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Weekly Reports

Updates for the week ending October 20, 2006

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Policies and Instruments

 

  • BC Instrument 43-501 - Exemption from certificate requirement for foreign underwriters

     

    This exempts certain foreign underwriters (the U.S. and the U.K.) from the certificate requirement in s. 69(1) of the Act, provided there is a Canadian underwriter of the offering that signs a certificate.

  • BC Notice 2006/21 - Adoption of National Instrument 81-107 Independent Review Committee for Investment Funds and consequential amendments

    This notice announces that the BCSC is adopting National Instrument 81-107 Independent Review Committee for Investment Funds (NI 81-107), and related consequential amendments, effective November 1, 2006.  NI 81-107 requires each investment fund that is a reporting issuer to have an independent review committee that will oversee how the fund manager handles its conflicts of interest within 6 months of NI 81-107 coming into force, and to be fully compliant with NI 81-107 by November 1, 2007.

    The BCSC has also issued BC Instrument 81-511 Exemption from Independent Review Committee Requirement for British Columbia only Reporting Investment Funds, effective November 1, 2006.  BCI 81-511 exempts an investment fund that is a reporting issuer only in British Columbia from the requirements in NI 81-107 and other related rules.

  • CSA Notice 23-305 - Joint Notice of the Staff of the Canadian Securities Administrators, Market Regulation Services Inc., Bourse de Montréal Inc., and the Investment Dealers Association - Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)

    This notice provides an update on the status of the Transaction Reporting and Electronic Audit Trail System (TREATS) project.  It includes background information on the project, the status of the project since the March 2006 Notice (CSA Notice 23-304) and a communication plan with participants.

 

 

News and Events

 

  • News Release 2006/46 - Don’t believe everything you read and hear - CSA urges investors to research investment opportunities advertised in the media [CSA]
  • News Release 2006/47  - Nanaimo pawnbroker sanctioned by regulator

 

Decisions, Settlements, Hearings, and Temporary Orders

 

 

Cease Trade Orders and Revocations


Search for cease trade orders and revocations using  Canadian Securities Administrators National CTO database New window

 

 

 

Exemptions and MRRS Orders

 

No new documents this week.