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Weekly Reports

Updates for the week ending July 8, 2011

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Policies and Instruments

  • CSA Staff Notice 31-325 - Marketing Practices of Portfolio Managers

    On July 5, 2011 the Canadian Securities Administrators published CSA Notice 31-325 Marketing Practices of Portfolio Managers.  The notice summarizes the CSA's recent review of portfolio managers' marketing practices and provides guidance on the preparation, review and use of marketing materials by portfolio managers and other registrants.
  • BCN 2011/18 - Adoption of Amendments to National Instrument 31-103 Registration Requirements and Exemptions and Amendments to National Instrument 33-109 Registration Information

    This BC Notice announces the adoption, effective July 11, 2011, of amendments to National Instrument 31-103 Registration Requirements and Exemptions, related forms and Companion Policy 31-103CP and amendments to National Instrument 33-109 Registration Information, related forms and Companion Policy 33-109CP.
  • TSX-V Request for Comment (link no longer operational) – Amendments to TSX Venture Exchange Rules Regarding Prioritization of Non-Displayed Orders (Dark Orders) that have a Minimum Quantity Condition

    The Commission is publishing for comment for 30 days (until August 8, 2011) proposed amendments to the TSX Venture Exchange Inc.’s rules  to prioritize dark orders that meet minimum quantity conditions.
  • MFDA - Request for Comment: Proposed amendments to MFDA Rule 2.2.1 (Know-Your Client) and MFDA Policy No. 2 (Minimum Standards for Account Supervision)

    The BCSC is publishing for a 90 day comment proposed amendments to MFDA Rule 2.2.1 (Know-Your-Client) and MFDA Policy No. 2 (Minimum Standards for Account Supervision). Section V of the MFDA's notice sets out the process for submitting comments.
  • MFDA - Notice of BCSC revocation of non-objection to proposed amendments to MFDA Rule 1.2.1(d)(vii)(A) - Dual Occupations - Financial Planning

    This Notice announces that the BCSC revoked its non-objection to the MFDA's proposed public interest amendments to Rule 1.2.1(d)(vii)(A) - Dual Occupations - Financial Planning (now Rule 1.2.1(c)(vii)(A)).

News and Events

Decisions, Settlements, Hearings, and Temporary Orders (Enforcement)

Cease Trade Orders and Revocations (Failure to File)

Exemption Orders