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.

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August 3-7, 2020

July 27-31, 2020

July 20-24, 2020

July 13-17, 2020

July 6-10, 2020

June 29-July 3, 2020

June 22-26, 2020

June 15-19, 2020

June 8-12, 2020

June 1-5, 2020

May 25-29, 2020

May 18-22, 2020

May 11-15, 2020

May 4-8, 2020

April 27-May 1, 2020

April 20-24, 2020

April 13-17, 2020

April 6-10,2020

March 30-April 3, 2020

March 23-27, 2020

March 16-20, 2020

March 9-13, 2020

March 2-6, 2020 

February 24--28, 2020

February 17-21, 2020

February 10-14, 2020

February 3-7, 2020

January 27-31, 2020

January 20-24, 2020

January 13-17,2020

January 6-10, 2020

December 23, 2019-January 3, 2020

December 16-20, 2019

December 9-13, 2019

December 2-6, 2019

November 25-29, 2019

November 18-22, 2019

November 11-15, 2019

November 4-8, 2019

October 28-November 1, 2019

October 21-25, 2019

October 14-18, 21019

October 7-11, 2019

September 30-October 4, 2019

September 23-27, 2019

September 16-20, 2019

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August 3-7, 2020

Securities Law and Policy

• Regulatory Updates     
  • CSA Notice of Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to related Companion Policies relating to Syndicated Mortgages (8/6/2020)

Issuer Regulation

• Exemption Orders       
  • Calfrac Well Services Ltd. (ASC Order, 8/4/2020, s. 151(a) ABCA exemption)
  • Petro Rio S.A. (Dual Decision, 8/4/2020, s. 153 exemption)

• Decisions and Orders (Issuers) 
  • CBD Global Sciences Inc. (Revocation/Expiry, 8/5/2020)
  • Imaging Dynamics Company Ltd. (Revocation/Expiry, 8/5/2020)
  • Prevent Health Care International Corp. (Cease Trade Order, 8/5/2020)
  • TVI Pacific Inc. (Revocation/Expiry, 8/4/2020)

• Reporting Issuer List 

News & Publications

•  News Releases  
  • Canadian securities administrators publish final amendments to syndicated mortgage regime (8/6/2020)
  • Canadian securities administrators publish IIROC oversight review report (8/5/2020)

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July 27-31, 2020

Issuer Regulation

• Decisions and Orders (Issuers)  
  • Greenfields Petroleum Corporation (Revocation/Expiry, 7/31/2020)
  • Atacama Resources International Inc. (Variation of Cease Trade Order, 7/30/2020)
  • Royal Coal Corp. (Revocation Order, 7/27/2020)

• Reporting Issuer List 

News & Publications

•  News Releases  
  • Ontario introduces interim registration and prospectus exemptions to facilitate start-up securities crowdfunding (7/30/2020)

• Reports and Publications  
  • 2020 Alberta Capital Market Report (7/28/2020)

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July 20-24, 2020

Issuer Regulation

• Decisions and Orders (Issuers) 
  • Bellatrix Exploration Ltd. (Cease Trade Order, 7/22/2020)
  • Champion Bear Resources Ltd. (Revocation/Expiry, 7/21/2020)

• Reporting Issuer List 

Enforcement

• Notices, Decisions and Orders   
  • AITKENS, Ronald James (ASC Court Decision, 7/20/2020)

News & Publications

•  News Releases 
  • Provincial Court finds Ronald James Aitkens guilty of fraud and misrepresentations (7/21/2020)

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July 13-17, 2020

Issuer Regulation

• Exemption Orders      
  • Australis Capital Inc. (ABCA Order, 7/13/2020, s. 151(a) ABCA exemption)

• Decisions and Orders (Issuers)
  • Radiko Holdings Corp. (Management Cease Trade Order, 7/17/2020)
  • Radiko Holdings Corp. (formerly, International Cannabrands Inc.Revocation/Expiry, 7/15/2020)
  • KDR Industrials Ltd. (Revocation Order, 7/14/2020)
  • Hemostemix Inc. (Revocation/Expiry, 7/14/2020)

• Reporting Issuer List 

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July 6-10, 2020

Issuer Regulation

• Exemption Orders      
  • Planet Health Corp. (ASC Order, 7/7/2020, s. 153 exemption)

