ASC Weekly Updates
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*The following updates and their corresponding links are accurate as of the date frame noted and may not work at a later date.
December 23, 2019-January 3, 2020
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- Granite Oil Corp. (Dual Decision, 3/18/2020, s. 153 exemption)
News & Publications
- News Releases
- Canadian securities regulators provide guidance on conducting Annual General Meetings during COVID-19 outbreak (3/20/2020)
- Canadian securities regulators warn public of coronavirus-related investment scams (3/19/2020)
- Canadian securities regulators to provide blanket relief for market participants due to COVID-19 (3/18/2020)
- Canadian securities regulators provide update on COVID-19 and potential filing delays by reporting issuers (3/16/2020)
Issuer Regulation
News & Publications
Securities Law and Policy
- Regulatory Updates
- CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities (3/5/2020)
- CSA Notice and Request for Comment Proposed Amendments to National Instrument 31-103 and related Companion Policy to Enhance Protection of Older and Vulnerable Clients (3/5/2020)
- CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers) (3/5/2020)
Issuer Regulation
- Exemption Orders
- Ultra Petroleum Corp.(Dual Decision, 3/6/2020, NI 51-101; N 51-102; NI 55-102; NI 55-104; NI 58-101; NI 62-103 exemptions)
Enforcement
- Notices, Decisions and Orders
- CERATO, Jan Gregory (a.k.a. Jan Strzepka) (Notice of Hearing, 2/28/2020)
News & Publications
- News Releases
- Canadian securities regulators adopt harmonized pre-file review of prospectuses (3/5/2020)
- Canadian securities regulators propose changes to tackle financial exploitation and diminished mental capacity of older and vulnerable clients (3/5/2020)
- ASC issues Notice of Hearing against Jan Gregory Cerato for illegal distributions of investments involving cryptocurrencies (3/4/2020)
Careers
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- Bordeaux Developments Corporation (Passport Decision, 2/24/2020, s. 153 exemption)
- Decisions and Orders (Issuers)
- Mexivada Mining Corp. (Revocation Order, 2/27/2020)
- North Sur Resources Inc. (Revocation Order, 2/24/2020)
News & Publications
Careers
Securities Law and Policy
Issuer Regulation
- Decisions and Orders (Issuers)
- CaiTerra International Energy Corporation (Revocation Order, 2/18/2020)
News & Publications
Securities Law and Policy
- Regulatory Updates
- CSA Staff Notice 23-326 Order Protection Rule: Market Share Threshold for the Period April 1, 2020 to March 31, 2021 (2/13/2020)
- CSA Second Notice and Request for Comment Proposed National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure Proposed Companion Policy 52-112 and related Proposed Consequential Amendments and Changes (2/13/2020)
Issuer Regulation
- Exemption Orders
- Middlefield Global Real Asset Fund (Dual Decision, 2/14/2020, s. 110, s. 144 exemption)
- Ovintiv Inc.(Dual Decision, 2/11/2020, NI 51-102; NI 54-101 exemption)
News & Publications
Careers
Issuer Regulation
- Exemption Orders
- Ovintiv Inc. (Dual Decision, 2/6/2020, NI 51-101 exemption)
- Decisions and Orders (Issuers)
- Nextraction Energy Corp. (Revocation Order, 2/7/2020)
- CaiTerra International Energy Corporation (Cease Trade Order, 2/4/2020)
Careers
Issuer Regulation
- Exemption Orders
- UMG Media Ltd. (Dual Decision, 1/31/2020, s. 153 exemption)
- Ovintiv Canada ULC (Dual Decision, 1/30/2020, s. 153 exemption)
- Bacanora Lithium plc (Passport Decision, 1/28/2020, s. 153 exemption)
Enforcement
- Notices, Decisions and Orders
- LAFRAMBOISE, Marie Louise (ASC Decision, 1/28/2020)
News & Publications
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- Baytex Energy Corp.(ABCA Order, 1/24/2020, s. 3(3) ABCA exemption)
- Chemtrade Electrochem Inc. (Dual Decision, 1/22/2020, s. 153 exemption)
- Accelerate Financial Technologies Inc. (Dual Decision, 1/21/2020, NI 81-102 exemption)
News & Publications
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- Neurocords Corporation (Dual Decision, 1/14/2020, s. 153 exemption)
Enforcement
- Notices, Decisions and Orders
- Ava Trade Ltd. (Settlement Agreement, 1/16/2020)
News & Publications
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- Pengrowth Energy Corporation (Dual Decision, 1/7/2020, s. 153 exemption)
- Decisions and Orders
- Northern Alliance Financial Corporation (Settlement Agreement/Undertaking, 1/7/2020)
- Horizon Petroleum Ltd. (Cease Trade Order, 1/6/2020)
News & Publications
December 23, 2019-January 3, 2020
Issuer Regulation
- Exemption Orders
- PKM Canada Limited (Dual Decision, 1/2/2020, s. 153 exemption)
- WestJet Airlines Ltd. (Dual Decision, 12/23/2019, s. 153 exemption)
Registrant & Market Regulation
- Exemption Orders
- Longbow Capital Inc. (Dual Decision, 1/3/2020, NI 31-103, s. 13.5(2)(b)(iii), and s.15.1 exemptions)
News & Publications
- Reports and Publications
- 2019 Corporate Finance Disclosure Report (12/24/2019)
- 2019 Oil and Gas Review Report (12/23/2019)
Careers
Securities Law and Policy
Issuer Regulation
News & Publications
Issuer Regulation
- Exemption Orders
