September 2011

September 2011

 

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Securities - CSA Staff Notice 41-306 IFRS Transition - Prospectus Issues

September 29, 2011 – This notice responds to inquiries about financial information to be included in a prospectus during the time of an issuer’s transition to IFRS.

• CSA Staff Notice 41-306

 

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Securities - General Orders Exempting Registrants from Certain Provisions of NI 31-103 Announced

September 28, 2011 – CSA Staff Notice 31-329 Omnibus/blanket orders exempting registrants from certain provisions of National Instrument 31-103 Registration Requirements, Exemptions, and Ongoing Registrant Obligations.

• CSA Staff Notice 31-329
• General Order 45-921
• General Order 31-916
• General Order 31-917
• General Order 31-918
• General Order 31-919

 

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Securities - Notice of Hearing - Gold Vault Metals

September 19, 2011 - Notice of Hearing for Gold Vault Metals

• Notice of Hearing - September 19, 2011

 

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Securities - CSA Staff Notice 51-336 Issuers Using Mass Advertising

September 13, 2011 - CSA Staff Notice 51-336

• CSA Staff Notice 51-336

 

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Securities - Compensation Order

September 8, 2011 - Compensation Order for Seisma Oil Research, LLC, Seisma Energy Research A.V.V., Seisma Energy Research, LLC, SXC Stock Exchange of the Caribbean A.V.V., Seisma Mckenzie Draw #1 Joint Venture, also known as Mckenzie Draw Joint Venture, Justin Solomon, Peter Somers and Victor Hedle.

• Compensation Order - September 8, 2011

 

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Securities - Extending Order

September 8, 2011 - Extending Order for I.W.F. Incorporated also known as I.W.F Inc., Keystone Explorations, Horizon Explorations and Jack Shore.

• Extending Order - September 8, 2011

 

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Securities - Adjournment of Hearing - Alena Marie Pastuch et al.

September 8, 2011 - Adjournment of Hearing for Alena Marie Pastuch et al

• Adjournment - September 8, 2011

 

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Securities - CSA Staff Notice 31-327 Broker-Dealer Registration in the Exempt Market Dealer Category

September 2, 2011 - This Notice is to outline our concerns with firms conducting brokerage activities that are applying for registration in the EMD category and with firms already registered in the category because we do not think the EMD category was intended to allow firms to engage in brokerage activities. This Notice also outlines our interim response to this problem and to advise that we will be examining these activities in a wider consultation and review process.

• CSA Staff Notice 31-327