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ASC Weekly Updates

To subscribe to receive weekly updates on the first business day of each week, please complete and submit this online form

*The following updates and their corresponding links are accurate as of the date frame noted and may not work at a later date.

January 10-14, 2022

December 27, 2021-January 7, 2022

December 20-24, 2021

December 13-17, 2021

December 6-10, 2021

November 29-December 3, 2021

November 22-26, 2021

November 15-19, 2021

November 8-12, 2021

November 1-5, 2021

October 25-29, 2021

October 18-22, 2021

October 11-15, 2021

October 4-8, 2021

September 27-October 1, 2021

September 20-24, 2021

September 13-17, 2021

September 6-10, 2021

August 30-September 3, 2021

August 23-27, 2021

August 16-20, 2021

August 9-13, 2021

August 2-6, 2021

July 26-30, 2021

July 19-23, 2021

July 12-16, 2021

January 10-14, 2022

Securities Law & Policy

Regulatory Updates
- CSA Notice of Publication Amendments to National Instrument 52-108 Auditor Oversight and Changes to the related Companion Policy (01/13/2022)

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- BioLargo, Inc. (Revocation Order, 01/13/2022)

Enforcement

Notices, Decisions & Orders
- UITVLUGT, Christopher (ASC Decision, 01/06/2022)

News & Publications

News Releases

Careers

Legal Counsel, Office of the General Counsel (Closing date, 02/03/2022)

December 27, 2021-January 7, 2022

Issuer Regulation

Reporting Issuer List
Exemption Orders
- PFB Corporation (Dual Decision, 12/30/2021, s. 153)
- Alliance Pipeline Limited Partnership (Dual Decision, 12/29/2021, s. 153)

Registrant & Market Regulation

Exemption Orders
- Tudor, Pickering, Holt & Co. Securities Canada ULC (Dual Decision, 12/31/2021, s.15.1 of NI 31-103)

Events & Presentations

2022 Corporate Finance Disclosure and Energy Matters Information Sessions ( Registration is open, 1/20/2022)

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December 20-24, 2021

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Bison Acquisition Corp. (ASC Decision, 12/21/2021)

Registrant & Market Regulation

Exemption Orders
- Simply Digital Technologies Inc COB CoinSmart (Coordinated Review Decision, 12/21/2021, Act s. 110, NI 31-103 s. 13.3, MI 96-101 Part 3)

News & Publications

News Releases
- ASC issues written decision regarding Bison Acquisition Corp. applications (12/23/2021)
Reports & Publications
- 2021 Energy Matters Report (12/24/2021)
Events & Presentations
- Diversity in corporate Canada and the role of the securities regulator (Video recording added)
- Understanding proposed climate-related disclosure requirements (Video recording, presentation added)

Careers

General Accountant (1-year contract) (Closing date, 01/5/2022)
Senior Legal Counsel, Market Regulation (1-year contract) (Closing date, 01/8/2022)

December 13-17, 2021

Securities Law & Policy

Regulatory Updates
- CSA Notice of Amendments to National Instrument 33-109 Registration Information, National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to their respective companion policies (December 16, 2021)

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Prairie Storm Resources Corp. (Dual Decision S. 153 exemption, 12/15/2021)
Decisions & Orders
- TRC Fund II Inc. (Undertaking Fulfilled, 12/16/2021)

Registrant & Market Regulation

Exemption Orders
- Tullett Prebon Americas Corp and PVM Futures Inc. (ASC Order, s.75(1)(a) and s.144, 12/15/2021)
- BMO Nesbitt Burns Inc. (Coordinated Review Decision, s.15.1 of NI 21-101, 12.1 of NI 23-101, s.10 of NI 23-103, 12/15/2021)

Enforcement

Notices. Decisions & Orders
- Alberta Securities Commission v Hennig, 2021 ABCA 411 (Court Decision, 12/14/2021)

News & Publications

News Releases
- Alberta Court of Appeal allows appeal (12/16/2021)
- Canadian securities regulators modernize registration information requirements, clarify outside activity reporting and update filing deadlines(12/16/2021)

Reports & Publications
- 2021 Corporate Finance Disclosure Report (12/13/2021)

