Weekly Reports
Updates for the week ending July 21, 2006
The list below will link directly to documents on the BCSC website. Please use your browser's BACK button to return to this page.
Policies and Instruments
- BC Notice 2006/12 - Request for Comment on Proposed National Instrument 23-102 Use of Client Brokerage Commissions as Payment for Order Execution Services or Research (“Soft Dollar” Arrangements)
This notice announces the CSA’s notice and publication for comment of a proposed rule to regulate the use by advisers of “soft dollars” generated from brokerage commissions on trades in client securities. This separate BC notice specifically asks for comment on whether a rule is necessary, or whether an alternative proposal described could effectively address the issues. The comment period expires on October 19, 2006.
News and Events
- News Release 2006/26 - BCSC EXECUTIVE DIRECTOR’S BULLETIN: Securities regulator gives notice of a hearing into alleged fraud by former Vancouver Island mutual fund salesperson
- News Release 2006/27 - Securities regulator reprimands exchange contracts dealer
- News Release 2006/28 - Canadian Regulators Seek Comments on Soft Dollar Arrangements [CSA]
Decisions, Settlements, Hearings, and Temporary Orders
- Ian Gregory Thow, et al. - Notice of Hearing
- James Terrence Alexander, et al. - Ruling on application for a mis-hearing
- Quantum Financial Service (Canada) Ltd., et al. - Settlement Agreement
- Fairtide Capital Corporation, et al. - Hearing Notice
- Lionel Mervin Negus, et al. - Hearing notice - hearing dates
Cease Trade Orders and Revocations
Search for cease trade orders and revocations using Canadian Securities Administrators National CTO database
Gilbert G. Schneider, Vern Stromkins and Consolidated Beacon Resources Ltd. - Revocation Order
Exemptions and MRRS Orders
- Rodinia Minerals Inc. - Exemption Order
- Bandai GmbH - MRRS
- UBC Investment Management Trust Inc. - Exemption Order