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Weekly Reports

Updates for the week ending December 25, 2009

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Policies and Instruments

  • BCN 2009/36 - Notice of Adoption as an urgent rule, and of Publication for Comment, of BC Instrument 81-513 Self-Dealing and related consequential amendments [BCN]

    This notice announces the adoption and concurrent publication for comment of BCI 81-513 Self-Dealing. This rule replaces most of the self-dealing restrictions that were previously in sections 120-122, 124, 126 and 129 of the Securities Act. The urgent rule was effective on December 23, 2009.
     
  • Proposed Consequential Amendments to MFDA Rules and Policy No. 6

    The Commission is publishing for comment for 90 days proposed consequential amendments to the following MFDA Rules and Policy resulting from National Instrument 31-103 Registration Requirements and Exemption

1. Rule 1.2 (Proficiency Requirements)
2. Rule 2.4.2 (Referral Arrangements)
3. Rule 2.5 (Minimum Standards of Supervision)
4. Rule 5.3 (Client Reporting)
5. Rule 5.6 (Record Retention)
6. MFDA Policy No. 6 Information Reporting Requirements

The comment period ends on March 23, 2010. Details on the process for submitting comments are included in Section V of the MFDA’s notice.

News and Events

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

Cease Trade Orders and Revocations (Failure to File)

Exemption Orders