December 6-10, 2021

Securities Law & Policy

Regulatory Updates
- ASC Blanket Order 44-501 Exemption from Certain Prospectus Requirements for Well-Known Seasoned Issuers (December 6, 2021)

Issuer Regulation

Reporting Issuer List

Registrant & Market Regulation

Exemption Orders
- Bitbuy Technologies Inc. (Coordinated Review Decision, 11/30/2021)

Enforcement

Notices. Decisions & Orders
- Patel v Alberta Securities Commission, 2021 ABCA 400 (12/8/2021, Court Decision)

News & Publications

News Releases
- Alberta Court of Appeal dismisses Ashmit Patel’s Appeal of ASC Decision (12/9/2021)
- Canadian securities regulators introduce exemptions for qualified issuers from certain base shelf prospectus requirements (12/6/2021)

Events & Presentations
- Understanding proposed climate-related disclosure requirements (Webinar, 12/14/2021)
- Diversity in corporate Canada and the role of the securities regulator (Webinar, 12/10/2021)

November 29-December 3, 2021

Securities Law & Policy

Blanket Orders & Designation Orders
- ASC Blanket Order 52-501 Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure (Effective, 12/02/2021)

Issuer Regulation

Decisions & Orders
- HeadsUp Entertainment International, Inc. (Variation of Cease Trade Order, 11/30/2021)

News & Publications

News Releases
- Canadian Securities Administrators to establish an Investor Advisory Panel to further enhance retail investor protection (12/2/2021)
Events & Presentations
- Understanding proposed climate-related disclosure requirements (Webinar, 12/14/2021)
- Diversity in corporate Canada and the role of the securities regulator (Webinar, 12/10/2021)

November 22-26, 2021

News & Publications

Events & Presentations
- Diversity in corporate Canada and the role of the securities regulator (12/10/2021)

Careers

Careers
- Hearing Clerk (12-month contract) (Closing date, December 3, 2021)
- Junior Analyst (Closing date, December 3, 2021)

November 15-19, 2021

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Republic Goldfields Inc. (Revocation Order, 11/15/2021)
- Reocito Capital Inc. (Revocation Order, 11/15/2021)

Registrant & Market Regulation

Exemption Orders
- Fidelity Digital Asset Services (Coordinated Review Decision, 11‎/‎16‎/‎2021)
- TSX Inc. (Coordinated Review Decision, 11‎/‎18‎/‎2021)
- TSX Venture Exchange Inc. (Coordinated Review Decision, 11‎/‎18‎/‎2021)

News & Publications

News Releases
- Canadian securities regulators, SROs and investor protection funds establish timeline for new self-regulatory framework (11/18/2021)

Careers

Careers
- Legal Counsel, Corporate Finance

November 8-12, 2021

Securities Law & Policy

Regulatory Updates
- ASC Notice of Implementation of ASC Blanket Order 31-536 Alberta Small Business Finder’s Exemption (11/10/2021)
Blanket Orders and Designation Orders
- Alberta Small Business Finder’s Exemption (31-536, Effective, 11/10/2021)

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Cervus Equipment Corporation (Dual Decision, 11/9/2021)
- Canacol Energy Ltd. (ASC Order, 11/8/2021)

News & Publications

News Releases
- ASC adopts new small business finder’s exemption to facilitate capital raising (11/10/2021)

Careers

Careers
- Assessment Officer (Closing date, 11/29/2021)
- Junior Analyst (Closing date, 12/3/2021)
- Manager, Innovation in Finance (InnoFin) (Closing date, 12/3/2021)

November 1-5, 2021

Securities Law & Policy

Regulatory Updates
- CSA Multilateral Staff Notice 58-313 Review of Disclosure Regarding Women on Boards and in Executive Officer Positions (Year 7 Report) (11/4/2021)

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Lifestyle Global Brands Limited (Cease Trade Order, 11/3/2021)
- Atacama Resources International Inc. (Variation of Cease Trade Order, 11/4/2021)

News & Publications

News Releases
- Canadian securities regulators announce results of seventh annual review of representation of women on boards and in executive officer positions in Canada (11/4/2021)
- ASC releases 2021 update of Women on Boards data (11/4/2021)

Careers

Careers
- Senior Advisor & Securities Investigator, JSOT (Closing date, 11/19/2021)

