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Weekly Reports

Updates for the week ending March 30, 2007

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Policies and Instruments

  • BC Notice 2007/11 - BC Policy 15-602 - Electronic hearings

    The Commission is publishing revised BC Policy 15-602 - Electronic hearings. The policy accompanies this notice. It replaces our policy adopted July 25, 2005. We have made no substantive changes to the policy. Please see the notice for particulars of the changes.

  • BC Notice 2007/12 - Request for Comment Proposed National Instrument 11-102 Passport System, Form 11-102F1 Notice of Principal Regulator and Registration in Additional Jurisdiction(s) and Companion Policy 11-102CP Passport System and related amendments and repeals
     
    The proposed rule, form, companion policy and related changes implement the next phase of the passport system for securities regulation. The proposed system will simplify the securities regulatory regime for issuers and registrants who have their securities traded or deal with clients in more than one jurisdiction. Under the system, a market participant will be able to clear a prospectus, register as a dealer, adviser or representative, or obtain an exemption across Canada through its principal regulator. Market participants will generally have to comply only with harmonized requirements. Comments received by May 28, 2007 will be considered.

  • BC Notice 2007/13 - Request for Comment Proposed Multilateral Instrument 52-110 Audit Committees, Form 52-110F1 Audit Committee Information required in an AIF, Form 52-110F2 Disclosure by Venture Issuers, Companion Policy 52-110CP, proposed BCI 52-51* Transitional Variation of Multilateral Instrument 52-110, and repeal of BC Instrument 52-509 Audit Committees and of sections 144 and 45 of Securities Rules

    Proposed MI 52-110, its related forms and companion policy, BCI 52-51*, and the related repeal of BCI 52-509 will harmonize British Columbia audit committee requirements with those of other jurisdictions. Sections 144 and 145 of the Securities Rules link the fee schedule and the continuous disclosure rules. We propose to repeal them because we will be seeking amendments to the fee schedule to make these sections unnecessary and ensure all continuous disclosure requirements are in the harmonized rules. Comments received by May 28, 2007 will be considered.

  • BC Notice 2007/14 - Request for Comment on Proposed Repeal and Substitution of Form 51-102F6 Statement of Executive Compensation and Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations, Form 51-102F2 and Form 51-102F5 and Proposed Consequential Amendments to Multilateral Instrument 52-110 Audit Committees and National Instrument 58-101 Disclosure of Corporate Governance Practices

    The Commission, together with other members of the CSA, is seeking comment on the proposed repeal and substitution of Form 51-102F6 Statement of Executive Compensation. The new executive compensation requirements would expand the current executive compensation disclosure requirements.

    In this CSA notice, the CSA is also publishing for comment other proposed amendments to NI 51-102 Continuous Disclosure Obligations and Forms 51-102F2 Annual Information Form and 51-102F5 Information Circular as well as proposed consequential amendments to MI 52-110 Audit Committees and NI 58-101 Disclosure of Corporate Governance Practices. These changes would amend certain definitions and would change the disclosure requirements for directors and others to disclose cease trade and similar orders. The CSA Notice also seeks comment on the content of the report of voting results required by section 11.3 of NI 51-102.

  • BC Notice 2007/15  - Appointments to Securities Law Advisory Committee

    This notice announces the appointment of two new members and re-appointment of one existing member of the Securities Law Advisory Committee for a term of three years starting April 1, 2007.

  • BC Notice 2007/16  - Appointments to Securities Policy Advisory Committee

    This notice announces the appointment of three new members and re-appointment of two existing members of the Securities Policy Advisory Committee for a term of three years starting April 1, 2007.

  • BC Notice 2007/17 - Request for Comment on Proposed Repeal and Replacement of Multilateral Instrument 52-109, Forms 52-109F1,
    52-109FT1, 52-109F2 and 52-109FT1 and Companion Policy 52-109CP Certification of Disclosure in Issuers' Annual and Interim Filings

    This notice publishes for comment a revised and restated NI 52-109, the related forms and companion policy. The proposed instrument adds new requirements for management of an issuer to certify that they have evaluated the effectiveness of internal control over financial reporting and caused the issuer to disclose any reportable deficiencies in its MD&A. The comment period ends on June 28, 2007.

  • CSA Staff Notice 81-317  - Frequently Asked Questions on Independent Review Committee for Investment Funds

    This CSA Notice publishes some frequently asked questions and answers about interpreting and preparing for National Instrument 81-107 Independent Review Committee for Investment Funds that CSA members have received since NI 81-107 came into force on November 1, 2006.

News and Events

  • News Release 2007/19 - Canadian Regulators Seek Comment on Passport System [CSA]
  • News Release 2007/20 - Canadian Regulators Seek Comment on Proposed Enhancements to Executive Compensation Disclosure [CSA]
  • News Release 2007/21 - Canadian Regulators Seek Comment on Proposed Changes to Internal Control Reporting Requirements [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