Weekly Reports
Updates for the week ending December 11, 2015
- BCN 2015-09 - Notice of Memorandum of Understanding Respecting the Oversight of Clearing Agencies, Trade Repositories and Matching Service Utilities
The Commission today signed a Memorandum of Understanding with other CSA jurisdictions concerning the oversight of clearing agencies, trade repositories and matching service utilities. - 45-106 - Adoption of Amendments Relating to Rights Offerings to National Instrument 45-106 Prospectus Exemptions, National Instrument 41-101 General Prospectus Requirements, National Instrument 44-101 Short Form Prospectus Distributions, and National Instrument 45-102 Resale of Securities and Repeal of National Instrument 45-101 Rights Offerings
The amendments come into force on December 8, 2015. The amendments create a streamlined prospectus exemption for rights offerings by reporting issuers and update other requirements related to rights offerings. - 81-102 CSA Notice and Request for Comment - CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts and ETF Facts - Proposed Amendments to National Instrument 81-102 Investment Funds and Related Consequential Amendments
The proposed amendments would mandate a CSA risk classification methodology for disclosure in the Fund Facts document and ETF Facts document. The comment period ends on March 9, 2016. - CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2016
This CSA staff notice advises issuers of the dates the securities regulatory authorities in jurisdictions across Canada are closed.
- News release 2015/88 - BCSC panel issues lifetime ban against self-employed “Forex” trader
- News release 2015/89 - Canadian Securities Regulators Seek Comments on a Mutual Fund Risk Classification Methodology
- News release 2015/90 - BCSC panel fines and orders bans against B.C. company and three B.C. residents for illegal distribution
Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies
- No new documents
- No new events
Decisions, Settlements, Hearings & Temporary Orders
- Hong Liang Zhong - Decision
- Wireless Wizard Technologies Inc., Raymond Michael Roger Sasseville, Edith Marie Sasseville and Richard Keller - Decision
Cease Trade Orders & Revocations
- AIM EXPLORATION INC. and Axiom Oil and Gas Corp. - Cease Trade Order
- Lake Victoria Mining Company, Inc. and St. Joseph, Inc. - Cease Trade Order
- Perpetual Industries Inc. - Cease Trade Order
- Froachan Farm Acquisition Corp., Servomarin Industries Corp. and Sunrise Resources Ltd. - Cease Trade Order
- Enseco Energy Services Corp, First Nickel Inc., Global SeaFarms Corporation, Iona Energy Inc., LeoNovus Inc., Odesia Group Inc. and Viking Gold Exploration Inc. - Cease Trade Order
- Big Shaft Resources Inc. - Revocation Order
- Solimar Energy Limited - Cease Trade Order
- Ogopogo Industries Ltd. - Revocation Order
- Cariboo Lake Resources Corp. - Revocation Order
- Altitude Resources Inc., CARRIE ARRAN RESOURCES INC., Carrington Acquisition Corp. and Digger Resources Inc. - Cease Trade Order
- Atlatsa Resources Corporation - Revocation Order
- 0941092 B.C. Ltd., 1011707 BC Ltd., 1011709 BC Ltd., Golden Coast Energy Corp., Greatbanks Resources Ltd., Hi Ho Silver Resources Inc., Newnote Financial Corp., PDC Biological Health Group Corporation, Regal Resources Inc. and Riske Capital Corp. - Cease Trade Order
- The Lonsdale Tactical Balanced Portfolio - Decision
- Xenon Pharmaceuticals Inc. - Decision