- Melcor Real Estate Investment Trust (Dual Decision, 12/10/2019, NI 51-102 exemption)
Enforcement
- Notices, Decisions and Orders
- Kilimanjaro Capital Ltd. now known as N1 Technologies Inc. (Notice of Hearing, 12/10/2019)
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Traverse Energy Ltd. (Cease Trade Order, 12/5/2019)
- Exemption Orders
- NXT Energy Solutions Inc. (Passport Decision,12/6/2019, NI 62-104 exemption)
Issuer Regulation
Issuer Regulation
- Decisions and Orders (Issuers)
- Lifestyle Global Brands Limited (Revocation/Expiry, 11/22/2019)
Enforcement
- Notices, Decisions and Orders
- DALLA-LONGA, Sherry Jean (Settlement Agreement/Undertaking, 11/15/2019)
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- eQube Gaming Limited (Revocation Order, 11/13/2019)
- eQube Gaming Limited (Revocation Order, 11/13/2019)
- Reporting Issuer List
Enforcement
- Notices, Decisions and Orders
- KITTS, Brian Arthur (ASC Decision, 11/12/2019)
- ZANG, John Charles (Notice of Withdrawal of Notice of Hearing, 11/12/2019)
- ZANG, John Charles (Settlement Agreement/undertaking, 11/12/2019)
News & Publications
Careers
Issuer Regulation
- Exemption Orders
- ClearStream Energy Services Inc. (Dual Decision, 11/6/2019, NI 52-107 exemption)
- Decisions and Orders (Issuers)
- eQube Gaming Limited (Cease Trade Order, 11/5/2019)
- eQube Gaming Limited (Cease Trade Order, 11/5/2019)
- Reporting Issuer List
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Promintory Developments Limited Partnership (Undertaking Fulfilled,11/1/2019)
- Promintory Developments Limited Partnership (Undertaking Fulfilled,11/1/2019)
- Reporting Issuer List
Enforcement
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Silk Road Energy Inc.(Variation of Cease Trade Order, 10/24/2019)
- MGM Resources Corp.(Revocation/Expiry, 10/23/2019)
- Reporting Issuer List
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Reiva Global Corporation (Undertaking, 10/18/2019)
- Weststone (Innovation) Limited Partnership (Undertaking, 10/11/2019)
- Weststone (Innovation) Trust (Undertaking, 10/11/2019)
Careers
Issuer Regulation
- Decisions and Orders (Issuers)
- Bionovate Technologies Corp.(Revocation order, 10/10/2019)
- CapGain Properties Inc.(Revocation order, 10/9/2019)
- BluCap Real Estate Fund (Undertaking, 10/7/2019)
Enforcement
- Notices, Decisions and Orders
- SHAW, Logan Keith (Interim Order, 10/7/2019)
News & Publications
Careers
Securities Law and Policy
- Regulatory Updates
- Report on Compliance with the Accredited Investor Prospectus Exemption (10/3/2019)
- CSA Notice and Request for Comment Proposed Amendments to National Instrument 52-108 Auditor Oversight and related Companion Policy (10/3/2019)
- Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and to Companion Policy 31 103CP (Client Focused Reforms) (10/3/2019)
- ASC adopts Start-up Crowdfunding Blanket Order 45-521 Start-up Crowdfunding Registration and Prospectus Exemptions (10/2/2019)
- CSA Multilateral Staff Notice 58-311 Report on Fifth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions (10/2/2019)
Issuer Regulation
- Exemption Orders
- Melcor Real Estate Investment Trust (Passport Decision, 10/1/2019, MI 61-101 exemption)
- Decisions and Orders (Issuers)
- IMBY Real Estate (1956 E13) Corp. (Undertaking, 9/30/2019)
- Promintory Developments Limited Partnership (Undertaking, 9/30/2019)
News & Publications
- News Releases
- ASC sanctions Ron Aitkens, Roy Beyer and several entities for breaching Alberta securities laws (10/4/2019)
- Canadian securities regulators propose changes to auditor oversight rules (10/3/2019)
- Canadian securities regulators implement investor protection reforms, strengthening the client-registrant relationship across Canada (10/3/2019)
- ASC adopts Start-up Crowdfunding Blanket Order (10/2/2019)
- ASC releases 2019 update of Women on Boards data (10/2/2019)
- Canadian securities regulators release data regarding women on boards and in executive officer positions (10/2/2019)
- Canadian securities regulators publish latest Investor Education activities (10/1/2019)
- Events & Presentations
- Upcoming event: ASC Registrant Outreach and Education Seminars - November 2019
Careers
Issuer Regulation
- Decisions and Orders
- Fortem Resources Inc. (9/26/2019, Variation of Cease Trade Order)
- Avalon Works Corp. (9/24/2019, Revocation Order)
- Poplar Creek Resources Inc. (9/24/2019, Revocation/Expiry)
- Reporting Issuer List
Careers
Issuer Regulation
-
Exemption Orders
- Critical Control Energy Services Corp.(Dual Decision, 9/17/2019, s. 153 exemption)
- Reporting Issuer List
Registrant & Market Regulation
-
Decisions & Orders
- TrueEX LLC (Revocation Order, 9/16/2019)
News & Publications
Careers
- Career Opportunities
- Legal & Senior Legal Counsel, Corporate Finance (Lawyer)
- Securities Analyst, Corporate Finance (CPA)
- Regulatory Analyst, Market Oversight (CPA)
- Legal Counsel, Market Regulation Opportunities
- Senior Legal & Policy Counsel (Lawyer), New Economy
- Chief Accountant & Chief Financial Officer
- Petroleum Evaluation Engineer (12 Month Maternity Leave Contract)
- Team Lead, Market Oversight