Joint Forum of Financial Market Regulators' consultation package entitled Principles and Practices for the Sale of Products and Services in the Financial Sector. The objective of the project was to develop minimum standards of conduct that Canadian consumers could expect from the industry in all their financial transactions. The proposed practice standards will be introduced as voluntary guidelines with the expectation that most industry associations and individual firms will adopt the guidelines. The CSA are a constituent member of the Joint Forum of Financial Market Regulators.

• CSA Multilateral Staff Notice 51-310 - Report on Staff’s Continuous Disclosure Review of Income Trust Issuers

  The Notice details the findings and conclusions from a review of the continuous disclosure records of income trusts.

News & Events

• News Release 2004/06 - Four who aided stock price manipulation scheme settle with commission
• News Release 2004/08 - Central Americans ordered to cease trading in B.C.

Decisions, Settlements, Hearings, and Temporary Orders

• James Dryden, et al. - Notice of Discontinuance
• Elizabeth Anne Moxon - Settlement Agreement under Section 161
• Jacob Jackie Alter - Settlement Agreement under Section 161
• Richard Harris - Settlement Agreement under Section 161
• Charles Wiebe - Settlement Agreement under Section 161
• Quest Capital Enterprises, Ltd., et al. - Settlement Agreement under Section 161
• Financial Trading Group International, et al. - Settlement Agreement under Section 161

Cease Trade Orders & Revocations
Search for cease trade orders and revocations using Market Regulation Services National CTO database (link no longer operational).  

• Mandalay Resources Corporation - Cease Trade Order under Section 164
• Western Pacific Gold Inc. - Revocation Order under Section 171
• Aeon Ventures Ltd. - Revocation Order under Section 171
• GTO Resources Inc., LMX Resources Ltd., Ocean Ventures Inc.,
  RJZ Mining Corporation, Solitaire Minerals Corp., Vanguard Investments Corp. - Cease Trade Order under Section 164
• Pure Lean Incorporated And David DenHollander - Revocation Order under Section 171
• LMX Resources Ltd. - Revocation Order under Section 171
• Escape Group Inc. - Partial Revocation Order under Section 171
• Solitaire Minerals Corp. - Revocation Order under Section 171

Exemptions and MRRS Orders
Some discretionary and MRRS orders are located in the Temporary Orders section of Decisions & Orders

• Imperial Oil Limited - MRRS
• Bank of Montreal - MRRS
• Assante Corporation - MRRS