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Weekly Reports

Updates for the week ending October 2, 2009

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Policies and Instruments

  • BCN 2009/22 - Adoption of BC Instrument 81-504 Transactions Between Mutual Funds and Responsible Persons Relating to Certain Debt Securities, Mortgages and Equity Securities [BCN]

    Transactions Between Mutual Funds and Responsible Persons Relating to Certain Debt Securities, Mortgages, and Equity Securities - Order under sections 48 and 187 of the Securities Act, and sections 13.5(2)(b) and 15.1(1) of National Instrument 31-103 Registration Requirements and Exemptions.

  • BCN 2009/23 - Joint Canadian Securities Administrators/ Investment Industry Regulatory Organization of Canada Consultation Paper 23-404 Dark Pools, Dark Orders, and other Developments in Market Structure in Canada [BCN]

    This notice requests comments on the Consultation Paper relating to Dark Pools, Dark Orders and Other Developments in Market Structure in Canada issued jointly by the Canadian Securities Administrators and Investment Industry Regulatory Organization of Canada. The Consultation Paper specifically encourages public comment on a variety of specific issues affecting the Canadian securities market, including dark liquidity pools, dark order types, pegged order types, and smart order routers interacting with dark liquidity. The comment period ends on December 29, 2009.

News and Events

  • News Release 2009/49 - National registration regime implemented: Canadian securities regulators announce new registration rules and streamlined process for dealers and advisers [CSA]
  • News Release 2009/50 - CSA and IIROC publish Joint Consultation Paper on dark pools, dark orders, and other developments in market structure in Canada [CSA]

Decisions, Settlements, Hearings, and Temporary Orders

 (Enforcement)

Cease Trade Orders and Revocations

 (Failure to File)

Exemption Orders