• Decisions and Orders (Issuers)
  • Freightera Logistics Inc. (Undertaking, 7/7/2020)
  • Perpetual Industries Inc. (Revocation Order, 7/6/2020)
  • Old Kent Road Premium Fund I (Undertaking, 7/6/2020)

• Reporting Issuer List 

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June 29-July 3, 2020

Securities Law and Policy

• Regulatory Updates    
  • CSA Staff Notice 31-358 Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments (7/2/2020)

Issuer Regulation

• Exemption Orders      
  • Canoe Financial LP (Dual Decision, 6/29/2020, NI 81-102 exemption)

• Decisions and Orders (Issuers)
  • Port Renfrew Development Trust (Undertaking, 7/3/2020)
  • Valhalla Diamond Trust (Undertaking, 7/3/2020)
  • Rev Royalty Income and Growth Trust (Undertaking, 7/2/2020)
  • Yesterpay Holdings Inc. (Undertaking, 6/30/2020)
  • Hemptown Organics Corp. (Undertaking, 6/30/2020)
  • Fortem Resources Inc.(Variation of Cease Trade Order, 6/26/2020)

• Reporting Issuer List 

News & Publications

•  News Releases 
  • Canadian securities regulators introduce guidance for flexible chief compliance officer arrangements for businesses (7/2/2020)
  • Canadian securities regulators release interim report on the CSA 2019-2022 Business Plan (6/30/2020)
  • Investor Alert: ASC warns public about Claim Central (6/29/2020)
  • ASC orders temporary trading halt against SoftLab9 Software Solutions Inc. (6/29/2020)

• Reports and Publications  
  • 2020 ASC Annual Report (6/26/2020)

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June 22-26, 2020

Securities Law and Policy

• Regulatory Updates    
  • CSA Consultation Paper 25-402 Consultation on the Self-Regulatory Organization Framework (6/25/2020)

Issuer Regulation

• Exemption Orders      
  • Harvest Operations Corp. (Dual Decision, 6/26/2020, s. 153 exemption)

• Decisions and Orders (Issuers)
  • Blackhawk Golf Club Limited Partnership (Undertaking Fulfilled, 6/24/2020)
  • Bnet Media Group, Inc. (Cease Trade Order, 6/22/2020)
  • CMX Gold Silver Corp. (Cease Trade Order, 6/22/2020)
  • Camarico Investment Group Ltd. (Cease Trade Order, 6/22/2020)
  • Pennine Petroleum Corporation (Cease Trade Order, 6/22/2020)
  • Synstream Energy Corp. (Cease Trade Order, 6/22/2020)

• Reporting Issuer List 

Registrant & Market Regulation

• Exemption Orders
  • New Frontier Capital Markets, LLC (ASC Order, 6/24/2020, s.75(1)(a) and s.144 exemptions)
  • ICE Bonds Securities Corporation (Coordinated Review Decision, 6/19/2020, NI 21-101 s.15.1, NI 23-101 s.12.1, NI 23-103 s.10 exemptions)

Enforcement

• Notices, Decisions and Orders   
  • SoftLab9 Software Solutions Inc. (Halt Trade Order, 6/28/2020)
  • Saint Jean Carbon Inc. (Notice of Hearing, 6/19/2020)

News & Publications

•  News Releases 
  • ASC alleges Saint Jean Carbon Inc. and Paul Anthony Ogilvie breached Alberta securities laws (6/25/2020)
  • Canadian securities regulators seek comment on self-regulatory organization framework (6/25/2020)
  • Canadian securities regulators collaborate to protect investors and enforce securities law: CSA Fiscal Year 2019/20 Enforcement Report (6/23/2020)

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June 15-19, 2020

Securities Law and Policy

• Regulatory Updates    
  • CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and Changes to related Companion Policy (6/18/2020)

