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Weekly Reports

Updates for the week ending June 19, 2009

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Policies and Instruments

  • Publication for comment of proposed amendments to MFDA Rule 2.4.1 - Payment of Commissions to Unregistered Corporations

    The Commission is publishing for a 90 day comment period proposed amendments to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporations).  On December 19, 2008, the Commission (with the securities commissions in Saskatchewan, Ontario and Nova Scotia) gave notice that it had extended its suspension of Rule 2.4.1 in British Columbia until March 31, 2010, with a requirement for the MFDA to submit proposed amendments to the rule by May 31, 2009.  This proposal is the MFDA's response. The comment period ends on September 17, 2009

  • BCN 2009/08 - Notice and Request for Comment - Implementation of Point of Sale Disclosure for Mutual Funds
    Proposed Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure, Forms 81-101F1 and 81-101F2, Companion Policy 81-101CP and Related Amendments

    In this notice, we are publishing for first comment proposed amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure, and a new Fund Facts disclosure form (Form 81-101F3), together with related consequential amendments that would implement a new point of sale disclosure regime for mutual funds.  The related BC Notice also describes the approach that we would intend to take for various local amendments. This publication for comment reflects the principles in Framework 81-406 Point of Sale Disclosure for Mutual Funds and Segregated Funds which we published in October 2008.

News and Events

  • News Release 2009/28 - Securities regulators urge Canadians to help prevent financial abuse of seniors [CSA]
  • News Release 2009/29 - Canadian securities regulators take steps to improve mutual fund disclosure for investors [CSA]

Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)

Cease Trade Orders and Revocations (Failure to File)

Exemption Orders