Weekly Reports
Updates for the week ending January 24, 2020
- 23-325 - CSA Notice 23-325 Trading Fee Rebate Pilot Study
The purpose of this Notice is to notify the public that CSA members have either approved or not objected to implementing a pilot study that applies temporary restrictions on the payment of rebates by Canadian marketplaces. The notice indicates that implementation of the pilot study in Canada is conditional on the implementation of a similar study in the United States. The final design report of the pilot study is included in the Notice.
- News release 2020/05 - BCSC alleges corporation made misrepresentations and false or misleading statements
- News release 2020/06 - Canadian securities regulators provide update on trading fee rebate pilot study
Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies
- No new documents
- No new events
Decisions, Settlements, Hearings & Temporary Orders
- Aik Guan “Frankie” Lim, Scott Thomas Low, Darrell Wayne Wiebe, FS Financial Strategies Inc., FS Financial Strategies Services Inc., 3i Capital ClearPath Limited Partnership, FS Financial Services Inc., FS Financial Services (Alberta) Inc., Verico FS Capital Inc., and FS Financial Systems Inc. - Further Extension and Partial Revocation of Temporary Order
- All Canadian Investment Corporation and Donald Bergman - Notice of Hearing
Cease Trade Orders & Revocations
- Quantum Energy Inc. - Cease Trade Order
- MX Gold Corp. - Revocation Order
- Pepcap Resources, Inc. - Revocation Order
- Performing Equity Developments (Squamish) Ltd. - Cease Trade Order
- Performing Equity (Squamish) Limited Partnership - Cease Trade Order
- Performing Equity (Shawnigan) Limited Partnership - Cease Trade Order
- Terraco Gold Corp. - Order
- Iplayco Corporation Ltd. - Order