Weekly Reports

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Updates for the week ending January 5, 2018

Instruments & Policies

  • 21-322 - CSA Staff Notice 21-322 Applicability of Regulation to the Operation of MTFs or OTFs in Canada

    The purpose of this Notice is to notify the public of the regulation, in Canada, of trading platforms operating in the Europe Union as regulated markets, multilateral trading facilities(MTFs) or organized trading facilities (OTFs).

News

  • News release 2018/01 - BCSC alleges that B.C. man and company issued securities without registration and made prohibited representations

Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies

  • MFDA - Notice of BCSC deemed non-objection to proposed amendments to MFDA Rule 5.3 (Client Reporting) and Policy No. 7 (Performance Reporting)

    This Notice announces the BCSC’s deemed non-objection to proposed amendments to MFDA Rule 5.3 (Client Reporting) and Policy No. 7 (Performance Reporting) 

Events

  • No new events

Decisions, Settlements, Hearings & Temporary Orders

Cease Trade Orders & Revocations

Exemptions Orders

  • No new documents