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Weekly Reports

Updates for the week ending April 16, 2010

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Policies and Instruments

  • BCN 2010/14 - Notice and Request for Comment - Proposed amendments to National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer, National Instrument 51-102 Continuous Disclosure Obligations and Companion Policy 51-102CP Continuous Disclosure Obligations, and National Policy 11-201 Delivery of Documents by Electronic Means

The Commission, together with other members of the CSA, is seeking comment on proposed amendments to National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer and related consequential amendments. The comment period ends on August 31, 2010.

  • BCN 2010/16 - Advance Notice of Amendments to National Instrument 24-101 Institutional Trade Matching and Settlement

This notice announces the expected amendments to National Instrument 24-101 Institutional Trade Matching and Settlement, and its related companion policy and forms. The amendments will be effective July 1, 2010, subject to ministerial consent.  The key amendment is to maintain the current requirement to match institutional trades no later than noon on the business day following the trade date (noon on T+1).

  • BCN 2010/17 - Notice of BC Instrument 43-501 Exemption from certificate requirement for foreign underwriters

This notice announces amendments to BCI 43-501 Exemption from certificate requirement for foreign underwriters

  • CSA Staff Notice 31-317 - Reporting Obligations Related to Terrorist Financing for Registrants, Exempt International Dealers, and Exempt International Advisers

    This notice deals with monthly reporting and other requirements relating to terrorist financing and certain United Nations Act sanctions.  It provides information on the new consolidated reporting form, the submission of monthly reports that may be filed by e-mail, and summary of the laws which impose the requirements

News and Events

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders