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Weekly Reports

Updates for the week ending November 21, 2008

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Policies and Instruments

  • BCSC non-objection to the MFDA’s proposed public interest amendments to Rule 1.1.6 - Introducing and Carrying Arrangement 

    This Notice announces that the BCSC has not objected to the MFDA’s proposed amendments to Rule 1.1.6 - Introducing and Carrying Arrangement. The amendments allow MFDA members greater flexibility in how they meet their disclosure obligations as introducing and carrying dealers, while continuing to ensure that clients are informed about the role and identity of each dealer. The BCSC published the amendments for comment on its website on May 30, 2008. The MFDA did not receive any comments on the proposal.

News and Events

  • No new documents

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

  • No new documents

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders