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Weekly Reports

Updates for the week ending March 26, 2010

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

  • BCN 2010/09 - Adoption of BC Instrument 21-504, Exemption from filing period requirement for change in Form 21-101F1 Exhibit N

BC Instrument 21-504 provides an exemption from the requirement to file changes to information previously provided in Form 21-101F1 Exhibit N (fees) at least 45 days in advance, if the required amendment is filed at least seven business days before implementing the change.

  • BCN 2010/10 - Adoption of BC Instrument 32-514 Exemption from certain registration requirements for foreign-based portfolio managers

BC Instrument 32-514 provides a transitional exemption, for foreign portfolio managers, from certain requirements in National Instrument 31-103 Registration Requirements and Exemptions

  • BCN 2010/11 - Notice and Request for Comment - Modernization of Scholarship Plan Regulation Phase 1 - a New Prospectus Form for Scholarship Plans, Proposed Amendments to National Instrument 41 - 101 General Prospectus Requirements, Form 41-101F2 and Related Amendments

    This notice requests comments on proposed amendments to National Instrument 41-101 General Prospectus Requirements Form 41-101F2, and a new Form 41-101F3 that would introduce new prospectus disclosure requirements for scholarship plans.  The comment period ends on June 22, 2010.

  • Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.4.1 - Payment of Commissions to Unregistered Corporation

    This Notice announces that the BCSC has not objected to the MFDA's proposed amendments to its Rule 2.4.1 - Payment of Commissions to Unregistered Corporation.  The amendments allow approved persons of MFDA member firms to have remuneration from the member paid directly to an unregistered corporation, subject to certain conditions.  This does not apply, however, in respect of any remuneration derived from a client in Alberta.  The BCSC published the amendments for comment on its website on June 19, 2009.  The MFDA received six comment letters on the proposal.  A summary of the comments and the MFDA's responses are attached to this Notice.

  • CSA Staff Notice 31-316 - Blanket Order Exempting Persons and Companies from the Requirement to Register when Trading in Short-term Debt Instruments

    This notice describes a blanket order to address urgent issues related to trades executed by certain financial institutions involving short-term debt instruments, resulting from the introduction of National Instrument 31-103 - Registration Requirements and Exemptions.  The order becomes effective on March 27, 2010.

News and Events

  • News release 2010/14 - Investor Alert: Securities regulators warn of investments that encourage you to unlock your retirement savings
  • News release 2010/15 - Canadian securities regulators take steps to improve scholarship plan disclosure for investors [CSA]

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders

  • No new documents