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Weekly Reports

Updates for the week ending November 13, 2009

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Policies and Instruments

 

  • CSA Staff Notice 58-305 - Status Report on the Proposed Changes to the Corporate Governance Regime

    This notice provides an update on the status of the corporate governance proposals published for comment on December 18, 2008, entitled “Proposed Repeal and Replacement of National Policy 58-201 Corporate Governance Guidelines, National Instrument 58-101 Disclosure of Corporate Governance Practices, and National Instrument 52-110 Audit Committees”. The notice advises that, based on the comments received, the CSA does not intend to implement the proposals as published and is reconsidering whether to make any changes to the current corporate governance regime. Any proposed changes would be published for comment and not take effect until the 2011 proxy season at the earliest.

  • BCN 2009/31 - Advance notice of amendments to National Instruments 21-101 Marketplace Operation and 23-101 Trading Rules, and their companion policies

    The Canadian Securities Administrators announce their intention to implement amendments to National Instrument 21-101, Marketplace Operation and National Instrument 23-101 Trading Rules, and their companion policies, subject to ministerial approval. The amendments require filling all visible, immediately accessible, better-priced limit orders before limit orders at inferior prices, regardless of the marketplace where the order is entered. These order-protection amendments will be effective February 1, 2011. Other amendments include a prohibition on intentionally locking or crossing markets and are effective January 28, 2010 .

 

News and Events

 

  • News release 2009/65 - BCSC Executive Director’s Bulletin: Securities regulator issues notice of hearing against B.C. man who raised funds for Forex trading
  • News release 2009/66 - BCSC panel to review MFDA governance bylaw
  • News release 2009/67 - Canadian Securities Regulators Enact Order Protection Rule to Maintain Integrity of Multiple Marketplaces
  • News release 2009/68 - Canadian Securities Regulators to maintain current corporate governance regime

 

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

 

 

Cease Trade Orders and Revocations

 (Failure to File)

 

 

Exemption Orders