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Securities Law

NIN 99/13 - Updated List of Non-Compliant Registered Firms under National Instrument 33-106 [NIN - Rescinded]

Published Date: 1999-04-23
Effective Date: 1999-04-22
Following a review of filings received, staff of the Commission are publishing an updated list of non-compliant British Columbia registered firms under National Instrument 33-106 entitled "Year 2000 Preparation Reporting" (the "National Instrument"). The National Instrument was adopted by members of the CSA in October 1998 and imposes requirements on registered firms to file, on a periodic basis, information with the regulator relating to their preparations for the Year 2000 Problem.

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 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

List of Non-Compliant Registered Firms
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:


Updated April 21, 1999