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Weekly Reports

Updates for the week ending May 28, 2004

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Policies & Instruments

  • BC Notice 2004/26 - Request for Comment - Changes to Proposed National Instrument 81-106 Investment Fund Continuous Disclosure, Form 81-106F1 and Companion Policy 81-106CP Investment Fund Continuous Disclosure (Second Publication) and Related Amendments

    The CSA is publishing for a second comment period, proposed continuous disclosure rules for investment funds. The rule sets out all financial disclosure requirements for investment funds, and introduces a new management discussion of fund performance.

  • CSA Notice 81-405 - Request for Comment - Proposed exemptions for certain capital accumulation plans

The CSA is proposing a registration exemption for persons who are trading mutual fund securities to certain capital accumulation plans and a prospectus exemption for mutual funds that want to distribute their securities to those capital accumulation plans. The exemption describes certain conditions that need to be fulfilled before both the registration and prospectus exemption will be available. We are seeking comment on the exemption, and the proposed conditions. We will consider comments received by July 30, 2004.

The Joint Forum of Financial Market Regulators, which is an organization of securities, pension and insurance regulators, has developed Guidelines for Capital Accumulation Plans. These guidelines describe best practices for operating these plans, which include defined contribution pension plans where plan members choose their investments and group RRSPs. The CSA intends to implement the guidelines through conditions in an exemption from the registration and prospectus requirement. The CSA is publishing the proposed exemption for comment.

  • BC Instrument 21-502 - Exemption from Certain Filing Requirements for Out-of-province Alternative Trading Systems

This notice announces an exemption from the filing of quarterly reports and significant change reports for alternative trading systems that have their principal Canadian operations outside British Columbia.

This notice publishes for comment proposed BC Instrument 52-509 Audit Committees. This rule is an alternative to Multilateral Instrument 52-110 Audit Committees, which has not been adopted in BC. Comments received by July 28, 2004 will be considered.

News & Events

Decisions, Settlements, Hearings, and Temporary Orders

Cease Trade Orders & Revocations

Search for cease trade orders and revocations using Market Regulation Services National CTO database

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

Exemptions and MRRS Orders