October 25-29, 2021

News & Publications

Events & Presentations
- ASC Connect 2021: video recordings of each session are now available

Careers

Careers
- Registration Officer (Closing date, 11/10/2021)
- Facilities Coordinator (Closing date, 11/12/2021)
- Securities Review Officer (12 month contract) (Closing date, 11/19/2021)
- Manager, Market Oversight (Closing date, 11/22/2021)

October 18-22, 2021

Securities Law & Policy

Regulatory Updates
- Consultation Climate-related Disclosure Update and CSA Notice and Request for Comment Proposed National Instrument 51-107 Disclosure of Climate-related Matters (10/18/2021)

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Ovintiv Inc. (Dual Decision, 10/20/2021)

News & Publications

News Releases
- ASC Connect 2021 to provide insight on trends and opportunities in Alberta’s capital market (10/20/2021)
- Canadian securities regulators seek comment on climate-related disclosure requirements (10/18/2021)

Careers

Careers
- Registration Officer (Closing date, 11/10/2021)

October 11-15, 2021

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- CGI Hospitality Opportunity Bond Fund Canada Corp. (Undertaking Fulfilled, 10/12/2021)
- Radient Technologies Inc. (Revocation/Expiry, 10/12/2021)

News & Publications

Events & Presentations
- ASC Connect 2021 (Registration is open, 10/21/2021)

Careers

Careers
- Assistant, Market Regulation (Closing date, 10/20/2021)
- Investigative Analyst (Closing date, 10/15/2021)
- Litigation Counsel (Closing date, 10/22/2021)
- Manager, Joint Serious Offences Team, JSOT (Closing date, 10/22/2021)
- Senior Legal Counsel, Market Regulation (Closing date, 10/22/2021)
- Investigative Accountant, JSOT (13 month contract) (Closing date, 10/22/2021)
- Service Desk Analyst (Closing date, 10/28/2021)
- IT Trainer (Closing date, 10/28/2021)

October 4-8, 2021

Securities Law & Policy

Regulatory Updates
- CSA Notice of Amendments Reducing Regulatory Burden for Investment Fund Issuers Phase 2, Stage 1 (10/7/2021)

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Inner Spirit Holdings Ltd. (Dual Decision, s. 153, 10/7/2021)
Decisions & Orders
- CMX Gold Silver Corp. (Revocation Order, 10/4/2021)
- HeadsUp Entertainment International, Inc. (Variation of Cease Trade Order, 10/6/2021)
- Guyana Frontier Mining Corp. (Revocation Order, 10/7/2021)

Registrant & Market Regulation

Decision & Orders
- SCHILLACI, Simon (ASC Decision, 10/7/2021)

News & Publications

Events & Presentations
- ASC Connect 2021 (Registration is open, 10/21/2021)
News Releases

Careers

Careers
- Assistant, Market Regulation (Closing date, 10/20/2021)
- Investigative Analyst (Closing date, 10/15/2021)
- Litigation Counsel (Closing date, 10/22/2021)
- Senior Legal Counsel, Market Regulation (Closing date, 10/22/2021)
- Investigative Accountant, JSOT (13 month contract) (Closing date, 10/22/2021)
- Service Desk Analyst (Closing date, 10/28/2021)
- IT Trainer (Closing date, 10/28/2021)

September 27-October 1, 2021

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Graham Income Trust (Dual Decision, NI 62-104, 9/28/2021)
Decisions & Orders
- Silk Road Energy Inc. (Revocation Order, 10/1/2021)

News & Publications

Events & Presentations
- ASC Connect 2021 (Registration is open, 10/21/2021)

Careers

Careers
- Legal Counsel, Corporate Finance
- Assistant, Market Regulation (Closing date, 10/20/2021)
- Investigative Analyst (Closing date, 10/15/2021)
- Practicum Student, Human Resources (15-week placement) (Closing date, 10/13/2021)
- Litigation Counsel (Closing date, 10/11/2021)
- Legal Assistant (12-month contract) (Closing date, 10/8/2021)

