Weekly Reports
Updates for the week ending April 24, 2009
The list below will link directly to documents on the BCSC website. Please use your browser's BACK button to return to this page.
Policies and Instruments
- Notice of BCSC Non-Objection to MFDA's proposed amendments to Rule 1.2.1(d)(vii) - Dual Occupations - Financial Planning
This Notice announces that the BCSC has not objected to, and the other recognizing regulators of the MFDA have approved, the MFDA's proposed amendments to Rule 1.2.1(d)(vii) - Dual Occupations - Financial Planning. The amendments clarify the requirements an approved person must comply with to conduct financial planning outside an MFDA member. The BCSC published the amendments for comment on its website on June 27, 2008. The MFDA received two comments on the proposal.
- Second publication for comment of proposed amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 - Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) to implement core principles of the Client Relationship Model
The Commission is re-publishing for a 90 day comment period proposed amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 - Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) to implement core principles of the Client Relationship Model. The MFDA revised its proposed amendments based on comments from the first publication period and after consultations with the CSA and the Investment Industry Regulatory Organization of Canada (IIROC). The Ontario Securities Commission (OSC) is also re-publishing IIROC's proposed amendments related to the Client Relationship Model, which you can find on the OSC's website. The comment period expires July 23, 2009.
News and Events
- News Release 2009/22 - Investor Watch: Get the facts before investing in real estate-based securities
- News Release 2009/23 - BCSC panels reciprocate ASC and OSC enforcement orders
Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)
- Milowe Brost, Edna Forrest, Carol Weeks and Bradley Regier - Reciprocal Order
Cease Trade Orders and Revocations (Failure to File)
- Palladon Ventures Ltd. - Cease Trade Order
- West Hawk Development Corp. - Revocation Order
- FRV Media Inc. - Revocation Order
- Can-Cal Resources Ltd. and Certain Shareholders of Can-Cal Resources Ltd. - Partial Revocation Order
Exemption Orders
- Deutsche Telekom AG - Decision
- Endeavour Silver Corp. - Exemption Order