Issuer Regulation

• Decisions and Orders (Issuers) 
  • Aurex Energy Corp. (Management Cease Trade Order, 6/17/2020)
  • GABY Inc. (Management Cease Trade Order, 6/17/2020)
  • Hemostemix Inc. (Management Cease Trade Order, 6/17/2020)
  • TVI Pacific Inc. (Management Cease Trade Order, 6/16/2020)
  • Greenfields Petroleum Corporation (Management Cease Trade Order, 6/16/2020)
  • CBD Global Sciences Inc. (Management Cease Trade Order, 6/16/2020)
  • Champion Bear Resources Ltd. (Management Cease Trade Order, 6/16/2020)
  • Imaging Dynamics Company Ltd. (Management Cease Trade Order, 6/16/2020)
  • International Cannabrands Inc., dba Radiko Holdings (Management Cease Trade Order, 6/16/2020)
  • Eagle Energy Inc. (Variation of Cease Trade Order, 6/15/2020)

• Reporting Issuer List 

Enforcement

• Notices, Decisions and Orders   
  • RUSTULKA, Kenton Roy (ASC Decision, 6/17/2020)

News & Publications

•  News Releases 
  • ASC finds Kenton Roy Rustulka liable for breaches of Alberta securities laws (6/19/2020)
  • WEAAD with campaign encouraging Canadians to learn and watch for signs of financial abuse of older adults (6/15/2020)

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June 8-12, 2020

Issuer Regulation

• Decisions and Orders (Issuers) 
  • Atacama Resources International Inc. (Variation of Cease Trade Order, 6/9/2020)

• Reporting Issuer List 

News & Publications

•  News Releases 
  • Canadian securities regulators sign fintech co-operation agreement with the Financial Supervisory Commission of Taiwan (6/11/2020)
  • Canadian securities regulators make it easier for portfolio managers to use client relationship management specialists (6/10/2020)
  • ASC sanctions Douglas Alexander Whyte and Brian Michael Jones for breaching Alberta securities laws (6/10/2020)

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June 1-5, 2020

Securities Law and Policy

• Regulatory Updates    
  • Review of Mineral Resource Estimates in Technical Reports (6/4/2020)
  • Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Amendments to NI 21-101 Marketplace Operation and Related Companion Policy (6/4/2020)
  • CSA Notice of Amendments to National Instrument 44-102 Shelf Distributions and Change to Companion Policy 44-102CP Shelf Distributions relating to At-the-Market Distributions (6/4/2020)

Issuer Regulation

• Decisions and Orders (Issuers) 
  • Brandenburg Energy Corp. (Variation of Cease Trade Order, 6/5/2020)
  • Point Loma Resources Ltd. (Cease Trade Order, 6/5/2020)

• Reporting Issuer List

Registrant & Market Regulation

• Decisions & Orders
  • O'BRIEN, Michael Francis (Order, 6/4/2020)

Enforcement

• Notices, Decisions and Orders  
  • Imagine Research and Technology Inc. (ASC Decision, 6/4/2020)
  • WARD, Shane Courtney (Notice of Hearing, 5/29/2020)

News & Publications

•  News Releases 
  • ASC alleges former Edmonton resident Shane Courtney Ward breached Alberta securities laws (6/5/2020)
  • Canadian securities regulators reinforce disclosure expectations for mining issuers’ mineral resource estimates (6/4/2020)
  • Canadian Securities regulators implement mandatory transparency of debt markets (6/4/2020)
  • Canadian securities regulators streamline at-the-market distribution regime (6/4/2020)
  • ASC encourages greater financial awareness during Seniors Month (6/3/2020)

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May 25-29, 2020

Securities Law and Policy

• Regulatory Updates    
  • COVID-19 Temporary Blanket Relief (5/29/2020)

Issuer Regulation

• Exemption Orders     
  • NCM Asset Management Ltd. (Dual Decision, 5/26/2020, NI 31-103 exemption)

•  Reporting Issuer List

News & Publications

•  News Releases 
  • Temporary relief from certain regulatory filings available to registrants and unregistered capital markets participants due to COVID-19 (5/29/2020)
  • Canadian securities regulators remind issuers of importance of disclosure in financial reporting (5/29/2020)
  • Undertakings entered into by Candeo Growth Solutions Inc. and FoodChek Systems Inc. (5/26/2020)

Careers

• Career Opportunities     
  • Legal Counsel, Office of the General Counsel

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May 18-22, 2020

Securities Law and Policy

• Regulatory Updates   
  • COVID-19 Temporary Blanket Relief (5/20/2020)
    

