NIN 99/13 - Updated List of Non-Compliant Registered Firms under National Instrument 33-106 [NIN - Rescinded]
Published Date: | 1999-04-23 |
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Effective Date: | 1999-04-22 |
This list updates the list of non-compliant registered firms first published in the Weekly Summary of April 16, 1999. The updated list sets out the name of the British Columbia registered firms that have not made some or all of the filings required under the National Instrument in connection with the survey and second management certificate on April 21, 1999.
The updated list will be made available through the Commission’s Year 2000 webpage at www.bcsc.bc.ca and will be revised on a periodic basis through the Commission’s website. Staff does not expect to publish further notices to provide revisions to this list.
Staff reiterate that they are prepared to start imposing terms and conditions of registration on British Columbia registered firms whose names appear on the attached list unless they file the required documents, completed in accordance with the National Instrument, by April 30, 1999. Staff refer registered firms to the list of possible terms and conditions set out in the CSA Staff Notice 33-302 entitled "National Instrument 33-106 Non-Compliant Registered Firms and Possible Terms and Conditions" published in the Weekly Summary of April 16, 1999.
DATED at Vancouver, British Columbia, on April 22, 1999.
Brenda J. Benham
Director
under National Instrument 33-106
Failure to file both Initial Survey and Second Management Certificate:
SGY Asset Management (Singapore) Limited
Failure to file Initial Survey only:
James P Marshall, Inc
Roxbury Capital Management, LLC
Failure to file Second Management Certificate only:
Advantage Investment Services Corp
Genesis Asset Managers Limited
Harold T. Hope Investment Services Inc
INDAGO Capital Management Inc
Institutional Capital Corporation
JD Stanley Futures Inc
K.M. Harris Capital Management Ltd
Legacy Communications Inc
Navellier & Associates
Rice Financial Group Inc
Failure to make any filings:
none
Updated April 21, 1999