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Weekly Reports

Updates for the week ending March 22, 2002

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Policies & Instruments

 

  • BC Notice 2002/14 - Status of Multilateral Instrument 45-103 Capital Raising Exemptions

    This BCN announces that the Alberta Securities Commission has approved the adoption of Multilateral Instrument 45-103 Capital Raising Exemptions effective March 30, 2002. The BCSC has targeted the same date for implementation. However, the BCSC must obtain government consent before it can adopt MI 45-103 as a rule. This BCN also announces that certain existing exemptions will remain available for a transition period of six months from implementation of MI 45-103.

  • CSA Staff Notice 55-306 - Applications for Relief from the Insider Reporting Requirements by certain Vice-Presidents

    This CSA Staff Notice describes when we will support applications for relief from the insider reporting requirements by certain vice-presidents. It relates to those persons who are technically insiders by virtue of holding the title of vice-president but who do not have access to confidential insider information.

  • CSA Staff Notice 55-307 - Reminder to file paper insider reports using the correct codes

    This CSA Staff Notice provides guidance to insiders who are filing paper insider reports. The paper insider reports must be filed using the new required form, Form 55-102F6, which contains and requires the use of new nature of transaction codes, and new nature of ownership codes. A full list of the new codes is on the instructions page of Form 55-102F6. The new codes are significantly different from the old codes used in the previous paper form. The CSA staff will not accept any reports that use the old codes. Therefore, the Notice is a reminder to insiders to use the correct codes when filing paper insider reports.

  • CSA Staff Notice 57-301 - Failing to File Financial Statements on Time -- Management Cease Trade Orders

    This CSA Staff Notice describes when we will consider granting a company's request that a "management" cease trade order (CTO) be issued. A management CTO prevents specific insiders and management, rather than all shareholders, from trading in the company's securities. It may be available when a company is unable to file its financial statements on time, provided the company meets the requirements described in the Notice.
 

 

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

 

 

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