Weekly Reports
Updates for the week ending October 9, 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
- BC Notice 2009/24 - Advance Notice of National Instrument 23-102 Use of Client Brokerage Commissions
This notice announces the Canadian Securities Administrators' intent to adopt National Instrument 23-102 Use of Client Brokerage Commissions and its companion policy. Its purpose is to regulate dealers and advisers in situations where advisers obtain goods and services other than order execution in connection with brokerage transactions involving client brokerage commissions. - BC Notice 2009/25 - Request for Comment - Proposed Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure and Form 81-101F2 Contents Of Annual Information Form and to National Instrument 41-101 General Prospectus Requirements and Form 41-101F2 Information Required In An Investment Fund Prospectus
The Canadian Securities Administrators request comment about proposed amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure and Form 81-101F2 Contents Of Annual Information Form and to National Instrument 41-101 General Prospectus Requirements and Form 41-101F2 Information Required In An Investment Fund Prospectus. The proposed amendments are consequential amendments to National Instrument 23-102 Use of Client Brokerage Commissions (NI 23-102).
News and Events
- News release 2009/51 - Canadians still not putting investing knowledge into practice, national study reveals
- News release 2009/52 - Learn How to Protect Your Money from Investment Fraud
- News release 2009/53 - Canadian Securities Regulators Approve Requirements On Use of Client Brokerage Commissions
- News release 2009/54 - Former Vancouver resident receives seven-year market bans and pays $10,000
- News release 2009/55 - BCSC Executive Director’s Bulletin: Securities regulator issues temporary order and gives notice of a hearing into alleged advance fee scheme
Decisions, Settlements, Hearings, and Temporary Orders
(Enforcement)- Michael Kyaw Myint Hua Hu - Ruling
- Ryan Anthony Gibson - Order and Settlement Agreement
- Ryan Anthony Gibson - Notice of Discontinuance
- Rocky Mountain Golding Mining Inc. and RMG Mining Inc. - Notice of Discontinuance
- The Castleton Group and Beltway M&A - Temporary Order and Notice of Hearing
Cease Trade Orders and Revocations
(Failure to File)- Pan Terra Industries Inc. - Cease Trade Order
- Itiva Digital Media Corp. - Revocation Order
- Phoenix Capital Income Trust - Cease Trade Order
- E.S.I. Environmental Sensors Inc. - Cease Trade Order
- Heritage Investment Properties Mortgage Fund - Cease Trade Order
- Blue Diamond Mining Corporation - Revocation Order
- Global Hunter Corp. - Revocation Order
- Roadships Holdings, Inc. (formerly Caddystats, Inc.) - Revocation Order
- Verona Developments Corp. - Revocation Order
- Larry Kau, Peter Walton and Dorex Minerals Inc. - Revocation Order
- Rod Husband and Global Hunter Corp. - Revocation Order
Exemption Orders
- No new documents