Issuer Regulation

•  Reporting Issuer List

Enforcement

• Notices, Decisions and Orders  
  • Candeo Growth Solutions Inc. (Undertaking, 5/21/2020)
  • FoodChek Systems Inc. (Undertaking, 5/21/2020)

News & Publications

•  News Releases 
  • Canadian securities regulators provide update to investors in response to COVID-19 (5/21/2020)
  • Temporary relief from certain regulatory filings available to investment funds and non-investment fund issuers due to COVID-19 (5/20/2020)

Back to Top

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May 11-15, 2020

Securities Law and Policy

• Regulatory Updates   
  • CSA Staff Notice 51-360 (Updated) Frequently Asked Questions Regarding Filing Extension Relief Granted By Way of a Blanket Order in Response to COVID-19 (5/13/2020)
    

Issuer Regulation

• Exemption Orders     
  • NCM Asset Management Ltd. (Dual Decision, 5/15/2020, NI 41-101; NI 62-104 exemptions)
  • NCM Asset Management Ltd. (Dual Decision, 5/15/2020, NI 81-102 exemption)

•  Reporting Issuer List

Enforcement

• Notices, Decisions and Orders  
  • MODI, Jay Rasik (Notice of Withdrawal of Notice of Hearing, 5/12/2020)
  • MODI, Jay Rasik (Settlement Agreement/Undertaking, 5/12/2020)

News & Publications

•  News Releases 
  • Jay Modi, Arti Modi and Rajeev Singh settle with ASC for misleading investors in OmniArch Capital Corporation (5/13/2020)

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May 4-8, 2020

Issuer Regulation

• Exemption Orders     
  • Chinook Energy Inc. (Dual Decision, 5/5/2020, s. 153 exemption)
  • Strad Inc. (Dual Decision, 5/4/2020, s. 153 exemption)

• Decisions and Orders (Issuers)
  • Trakopolis IoT Corp. (Cease Trade Order, 5/6/2020)
  • Eagle Energy Inc. (Cease Trade Order, 5/6/2020)
  • Hyduke Energy Services Inc. (Cease Trade Order, 5/6/2020)

• Reporting Issuer List

Back to Top

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April 27-May 1, 2020

Securities Law and Policy

• Regulatory Updates   
  • CSA Staff Notice 51-360 (Updated) Frequently Asked Questions Regarding Filing Extension Relief Granted by Way of a Blanket Order in Response to COVID-19 (5/1/2020)
    

Issuer Regulation

• Exemption Orders     
  • Sustainable Infrastructure Dividend Fund (Dual Decision, 4/29/2020, s.144 exemption)

•  Reporting Issuer List

Registrant & Market Regulation

• Exemption Orders
  • Linn & Associates LLC (ASC Order, 4/28/2020, s.75(1)(a) and s. 144 exemptions)

• Decisions & Orders
  • O'BRIEN, Michael Francis (Ruling, 4/24/2020)

News & Publications

•  News Releases 
  • Canadian securities regulators provide temporary relief to public companies with delayed annual meetings due to COVID-19 (5/1/2020)

Careers

• Career Opportunities     
  • Associate Chief Accountant

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April 20-24, 2020

Issuer Regulation

• Exemption Orders     
  • Priviti Capital Corporation (Dual Decision, 4/24/2020, NI 81-102; NI 31-103 exemptions)
  • Local Investing YYC Cooperative (ASC Order, 4/22/2020, NI 45-106 exemption)

•  Reporting Issuer List

News & Publications

•  News Releases 
  • Canadian Securities regulators warn public about entity claiming to regulate derivatives (4/24/2020)

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April 13-17, 2020

Securities Law and Policy

• Regulatory Updates   
  • ASC Blanket Order 81-506 Temporary Exemption from Borrowing Limit to Accommodate Redemption Requests for Mutual Funds Investing in Fixed Income Securities (COVID-19 Temporary Blanket Relief) (4/17/2020)
  • Temporary Exemption from Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (4/16/2020)
  • CSA Staff Notice 51-360 (Updated) Frequently Asked Questions Regarding Filing Extension Relief Granted by Way of a Blanket Order in Response to COVID-19 (4/16/2020)

Issuer Regulation

• Exemption Orders     
  • Horizon North Logistics Inc. (Dual Decision, 4/14/2020, NI 51-102 exemption)

