Weekly Reports
Updates for the week ending January 17, 2014
An upcoming Registrant Outreach Workshop (link no longer operational) is scheduled for February 20, 2014.
Policies & Instruments
- 91-304 - CSA Staff Notice 91-304 – Derivatives – Customer Clearing and Protection of Customer Collateral and Positions
The CSA is publishing this paper to obtain public comment on a model rule to protect customer collateral and positions and to increase the resiliency of derivatives clearing agencies.
The comment period expires on March 19, 2014
News
- News release 2014/05 - CSA Announces successful transition of CSA National Systems Operations and Support to CGI
- News release 2014/06 - CSA seek comment on derivatives Model Rule for customer clearing and protection of customer collateral and positions
- News release 2014/07 - BCSC panel fines Victoria broker $100,000 for contravening IIROC suitability rules
Decisions, Settlements, Hearings & Temporary Orders (Enforcement)
- Lance McManne, Orbuttron Ltd., and Orbuttron Sound Waves - Hearing Notice
- Starflick.com - Hearing Notice
- Starflick.com - Ruling
- Carolann Steinhoff and Investment Industry Regulatory Organization of Canada - Decision
Cease Trade Orders & Revocations (Failure to File)
- United China International Enterprises Group Ltd. - Revocation Order
- OmniArch Capital Corporation - Revocation Order
Exemption Orders
- Eldorado Gold Coӧperatief UA - Decision