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Weekly Reports

Updates for the week ending April 20, 2018


Instruments & Policies

  • 93-102 - CSA Notice and Request for Comment Proposed National Instrument 93-102 Derivatives: Registration - Proposed Companion Policy 93-102 Derivatives: Registration

    This notice describes Proposed National Instrument 93-102 Derivatives: Registration and related documents. The proposed instrument describes specific requirements for persons that have registration obligations because of trading in or advising on certain derivatives. The comment period for this proposal expires on September 17, 2018.  

News

  • News release 2018/24 - BCSC finds that B.C. man and company traded securities without being registered and without filing a prospectus
  • News release 2018/25 - Canadian securities regulators seek input on the proposed derivatives registration rule

Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies

  • No new documents

Events

  • No new events

Decisions, Settlements, Hearings & Temporary Orders

Cease Trade Orders & Revocations

Exemptions Orders


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