REGULATORS: On September 12, 2006, after 124 days of hearing spread over three years, the British Columbia Securities Commission ("BCSC") released its decision in Pacific International Securities Inc.
COMPLIANCE: A Hearing Panel of the Investment Dealers Association of Canada (the "IDA") recently dismissed a motion that the IDA did not have jurisdiction to proceed with the allegations against a former Approved Person on the basis that he was no longer an IDA member and had resigned prior to commencement of disciplinary proceedings against him.

type Brokers' Report - October 2006