•  Reporting Issuer List

Registrant & Market Regulation

• Exemption Orders
  • Eurex Clearing AG (Coordinated Review Decision, 4/8/2020, NI 94-102, s.32(3) & s.49(1) exemptions)

Enforcement

• Notices, Decisions and Orders  
  • 1511419 Ontario Inc., formerly known as The Cash Store Financial Services Inc. (Amended Notice of Hearing, 4/16/2020)

News & Publications

•  News Releases 
  • Canadian securities regulators temporarily increase short-term borrowing limits for mutual funds investing in fixed income (4/17/2020)
  • Canadian securities administrators provide update on syndicated mortgage regime (4/16/2020)
  • Canadian securities administrators adjust implementation date for client focused reforms (4/16/2020)

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April 6-10, 2020

Securities Law and Policy

• Regulatory Updates  
  • ASC Notice 21-705 Request For Comment Application by Creditex Securities Corporation for Exemption from Marketplace Rules (4/8/2020)

Issuer Regulation

• Exemption Orders    
  • NCM Small Companies Class (Dual Decision, 4/3/2020, NI 81-102 exemption)

• Decisions and Orders (Issuers)
  • Dalmac Energy Inc.(Cease Trade Order, 4/7/2020)

• Reporting Issuer List

News & Publications

•  News Releases
  • Joint statement by Canadian Securities Administrators and Investment Industry Regulatory Organization of Canada on recent volatility in Canadian equity markets (4/9/2020)
  • Canadian securities regulators provide update on changes to regulatory work in light of COVID-19 (4/9/2020)
  • Investor Alert: Aggressive stock promotion exploits fears of coronavirus recession (4/8/2020)

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March 30-April 3, 2020

Securities Law and Policy

• Regulatory Updates  
  • CSA Staff Notice 51-360 Frequently Asked Questions Regarding Filing Extension Relief Granted by way of a Blanket Order in Response to Covid-19 (4/3/2020)

Issuer Regulation

• Decisions and Orders (Issuers)
  • Harbour Pacific Minerals Inc.(Revocation Order, 3/30/2020)

• Reporting Issuer List

Enforcement

• Notices, Decisions and Orders 
  • North America Frac Sand, Inc. (Ruling, 4/1/2020)

Back to Top

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March 23-27, 2020

Securities Law and Policy

• Regulatory Updates  
  • Relief from Certain Reporting Requirements under National Instrument 24-101 Institutional Trade Matching and Settlement (3/26/2020)
  • COVID-19 Temporary Blanket Relief (3/23/2020)

Issuer Regulation

• Exemption Orders    

• Radient Technologies Inc. (Dual Decision 3/24/2020)

• Decisions and Orders (Issuers)
  • Divergent Energy Services Corp. (Revocation Order, 3/26/2020)

• Reporting Issuer List

News & Publications

•  News Releases
  • Investor Alert: ASC warns public about work from home scams during COVID-19 crisis (3/27/2020)
  • Canadian securities regulators publish blanket relief for market participants due to COVID-19 (3/23/2020)

Back to Top

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March 16-20, 2020

Securities Law and Policy

• Regulatory Updates  
  • CSA Notice of Amendments to National Instrument 24-102 Clearing Agency Requirements and related Companion Policy (3/19/2020)
    

Issuer Regulation

• Exemption Orders   
  • Granite Oil Corp. (Dual Decision, 3/18/2020, s. 153 exemption)

•   Reporting Issuer List

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)

Back to Top

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March 9-13, 2020

Issuer Regulation

•  Reporting Issuer List

News & Publications

•  News Releases
  • ASC Reports that 75 Per Cent of Albertans Feel Confident in Protecting Themselves Against Investment Fraud Yet Many Can’t Spot Common Signs (3/9/2020)
  • Canadian securities regulators encourage informed investing for Fraud Prevention Month (3/9/2020)

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March 2-6, 2020

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)

•   Reporting Issuer List

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

• Career Opportunities     
  • Regulatory Analyst, Market Oversight

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February 24-28, 2020

Securities Law and Policy

• Regulatory Updates  
  • CSA Notice and Request for Comment Proposed NI 45-110 Start-Up Crowdfunding Registration and Prospectus Exemptions (2/27/2020)
    

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)

