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Weekly Reports

Updates for the week ending January 12, 2007

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Policies and Instruments

  • BC Notice 2007/01 - Membership in Securities Policy Advisory Committee

    SPAC is looking for 3 to 4 new members for an initial 3-year term from April 1, 2007 to March 31, 2010.  We are particularly interested in an investor representative, a representative of a mutual fund dealer and people in the technology or bio-technology fields.  If you know someone who would be a useful contributor to discussions at SPAC, please ask them to forward their resume to Stewart Lockwood as set out in this notice.

  • BC Notice 2007/02 - Membership in Securities Law Advisory Committee

    The Commission is looking for 1 to 3 new members to join SLAC for an initial 3-year term from April 1, 2007 to March 31, 2010.  We are particularly interested in in-house counsel.  While not indicated in the notice, we are also looking for outside counsel who act for dealers and advisers.  If you know someone who would be a useful contributor to discussions at SLAC, please ask them to forward their resume to Doug Hyndman. 

  • 81-316 CSA Staff Notice - Hedge Funds

    The CSA is publishing a notice summarizing the findings of a sample-based review of Canadian hedge funds conducted by CSA staff in response to increased retail interest in hedge funds. From the review, the CSA determined that an appropriate securities regulatory framework exists for hedge funds in Canada, but certain areas can be improved, specifically relating to principal protected notes (PPNs), referral arrangements, distribution, disclosure and registration of fund managers. The notice sets out the CSA's views on how those areas will be monitored or improved.

News and Events

  • News Release 2007/03 - Canadian Regulators Release Results of Hedge Fund Review [CSA]
  • News Release 2007/04 - Canadian Securities Administrators released their fifth report of enforcement activities [CSA]

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