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Weekly Reports

Updates for the week ending December 14, 2001

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Policies & Instruments

 

  • BC Notice 2001/80 - Temporary Fee Reductions

    This notice announces certain fee reductions for a period of one year from January 7, 2002, and a waiver of the registration fees for members of the MFDA for eight years from January 1, 2002.
  • BC Notice 2001/81 - Publication for Comment of Proposed Multilateral Instrument 31-102 and Related Documents (Consequential Amendments are attached to the Notice)
    • 31-102 - National Registration Database (NRD)
    • 31-102CP to Multilateral Instrument 31-102 - National Registration Database (NRD)
    • 31-102F1 - Enrolment Form - Firm Filer
    • 31-102F2 - Enrolment Of Chief Authorized Firm Representative
    • 31-102F3 - Account Holder Authorization

    This notice relates to the National Registration Database (NRD) which is currently being developed. The database will contain limited registration information about firms and detailed registration information about individuals. It will also allow those registrants to submit information to securities regulators over the Internet. The notice announces that the Commission is publishing for comment the rule, companion policy and forms that would mandate use of NRD.

  • BC Notice 2001/82 - Publication for Comment of Proposed Multilateral Instrument 33-109 and Related Documents (Consequential Amendments are attached to the Notice)
  • 33-109 - Registration Information Requirements
  • 33-109CP to Multilateral Instrument 33-109 - Registration Information Requirements
  • 33-109F1 - Notice of Termination
  • 33-109F2 - Change of Individual Categories
  • 33-109F3 - Business Locations Other Than Head Office
  • 33-109F4 - Registration Information For An Individual
  • 33-109F5 - Change Of Registration Information
 

This notice relates to the registration information requirements proposed for the National Registration Database. It announces that the Commission is publishing for comment the rule, companion policy, and forms that would set the requirements for submitting registration information to securities regulators, including changes to information previously submitted.

  • BC Notice 2001/83 - Republication for Comment of NI 81-104 Commodity Pools and Proficiency Changes for Sellers of Commodity Pools
  • 81-104 - Commodity Pools
  • 81-104CP To National Instrument 81-104 - Commodity Pools
 

The Canadian Securities Administrators (CSA) are republishing for comment proposed National Instrument 81-104 Commodity Pools and proposed Companion Policy 81-104CP. The proposed instrument and policy will regulate "commodity pools", which are specialized forms of mutual funds. The CSA will consider submissions received by March 18, 2002. Also, effective today, the Executive Director has amended BCP 31-601 Registration Requirements, to allow certain registrants, including mutual fund dealers or the individuals authorized to trade on behalf of those dealers, to sell securities of commodity pools in B.C. without additional proficiency.

  • BC Notice 2001/84 - BC Instrument 55-502 Extension of Filing and Reporting Deadlines for the System for Electronic Disclosure by Insiders
  • BC Instrument 55-502 - Extension of Filing and Reporting Deadlines for the System for Electronic Disclosure by Insiders (SEDI)
 

This BCN advises that the Commission has made an amended BCI 55-502. The amended BCI replaces BCI 55-502 dated October 26, 2001, and further extends the effective date of certain provisions of National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI). Insider and issuer event reports must be filed electronically on SEDI beginning January 21, 2002 and the move to reduce the time for filing insider reports to ten days after the trade has also been postponed until SEDI is fully operational on January 21, 2002.

  • CSA Staff Notice 55-304 - System for Electronic Disclosure by Insiders (SEDI) - National Instrument 55-102

    This CSA Staff Notice announces that the CSA are again extending the deadline for full implementation of the System for Electronic Disclosure by Insiders (SEDI). The system will not become fully operational until January 21, 2002, to allow system designers to correct a software application error, and to avoid introducing a new mandatory reporting system during a period when many people are on holidays and the typically high volume year-end filings are due.

 

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 (link no longer operational).  

 

 

Exemptions and MRRS Orders


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