•  Reporting Issuer List

News & Publications

•  News Releases
  • Canadian securities regulators adopt ban on deferred sales charges (2/20/2020)

Careers

• Career Opportunities    
  • Securities Investigator, JSOT

Back to Top

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February 17-21, 2020

Securities Law and Policy

• Regulatory Updates  
  • Multilateral CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices, Changes to 81-105CP and Changes to 81-101CP relating to Prohibition of Deferred Sales Charges for Investment Funds (2/20/2020)
    

Issuer Regulation

• Decisions and Orders (Issuers)
  • CaiTerra International Energy Corporation (Revocation Order, 2/18/2020)

•  Reporting Issuer List

News & Publications

•  News Releases
  • Canadian securities regulators propose new nationally harmonized crowdfunding rules (2/27/2020)

Back to Top

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February 10-14, 2020

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)

•  Reporting Issuer List

News & Publications

• Reports and Publications  
  • ASC Reports Fiscal 2020 Third Quarter Results (2/13/2020)

• News Releases  
  • JSOT criminally charges Nicholas John Felgate with fraud and money laundering (2/14/2020)
  • Canadian securities regulators seek additional comment on proposed rule for Non-GAAP and other financial measures (2/13/2020)

Careers

• Career Opportunities    
  • Securities Investigator, JSOT
  • Regulatory Analyst, Market Oversight

Back to Top

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February 3-7, 2020

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)

• Reporting Issuer List

Careers

• Career Opportunities   
  • Administrative Assistant, JSOT

Back to Top

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January 27-31, 2020

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)

•  Reporting Issuer List

Enforcement

• Notices, Decisions and Orders
  • LAFRAMBOISE, Marie Louise (ASC Decision, 1/28/2020)

News & Publications

• News Releases  
  • ASC reciprocates criminal fraud conviction against Marie Louise LaFramboise (1/30/2020)

Back to Top

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January 20-24, 2020

Securities Law and Policy

• Regulatory Updates 
  • CSA Notice 23-325 Trading Fee Rebate pilot Study(1/23/2020)
    

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)

•  Reporting Issuer List

News & Publications

• News Releases  
  • Canadian securities regulators provide update on trading fee rebate pilot study (1/23/2020)
  • Canadian securities regulators release detailed data from review of women on boards and in executive officer positions (1/23/2020)
  • Offshore firm settles with the ASC for unregistered trading (1/20/2020)

Back to Top

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January 13-17, 2020

Securities Law and Policy

• Regulatory Updates 
  • ASC Notice 45-705 Compliance with Investment Limits under the Offering Memorandum Prospectus Exemption (1/16/2020)
  • CSA Staff Notice 21-327 Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets (1/16/2020)
    

Issuer Regulation

• Exemption Orders
  • Neurocords Corporation (Dual Decision, 1/14/2020, s. 153 exemption)

•  Reporting Issuer List

Enforcement

• Notices, Decisions and Orders
  • Ava Trade Ltd. (Settlement Agreement, 1/16/2020)

News & Publications

• News Releases  
  • Canadian securities regulators publish additional guidance for entities facilitating the trading of crypto assets (1/16/2020)

• Events & Presentations
  • 2020 Corporate Finance Information Sessions - February 2020

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January 6-10, 2020

Securities Law and Policy

• Regulatory Updates 
  • CSA Consultation Paper 51-405 Consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting Issuers (1/9/2020)
    

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)

• Reporting Issuer List

News & Publications

• News Releases  
  • Exempt market dealer agrees to settlement (1/9/2020)
  • Canadian securities regulators announce consultation on an access equals delivery model for public companies (1/9/2020)
  • Alberta Securities Commission warns investors of top investment risks for 2020 (1/8/2020)

• Events & Presentations
  • Upcoming event: Oil and Gas Information Session - February 2020

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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)
    

• Reporting Issuer List

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

• Career Opportunities   
  • Senior Analyst, Derivatives
  • Manager, Corporate Disclosure & Financial Analysis

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December 16-20, 2019

Securities Law and Policy

• Regulatory Updates
  • CSA Staff Notice 81-332 Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions (12/19/2019)
    

Issuer Regulation

• Reporting Issuer List

News & Publications

• News Releases  
  • Canadian securities regulators move forward with embedded commissions bans (12/19/2019)

