Weekly Reports
Updates for the week ending November 5, 2010
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Policies and Instruments
- CSA Staff Notice 91-401 - Consultation Paper 91-401 on Over-the-Counter Derivatives Regulation in Canada
The CSA is publishing Consultation Paper 91-401 on Over-the-Counter Derivatives Regulation in Canada to provide background and seek comment on high-level regulatory proposals on over-the-counter derivatives regulation. The paper requests comment on the proposals by January 14, 2011. - CSA Staff Notice 31-321 - Further Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements and Exemptions
This CSA notice announces the approval of two omnibus/blanket orders providing exemptions in certain circumstances from the requirements of National Instrument 31-103 - Registration Requirements and Exemptions to establish whether a client is an insider and to identify those who own or control more than 10% of a corporate. The orders become effective on November 5, 2010. Copies of the specific orders are available on the BCSC website.
News and Events
- News release 2010/69 - Canadian Securities Regulators Seek Comments on Proposed Over-the-Counter Derivatives Regulation
- News release 2010/70 - BCSC bans a Victoria woman for five years for violating securities laws
- News release 2010/71 - BCSC panel issues variation order for Gallowai and Bul River mining operations
Decisions, Settlements, Hearings, and Temporary Orders
(Enforcement)
- Nola Wanda Beecroft - Order and Settlement Agreement
- Ross Stanfield, Bul River Mineral Corporation and Gallowai Metal Mining Corporation - Variation Order
Cease Trade Orders and Revocations
(Failure to File)
- Apolo Gold & Energy Inc., Brazil Gold Corp., First American Scientific Corp. and Health International Corp. - Cease Trade Order
- Peace Summit Technologies (VCC) Inc. - Cease Trade Order
- Azabache Energy Inc., BENZAI CAPITAL CORP., Breaking Point Developments Inc., Meridex Software Corporation, Planet Organic Health Corp., Zeox Corporation -Cease Trade Order
- First American Scientific Corp. - Revocation Order