Weekly Reports
Updates for the week ending September 13, 2019
- 81-102 - CSA Notice and Request for Comment Reducing Regulatory Burden for Investment Fund Issuers – Phase 2, Stage 1
The Canadian Securities Administrators are publishing for a 90-day comment period proposed amendments as part of the first stage of Phase 2 of the CSA’s effort to reduce regulatory burden for investment fund issuers. The proposed amendments would remove redundant information in selected disclosure documents, use web-based technology to provide certain information about investment funds, codify exemptive relief that is routinely granted, and minimize the filing of documents that may contain duplicative information. The comment period expires December 11, 2019.
- News release 2019/54 - Canadian securities regulators propose eight initiatives to reduce regulatory burden for investment funds
- News release 2019/55 - BCSC reaches settlement with Richmond man for selling shares without prospectus
Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies
- No new documents
- No new events
Decisions, Settlements, Hearings & Temporary Orders
- John Malcolm Cockburn - Order and Settlement Agreement
- BridgeMark Financial Corp., Jackson & Company Professional Corp., Anthony Kevin Jackson, Lukor Capital Corp., Justin Edgar Liu, Rockshore Advisors Ltd. (formerly known as Cam Paddock Enterprises Inc.), Cameron Robert Paddock, Simran Singh Gill, JCN Capital Corp., John Rosarino Bevilacqua, Essos Corporate Services Inc., Sway Capital Corp., Von Rowell Torres, David Matthew Schmidt, Detona Capital Corp., Danilen Villanueva, Natasha Jon Emami, Altitude Marketing Corp., Ryan Peter Venier, Platinum Capital Corp., 658111 B.C. Ltd., Jason Christopher Shull, Tryton Financial Corp., Abeir Haddad, Tavistock Capital Corp., Robert John Lawrence, Jarman Capital Inc., Scott Jason Jarman, Northwest Marketing and Management Inc., Aly Babu Husein Mawji, Rufiza Babu Husein Mawji-Esmail, Denise Marie Trainor, Randy White, Escher Invest SA, Hunton Advisory Ltd., Kendl Capital Limited, 1153307 B.C. Ltd., Russell Grant Van Skiver, Bertho Holdings Ltd., Robert William Boswell, Haight-Ashbury Media Consultants Ltd., Ashkan Shahrokhi, Saiya Capital Corporation, Tara Kerry Haddad, Keir Paul MacPherson, Tollstam & Company Chartered Accountants, Albert Kenneth Tollstam, 727 Capital, David Raymond Duggan, Viral Stocks Inc., 10X Capital, Cryptobloc Technologies Corp., New Point Exploration Corp., Green 2 Blue Energy Corp., BLOK Technologies Inc., Kootenay Zinc Corp., Affinor Growers Inc., Liht Cannabis Corp. (formerly known as Marapharm Ventures Inc.), PreveCeutical Medical Inc., Speakeasy Cannabis Club Ltd., and Abattis Bioceuticals Corp. - Reasons for Decision
Cease Trade Orders & Revocations
- Rio Silver Inc. - Revocation Order
- Viridis Holdings Corp. - Revocation Order
- Guerrero Ventures Inc. - Revocation Order
- Alexis Financial Inc. - Revocation Order
- DynaResource, Inc. - Cease Trade Order
- Halio Energy Inc. - Revocation Order
- Carmanah Technologies Corporation - Order
- Methanex Corporation - Order
- Hempco Food and Fiber Inc. - Order
- Genus Capital Management Inc. - Order
- Buckingham Copper Corp. - Order