CSA / ACVM Canadian Securities Autorités canadiennes Administrators en valeurs mobilières CSA STAFF NOTICE 33-308 THE CSA STP READINESS ASSESSMENT SURVEY REPORT (SURVEY REPORT) IS NOW AVAILABLE ON THE OSC WEBSITE The Canadian Securities Administrators (CSA), a council of the 13 securities regulators of Canada’s provinces and territories, believe that straight-through processing (STP) is an extremely important initiative. The CSA provided a STP Readiness Assessment Survey (“Survey”) to Canadian registrant and non-registrant firms (“Firms”) to assess the preparedness of the industry in Canada for STP. The Survey was available online from May 9 to May 30, 2003. The CSA asked investment dealers, mutual fund dealers, investment counsels and/or portfolio managers, limited market dealers, mutual fund managers, discount brokers (Quebec registrant category), and unrestricted brokers (Quebec registrant category) to complete the Survey. We asked nearly 998 Firms to participate in the Survey and received 732 responses (a 73% response rate). The CSA has tabulated the results and has posted the Survey Report on the OSC website. To view the Survey Report, please visit the OSC website at www.osc.gov.on.ca. We thank all Firms who have taken the time to complete the voluntary Survey. For more information on the STP initiative, please visit the OSC website at www.osc.gov.on.ca and the Canadian Capital Markets Association (CCMA) website at www.ccma-acmc.ca. For further information regarding the Survey Report, please contact: Emily Sutlic Legal Counsel, Market Regulation Capital Markets Branch Ontario Securities Commission Phone:416-593-2362 Fax: 416-595-8940 E-mail: esutlic@osc.gov.on.ca Veronica Armstrong Senior Policy Advisor British Columbia Securities Commission Phone: (604) 899-6738 Fax: (604) 899-6814 E-mail: Varmstrong@bcsc.bc.ca
Patricia Leeson Legal Counsel Alberta Securities Commission Phone: 403-297-5222 Fax: 403-297-6156 Email: patricia.leeson@seccom.ab.ca Nicolas Roy Special Advisor to the Chair Commission des valeurs mobilières du Québec Tel: (514) 940-4581 Fax: (514) 864-6381 Email: Nicolas.roy@cvmq.com
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