September 20-24, 2021

Securities Law & Policy

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Briko Energy Corp. (Dual Decision, s.153, 9/22/2021)
Decisions & Orders
- Jerico Explorations Inc. (Revocation Order, 9/20/2021)
- CBD Global Sciences Inc. (Revocation Order, 9/22/2021)
- Wolverine Technologies Corp. (Variation of Cease Trade Order, 9/22/2021)

News & Publications

News Releases
- Canadian securities regulators outline expectations for advertising and marketing by crypto trading platforms (9/23/2021)
Events & Presentations
- ASC Connect 2021 (Save the Date, 10/21/2021)

Careers

Careers
- Associate General Counsel (Closing date, 10/8/2021)
- Market Data Analyst, Derivatives Oversight (Closing date, 10/11/2021)
- Litigation Counsel (Closing date, 10/11/2021)

September 13-17, 2021

Securities Law & Policy

Regulatory Updates
- CSA Notice and Request for Comment Proposed Amendments to National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions (9/16/2021)

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Newfoundland Goldbar Resources Inc. (Variation of Cease Trade Order, 9/14/2021)

News & Publications

News Releases
- Canadian securities regulators launch new website (9/13/2021)
Events & Presentations
- ASC Connect 2021 (Save the Date, 10/21/2021)

September 6-10, 2021

Careers

Careers
- Legal Counsel, Corporate Finance
- Regulatory Analyst, Derivatives Oversight (Closing date, 9/17/2021)
- IT Trainer / Help Desk Analyst (Closing date, 9/24/2021)
- Securities Analyst (Closing date, 9/28/2021)

August 30-September 3, 2021

Securities Law & Policy

Regulatory Updates
- Multilateral CSA Notice of Implementation Alberta and Saskatchewan Orders 45-539 Small Business Financing (9/1/2021)

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Pembina Pipeline Corporation (Dual Decision, 9/2/2021, NI 44-101)
Decisions & Orders
- Canadian Overseas Petroleum Limited (Revocation/Expiry, 9/3/2021)

News & Publications

News Releases
- Alberta and Saskatchewan securities regulators adopt new small business financing prospectus exemption (9/1/2021)

Careers

Careers
- IT Trainer / Help Desk Analyst (Closing date, 9/24/2021)

August 23-27, 2021

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Gran Tierra Energy Inc. (Dual Decision, NI 41-101; NI 71-101, 8/27/2021)
- Accelerate Financial Technologies Inc. (Dual Decision, NI 81-102, 8/24/2021)
- Mosaic Capital Corporation (Dual Decision, s. 153, 8/23/2021)
Decisions & Orders
- Persta Resources Inc. (Revocation/Expiry, 8/26/2021)

Enforcement

Notices. Decisions & Orders
- FoodChek Systems Inc. (8/23/2021)

News & Publications

News Releases
- Canadian securities administrators to host roundtable on ESG-related regulatory issues in asset management (8/25/2021)

August 16-20, 2021

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Zenith Energy Ltd. (Passport Decision, s.153, 8/17/2021)
Decisions & Orders
- Canadian Overseas Petroleum Limited (Management Cease Trade Order, 8/17/2021)

Enforcement

Notices. Decisions & Orders
- Kilimanjaro Capital Ltd. now known as N1 Technologies Inc. (8/16/2021)

News & Publications

News Releases
- ASC sanctions Ashmit Patel, Zulfikar Rashid and Kilimanjaro Capital Ltd. for market manipulation (8/18/2021)
- ASC finds Edmonton businessman guilty of fraud (8/16/2021)

August 9-13, 2021

Securities Law & Policy

Regulatory Updates
- CSA Notice and Request for Comment Proposed Changes to Companion Policy 41-101 General Prospectus Requirements Related to Financial Statement Requirements (8/12/2021)

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Pure Hydrogen Corporation Limited (Revocation Order, 8/11/2021)

Enforcement

Notices. Decisions & Orders
- MAGNESON, Allan Robert (8/11/2021)

News & Publications

News Releases
- Canadian securities regulators seek comments on proposal to harmonize the interpretation of the Primary Business Requirements (8/12/2021)
Reports & Publications
- ASC Reports Fiscal 2022 First Quarter Results (8/12/2021)
- 2021 Alberta Capital Market Report (8/12/2021)

August 2-6, 2021

Securities Law & Policy

Regulatory Updates
- CSA Position Paper 25-404 New Self-Regulatory Organization Framework (8/3/2021)

