Weekly Reports
Updates for the week ending April 23, 2021
- 14-101 - CSA Notice and Request for Comment – Proposed amendments to National Instrument 14-101 Definitions and Consequential Amendments
This notice publishes for comment proposed amendments to NI 14-101 to create a uniform definition of “Canadian financial institution” that applies to all national and multilateral instruments, and to introduce a revised definition of “Handbook” to reflect the separate publication of the Chartered Professional Accountants of Canada that relate to accounting and assurance. The comment period ends July 21, 2021.
- News release 2021/23 - BCSC sanctions marketing director and lead strategist for obstruction of justice
- News release 2021/24 - BCSC settles with Lower Mainland residents for promoting U.S.-based fraud
- News release 2021/25 - HSBC subsidiary agrees to pay $1,050,000 for failing to deal fairly with investors
Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies
- Aequitas Innovations Inc and Neo Exchange Inc - Exemptive Order in Multiple Jurisdictions
- Aequitas Innovations Inc and Neo Exchange Inc - Revocation Order
- No new documents
Decisions, Settlements, Hearings & Temporary Orders
- Hunter Wei-Shun Wang (aka Hunter Wei Shun Wang) and Jing “Janet” Zhang - Decision
- Monita Hung Mui Chan - Order and Settlement Agreement
- Marie-Joy Vincent - Order and Settlement Agreement
- DFRF Enterprises LLC (DFRF Massachusetts), DFRF Enterprises, LLC (DFRF Florida), Daniel Fernandes Rojo Filho, Heriberto C. Perez Valdes, (together, the US Principals) Monita Hung Mui Chan, Sabrina Ling Huei Wei, Justin Colin Villarin, Marie Joy Vincent, and James Bernard Law (together, the BC Participants) (collectively, the Respondents) - Notice of Discontinuance
- DFRF Enterprises LLC (DFRF Massachusetts), DFRF Enterprises, LLC (DFRF Florida), Daniel Fernandes Rojo Filho, Heriberto C. Perez Valdes, (together, the US Principals) Monita Hung Mui Chan, Sabrina Ling Huei Wei, Justin Colin Villarin, Marie Joy Vincent, and James Bernard Law (together, the BC Participants) (collectively, the Respondents) - Notice of Discontinuance
- Hunter Wei-Shun Wang (aka Hunter Wei Shun Wang) and Jing “Janet” Zhang - Correction
- HSBC Global Asset Management (Canada) Limited - Settlement Agreement
- Axion Ventures Inc. - Reasons for Decision
Cease Trade Orders & Revocations
- For weeks after July 21, 2023, please visit SEDAR+ for information about all cease trade orders (CTO). SEDAR+ includes all CTOs for failure to file as well as CTOs found in enforcement decisions, settlements, and temporary orders from companies and individuals from BC and other Canadian jurisdictions.
If you need further assistance, please reach out to us.
BCSC Contact Centre
Phone: 604-899-6854 or 1-800-373-6393 (toll free across Canada)
Email: inquiries@bcsc.bc.ca
- No new documents