BCSC

Skip Navigation

About
Securities Law
Industry
Investor
Enforcement
Hearings
Resources

About
About BCSC

Who We Are

What We Do

Report a Concern

Mission, Values & Benefits

Funding & Accountability

Governance

Privacy

Media Room

Media Kit

Enforcement FAQs

Industry FAQs

News Releases

Reports & Publications

Subscriptions

Weekly Reports

Careers

Events

Contact Us
News Releases

September 14, 2023 - News Releases
Former mining company CEO must pay $40,000 for misrepresentations and filing of misleading statements
September 14, 2023 - News Releases
CSA appoints new Investor Advisory Panel Chair and seeks applications for new members to the panel
September 07, 2023 - News Releases
Canadian Securities Administrators release Year in Review
Securities Law
Act, Regulations & Rules

Instruments & Policies

Instruments & Policies (prior to 2000)

National Policy Statements

Forms

BC Notices

Requests for Comment

Applying for an Exemption

Exemption Orders (2002 to present)

Exemption Orders (prior to 2002)
Popular Topics

43-101

Capital Raising

Listed Issuer Financing Exemption (LIFE)

Resources

Act Regulations Rules

Instruments and Policies
Industry
Issuer Regulation

Guidance by Sector

Reporting Issuers

Continuous Disclosure Obligations

Raising Capital

Filing & Fees

Registrant Regulation

Compliance Toolkit

Understanding Your BCSC Compliance Examination

Derivatives

Financial Technology & Innovation

Marketplaces, SROs & Market Infrastructure

Canadian Investment Regulatory Organization (CIRO)

Exchanges

Market Infrastructure

Investor Protection Funds
Popular Topics

eServices

Exemption Orders

Filing & Fees

Hearings

Instruments and Policies

Mining

SEDAR+
Investor
Enforcement
Administrative Enforcement

Notices of Hearing and Temporary Orders

Settlements

Decisions

Automatic Reciprocal Orders

Administrative Penalties Imposed by Notice

Administrative Sanctions

Returning Funds to Investors

Sanction Payment Status List

Disciplined List

Early Intervention

Investment Caution List

Halt Trade Orders

Investor Alert

Cease Trade Orders

Criminal Enforcement

Past Cases

Guardians

Meet our investigators

Online investment schemes

Uncovering a pump-and-dump

Imprisoning a serial fraudster

A trail of deceit
Most Recent Decisions & Orders

September 14, 2023 - Decisions
NorthWest Copper Corp., Grant Sawiak, Tony Ianno, and John Kimmel [Ruling]
September 12, 2023 - Decisions
Bam Bam Resources Corp., formerly known as New Point Exploration Corp., and Bryn Gardener-Evans [Decision]

Investigation

SYOM form
Hearings
Hearings

About Hearings

Notices of Hearing

Hearing Schedule

Hearing Standards

Decisions

Hearing Resources

Communicable Disease Prevention Procedures and Guidelines

Hearing Procedures

Representing Yourself

Guidelines for Preparing Documents
Popular Topics

Conducting Background Research

Compliance Examination

Criminal Enforcement

Upcoming Hearings
Resources
BCSC Resources

FAQs Database

Securities Law Basics

Do Securities Laws Apply to Me?

Overview of BC Securities Laws

Industry Resources

Securities Industry Links

Securities Training & Education
Popular Topics

Instruments and Policies

Disclosure

Disciplinary Action

Home
Securities Law
Law & Policy
Instruments & Policies
3 - Registration Requirements & Related Matters
[current or historical]
[policy group]
[policy]

Securities Law

Close

Law & Policy

Law & Policy

Error

Policy document could not be located.

About
Who We Are
What We Do
News & Events
Careers
Contact Us

Reception: 604-899-6500 Inquiries: 604-899-6854 or 1-800-373-6393 Fax: 604-899-6506

701 West Georgia Street P.O. Box 10142, Pacific Centre Vancouver, BC V7Y 1L2

© 2023 British Columbia Securities Commission

Privacy
Sitemap
Legal