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Weekly Reports

Updates for the week ending December 8, 2006

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Policies and Instruments

  • CSA Notice 24-303 - CSA SRO Oversight Project - Review of Oversight of Self-Regulatory Organizations and Market Infrastructure Entities

    CSA publishes today the report of the CSA SRO Oversight Project Committee - A Review of Oversight of Self-Regulatory Organizations and Market Infrastructure Entities.  The Committee makes recommendations for more cost-effective regulation and CSA oversight.

  • BC Instrument 21-501 - BC Instrument 21-501 Recognition of exchanges, self regulatory bodies, and jurisdictions

    The Commission has updated and replaced the 2005 version of BC Instrument 21-501. This instrument recognizes exchanges, self regulatory bodies and jurisdictions for purposes of the Securities Act, Securities Rules, and various national instruments.

  • BC Notice 2006/26 - Temporary exemptions from information transparency and electronic document filing and transmission of record requirements in National Instrument 21-101 Marketplace Operation (NI 21-101) and National Instrument 23-101 Trading Rules (NI 23-101)

    This notice announces the adoption by the Commission BC Instrument 21-503 which provides an interim relief from information transparency requirements in s 8.1of NI21-101 and electronic document filing and transmission of record requirements in s 11.2(6) of NI 23-101 until the Minister consents to the proposed amendments to NI 21-101 and NI 23-101.

  • BC Notice 2006/27 - Adoption of BC Policy 13-602 Confidentiality of Records

    This notice announces the adoption of BC Policy 13-602 Confidentiality of Records, which provides guidance to market participants about the confidentiality of records filed with the Commission.

  • BC Notice 2006/28 - Publication for Comment of proposed amendments to Securities Rules relating to Bill 20

    This notice requests comments on proposed amendments to the Securities Rules relating to provisions awaiting proclamation in Bill 20.  The amendments deal primarily with the insider trading and penalty calculation changes in Bill 20.

News and Events

  • News Release 2006/57 - Kelowna man who illegally raised more than $4.2-million and exchanged securities for life insurance policies and other securities ordered out of securities market
  • News Release 2006/58  - Costa Rican brokerage settles with B.C. regulator

Decisions, Settlements, Hearings, and Temporary Orders

Cease Trade Orders and Revocations


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Exemptions and MRRS Orders