Weekly Reports
Updates for the week ending May 8, 2009
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Policies and Instruments
Amended 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 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, which were published for comment on April 24, 2009, to correct a drafting error in MFDA Policy No. 2. The corrections clarify the review thresholds for branch and head office supervision under sections IV and V of the Policy. Specifically, the corrections rephrase the requirement related to the review thresholds for redemptions, both for the branch and head office levels, to correct the threshold amount and also make the threshold criteria easier to understand. The comment period expires July 23, 2009.
News and Events
- No new documents
Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)
- Michael Kyaw Myint Hua Hu - Hearing notice - hearing dates
Cease Trade Orders and Revocations (Failure to File)
- Joe DeVries,Thomas Needham and Odyssey Petroleum Corp. - Cease Trade Order
- Altek Power Corporation, Dynasty Gaming Inc., HMZ Metals Inc.,Landstar Properties Inc., Maxim Resources Inc.,Southeast Asia Mining Corp.,Terminal City Capital Inc., TransEuro Energy Corp., Xcel Consolidated Ltd., Yangtze Telecom Corp., Zoloto Resources Ltd. - Cease Trade Order
- Victor Jones, Willis Osborne and Great Quest Metals Ltd. - Cease Trade Order
- Darlington Mines Ltd. - Cease Trade Order
- Huldra Silver Inc. - Cease Trade Order
- Adam Sumel, Lisa Sharp and Sonic Technology Solutions Inc. - Cease Trade Order
- Margaret M. Kent, Richard B. Meschke and Century Mining Corporation - Cease Trade Order
- Neema Inc. - Cease Trade Order
- David M. Camp, Adrian Hobkirk and Gold Port Resources Ltd. - Cease Trade Order
- Lid Hair Studios International, Inc. - Revocation Order
- Shimmer Gold, Inc. - Cease Trade Order
- Essential Innovations Technology Corp. - Cease Trade Order
- Rio Grana Resources, Inc. - Cease Trade Order
- Pacific Copper Corp. - Revocation Order
- Genesis Land Development Corp. - Revocation Order
Exemption Orders
- Columbia Management Advisors, LLC - Exemption Order