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Weekly Reports

Updates for the week ending December 19, 2008

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Policies and Instruments

  • CSA Staff Notice 52-315 - Certification Compliance Review
    Note added on December 15, 2008
  • BCN 2008/51 - Publication for Comment of Proposed Changes to BC Policy 15-601 Hearings, BC Policy 15-602 Electronic Hearings, and BC Instrument 15-501 and Companion Policy 15-501CP Disclosure of Investigation Information [BCN]

    We are publishing proposed changes to British Columbia Policy 15-601 Hearings, British Columbia Policy 15-602 Electronic Hearings, and British Columbia Instrument 15-501 and Companion Policy 15-501CP Disclosure of Investigation Information for a comment period ending on January 30, 2009.
  • BCN 2008/52 - Request for Comment - Proposed National Instrument 55-104 Insider Reporting Requirements and Exemptions, Companion Policy 55-104CP and related consequential amendments

    The CSA is publishing for comment a proposed new insider reporting rule, National Instrument 55-104 Insider Reporting Requirements and Exemptions and related amendments.  The proposed new insider reporting rule, which has a number of significant changes from the current insider reporting regime, would harmonize insider reporting requirements across Canada. The comment period ends on March 19, 2009.
  • BCN 2008/53 - Notice of National Policy 11-204 Process for Registration in Multiple Jurisdictions and Amendments to Multilateral Instrument 11-102 Passport System, Companion Policy 11-102CP Passport System, National Policy 11-202 Process for Prospectus Reviews in Multiple Jurisdictions, and National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions [BCN]

    This BC notice announces that we will implement the next phase of the passport for registrants and amend phase II of passport for issuers effective when National Instrument 31-103 Registration Requirements is implemented. We will also implement a new national policy setting out the processes for registration in multiple jurisdictions (NP 11-204) and amend the national policies for the filing and review of prospectuses (NP 11-202) and exemptive relief applications (NP 11-203). In addition, we will repeal National Instrument 31-101 National Registration System and its related policy and forms, amend sections 1 to 3 of the Securities Rules and rescind BC Instrument 52-801 Implementing National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency.

  • BCN 2008/54 - Request for Comment - Revised Corporate Governance Regime

    This notice publishes for comment proposed amendments to National Policy 58-201 Corporate Governance Guidelines, National Instrument 58-101 Disclosure of Corporate Governance Practices, and National Instrument 52-110 Audit Committees. The proposed governance regime includes a more principles-based policy that is broader in scope, more general disclosure requirements that would replace the current "comply or explain" disclosure model, and a more principles-based approach to determining the independence of directors. The comment period is 120 days and ends on April 20, 2009
  • Mutual Fund Dealers Association of Canada - Notice of variation of Recognition Order

    This notice announces that the BCSC has granted a variation of the MFDA's Recognition Order to extend the suspension of Rule 2.4.1 to March 31, 2010 to give the MFDA time to develop a proposal to replace that rule.

News and Events

  • News Release 2008/82 - Canadian securities regulators propose changes to insider reporting regime [CSA]
  • News Release 2008/83 - Investment dealer breaches cease trade order
  • News Release 2008/84 - Canadian Securities Regulators Seek Comments on Revised Corporate Governance [CSA]
  • News Release 2008/85 - Canadian Securities Regulators Finalize Passport for Registrants and a Streamlined Review Policy for Registration in Multiple Jurisdictions [CSA]

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders