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Weekly Reports

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Updates for the week ending May 19, 2017

Instruments & Policies

  • 31-350 - CSA Staff Notice 31-350 - Guidance on Small Firms Compliance and Regulatory Obligations

    Canadian Securities Administrators staff conducted compliance reviews of small firms registered with the CSA. This Notice discussed the findings from the reviews and suggested practices.

News

  • News release 2017/46 - BCSC panel fines and permanently bans Vancouver real estate developer for fraud

Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies

  • No new documents

Events

  • No new events

Decisions, Settlements, Hearings & Temporary Orders

Cease Trade Orders & Revocations

Exemptions Orders

  • No new documents