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Sustainable Agriculture Wellness Dividend Fund (Dual Decision, 8/6/2021, s.144; s.110)

News & Publications

News Releases
- Canadian securities regulators to establish new single enhanced self-regulatory organization (8/3/2021)

Careers

Careers
- Chief Information Officer (Closing date, 9/17/2021)

July 26-30, 2021

Securities Law & Policy

Regulatory Updates
- CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions to introduce the Listed Issuer Financing Exemption (7/28/2021)

Issuer Regulation

Reporting Issuer List
Exemption Orders
- Canadian Natural Resources Limited (ABCA Order, 7/30/2021)
Decisions & Orders
- Radient Technologies Inc . (Management Cease Trade Order, 7/30/2021)
- PsiNaptic Inc. (Revocation Order, 7/28/2021)
- Canadian Overseas Petroleum Limited (Revocation/Expiry, 7/28/2021)
- Solstar Capital Inc. (Undertaking, 7/28/2021)
- Prime Income Trust (Undertaking, 7/28/2021)

News & Publications

News Releases
- Canadian securities regulators propose streamlined capital raising option for Canadian-listed issuers (7/28/2021)

July 19-23, 2021

Securities Law & Policy

Blanket Orders & Designation Orders
- ASC Blanket Order 51-520 Exemption from section 150 of the Business Corporations Act (Alberta) (Effective, 7/21/2021)

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Centaurus Energy Inc. (Revocation/Expiry, 7/20/2021)
- Atacama Resources International Inc. (Variation of Cease Trade Order, 7/20/2021)
- Persta Resources Inc. (Revocation/Expiry, 7/21/2021)
- Perisson Petroleum Corporation (Cease Trade Order, 7/22/2021)

Registrant & Market Regulation

Exemption Orders
- NEO Exchange Inc. (ASC Order, 7/23/2021, Exemption NI 24-102, s. 4.7(1)(a) and s. 4.7(2))

Careers

Careers
- Senior Legal Counsel/Legal Counsel, New Economy (Closing date, 8/10/2021)
- Compliance Analyst (Closing date, 8/11/2021)
- Chartered Accountant (Securities Analyst) (Closing date, 8/13/2021)

July 12-16, 2021

Securities Law & Policy

Regulatory Updates
- Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and changes to 31-103CP to Enhance Protection of Older and Vulnerable Clients (7/15/2021)

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Rio Verde Industries Inc. (Revocation Order, 7/16/2021)
- Bison Acquisition Corp. (Order, 7/12/2021)
Exemption Orders
- Steel Reef Infrastructure Corp. (Dual Decision, 7/13/2021)
- Benchmark Metals Inc. (Passport Decision, 7/13/2021)

News & Publications

News Releases

Careers

Careers
- Administrative Assistant, Investigations (Closing date, 7/27/2021)
- Market Data Analyst, Derivatives Oversight (Closing date, 8/8/2021)

July 5-9, 2021

Securities Law & Policy

Authorizations & Memorandums of Understanding
- Fintech - Innovation Functions Co-operation Agreement - Hong Kong Securities and Futures Commission

Issuer Regulation

Reporting Issuer List
Decisions & Orders
- Sherbrook SBK Sport Corp. (Variation of Cease Trade Order, 7/7/2021)
- Atacama Resources International Inc. (Variation of Cease Trade Order, 7/6/2021)
- Paleo Resources, Inc. (Revocation Order, 7/5/2021)
Exemption Orders
- Fortrade Canada Limited (ASC Order, 7/6/2021)

Enforcement

ASC Proceedings
- Bison Acquisition Corp. (Hearing was held on 7/9/2021, and an oral ruling will be made on 7/12/2021 (to be confirmed))

News & Publications

News Releases
- Canadian securities regulators sign innovative functions co-operation agreement with the Securities and Futures Commission of Hong Kong (7/8/2021)
- Canadian securities regulators release interim progress report on the CSA 2019-2022 Business Plan (7/6/2021)

Careers

Careers
- Blockchain & Fintech Technical Advisor or Consultant (Closing date, July 29, 2021)
- Legal Counsel, New Economy (Closing date, July 29, 2021)