Weekly Reports
Updates for the week ending September 4, 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
- CSA Staff Notice 33-315 - Suitability obligation and know your product
This notice reminds registrants of their duty under securities law to satisfy their suitability obligations to clients, including the requirement to fully understand the products recommended to clients. It also provides guidance to registrants on how to meet their obligations.
News and Events
- News Release 2009/42 - Canadian securities regulators stress the importance of suitability requirements for dealers and advisers [CSA]
Decisions, Settlements, Hearings, and Temporary Orders
(Enforcement)
- Brian H. Crombie - Reciprocal Order
- John R. Miszuk - Reciprocal Order
- Kenneth G. Howling - Variation Order
- Michael Lee Seifert - Variation Order
- Sungro Minerals Inc. - Hearing notice - Adjournment and Extension of Temporary Order
Cease Trade Orders and Revocations
(Failure to File)
- Zaio Corporation - Revocation Order
- Ron Hughes, Richard Barnett and TransAmerican Energy Inc. - Cease Trade Order
- eCrypt Technologies, Inc. - Cease Trade Order
- P2 Solar, Inc. - Cease Trade Order
- Deploy Technologies, Inc. - Revocation Order
- Alkane, Inc. (formerly Chanaral Resources, Inc.) - Variation of Cease Trade Order
- Roadships Holdings, Inc. (formerly Caddystats, Inc.) - Cease Trade Order
- Global Hunter Corp. - Cease Trade Order
- Meridian Co. Ltd. - Cease Trade Order
- Adaltis Inc. - Cease Trade Order
- Pluris Energy Group Inc. - Revocation Order
- CMC Metals Ltd. - Cease Trade Order
- Wamco Technology Group Ltd. - Partial Revocation Order
- IAS Energy, Inc., Pax Clean Energy, Inc., The Spice Dept, Inc. and Wavelit, Inc. - Cease Trade Order
- Broadband Learning Corporation, Infinite Resources Inc., Sican Ventures Inc. and Specialty Foods Group Income Fund - Cease Trade Order
- Belvedere Resources Corporation, Globalink Ltd., Live Current Media Inc. and White Mountain Titanium Corporation - Cease Trade Order
- Fomack Energy Inc., Goldbridge Mining Ltd., Prominex Resource Corp., Rapid Solutions Corporation, Reg Technologies Inc. and Snowfield Development Corp. - Cease Trade Order
- Meridian Co. Ltd. - Revocation Order
Exemption Orders
- McLean Budden Limited - Decision
- Canadian Revolving Auto Floorplan Trust - Decision
- Canadian Zinc Corporation - Decision
- SilverCrest Mines Inc. - Order