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December 9-13, 2019

Issuer Regulation

• Exemption Orders
  • Melcor Real Estate Investment Trust (Dual Decision, 12/10/2019, NI 51-102 exemption)

• Reporting Issuer List

Enforcement

• Notices, Decisions and Orders
  • Kilimanjaro Capital Ltd. now known as N1 Technologies Inc. (Notice of Hearing, 12/10/2019)

News & Publications

• News Releases 
  • Canadian securities regulators announce review of framework for self-regulatory organizations (12/12/2019)

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December 2-6, 2019

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)

• Reporting Issuer List

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November 25-29, 2019

Issuer Regulation

• Reporting Issuer List

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November 18-22, 2019

Issuer Regulation

• Decisions and Orders (Issuers) 
  • Lifestyle Global Brands Limited (Revocation/Expiry, 11/22/2019)

• Reporting Issuer List

Enforcement

• Notices, Decisions and Orders
  • DALLA-LONGA, Sherry Jean (Settlement Agreement/Undertaking, 11/15/2019)

News & Publications

• News Releases 
  • Former Medicine Hat registered representative settles with the ASC for unregistered advising (11/19/2019)

• Reports and Publications
  • ASC Reports Fiscal 2020 Second Quarter Results (11/21/2019)

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November 11-15, 2019

Issuer Regulation

• Decisions and Orders (Issuers)
  • 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

• News Releases 
  • ASC sanctions Brian Kitts and Vesta Capcorp Inc. for fraud (11/14/2019)
  • Calgary man settles with ASC for market manipulation (11/12/2019)
  • Canadian securities regulators sign fintech co-operation agreement with the Monetary Authority of Singapore (11/12/2019)

Careers

• Career Opportunities  
  • Manager, Corporate Disclosure and Financial Analysis

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November 4-8, 2019

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)
     
• Reporting Issuer List

News & Publications

• News Releases 
  • ASC appoints new Chief Accountant and Chief Financial Officer (11/7/2019)
  • Alberta Securities Commission encourages Albertans to know their ABCs: Financial Literacy Month focuses on informed investing (11/6/2019)

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October 28-November 1, 2019

Issuer Regulation

• Decisions and Orders (Issuers)
  • Promintory Developments Limited Partnership (Undertaking Fulfilled,11/1/2019)
     
• Reporting Issuer List

Enforcement

• Notices, Decisions and Orders
  • FROST, Robert Joseph;FRANCESE, Joseph Antonio (Anthony);REED, Scott Anthony;Proforma Capital Bond (II) Corporation; and Proforma Capital Inc. (ASC Decision, 10/31/2019)
    
     

News & Publications

• News Releases 
  • ASC panel dismisses allegations against Proforma Capital Inc. and related parties (10/31/2019)

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October 21-25, 2019

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

• News Releases 
  • Canadian Securities Regulators announce review of Automatic Securities Disposition Plans (10/24/2019)
  • Rex Murphy speaks to federal election result at ASC Connect conference (10/23/2019)

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October 14-18, 2019

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)

• Reporting Issuer List

Careers

• Career Opportunities 
  • Team Lead, Market Oversight
  • Analyst, Data Analytics & Risk (24 Month Contract)

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October 7-11, 2019

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)

• Reporting Issuer List

Enforcement

• Notices, Decisions and Orders
  • SHAW, Logan Keith (Interim Order, 10/7/2019)

News & Publications

• News Releases 
  • ASC issues Interim Order against Logan Keith Shaw (10/9/2019)

Careers

• Career Opportunities 
  • Senior Analyst, Energy Derivatives

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September 30-October 4, 2019

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)

• Reporting Issuer List

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

• Career Opportunities
  • Investigative Accountant
  • Administrative Assistant, JSOT

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September 23-27, 2019

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

• Career Opportunities
  • Analyst, Data Analytics & Risk (24 Month Contract) 
  • Communications Coordinator 
  • Investigative Accountant (14 Month Contract)

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September 16-20, 2019

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

• News Releases
  • ASC to host webinar regarding Energizing Alberta’s Capital Market Consultation - Deadline fast approaching to provide input on Consultation Paper (9/16/2019)
• Events & Presentations
  • Upcoming event: ASC Connect (10/23/2019)

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

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