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.
Issuer Regulation
- Decisions and Orders (Issuers)
- Hillestad Pharmaceuticals Inc. (Revocation Order, 1/7/2021)
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Eagle Energy Inc. (Revocation Order, 12/29/2020)
- Pinestar Gold Inc. (Variation of Cease Trade Order, 12/23/2020)
- Exemption Orders
- Eagle Energy Inc. (Dual Decision, 12/29/2020, s. 153 exemption)
Issuer Regulation
- Decisions and Orders (Issuers)
- Freightera Logistics Inc. (Undertaking Fulfilled, 12/18/2020)
- Blacksteel Energy Inc. (Revocation Order, 12/17/2020)
- Stralak Resources Inc. (Variation of Cease Trade Order, 12/17/2020)
- First Potash Corp. (Cease Trade Order, 12/16/2020)
Careers
Securities Law and Policy
Issuer Regulation
- Decisions and Orders (Issuers)
- Titus Energy Corp (Variation of Cease Trade Order, 12/9/2020)
- Forbes Energy Services Ltd. (Cease Trade Order, 12/8/2020)
Enforcement
- Notices, Decisions and Orders
- Saint Jean Carbon Inc. (Order, 12/10/2020)
News & Publications
Careers
Securities Law and Policy
Issuer Regulation
Enforcement
- Notices, Decisions and Orders
- DASILVA, Frederick Alexander (ASC decision, 12/2/2020)
News & Publications
Securities Law and Policy
Issuer Regulation
- Decisions and Orders (Issuers)
- Jaguar Resources Inc. (Cease Trade Order, 11/24/2020)
News & Publications
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- CYG Opportunities Inc. (Passport Decision, 11/19/2020, s. 153 exemption)
- Decisions and Orders (Issuers)
- Golden Sun Mining Corp. (Revocation Order, 11/19/2020)
- Zargon Oil Gas Ltd. (Cease Trade Order, 11/19/2020)
- TRC Fund II Inc. (Undertaking Fulfilled, 11/16/2020)
Enforcement
- Notices, Decisions and Orders
- CARRUTHERS, Timothy Ray (ASC Decision, 11/17/2020)
News & Publications
Careers
Issuer Regulation
- Exemption Orders
- Toscana Energy Income Corporation (Dual Decision, 11/10/2020, s. 153 exemption)
Issuer Regulation
- Exemption Orders
- Northview Apartment Real Estate Investment Trust (Dual Decision, 11/6/2020, s. 153 exemption)
- Cequence Energy Ltd. (Dual Decision, 11/4/2020, s. 153 exemption)
- 933672 Alberta Ltd. and Rifco Inc.(ABCA Order, 11/2/2020, s. 151(a) ABCA exemption)
- Decisions and Orders (Issuers)
- Target Capital Inc. (Cease Trade Order, 11/5/2020)
Careers
Securities Law and Policy
Issuer Regulation
- Decisions and Orders (Issuers)
- Zenith Capital Corp. (Revocation Order, 10/28/2020)
- Petrolia Energy Corporation (Variation of Cease Trade Order, 10/26/2020)
News & Publications
Issuer Regulation
- Exemption Orders
- Painted Pony Energy Ltd. (Dual Decision, 10/20/2020, s. 153 exemption)
- Stuart Olson Inc. (Dual Decision, 10/20/2020, s. 153 exemption)
- Decisions and Orders (Issuers)
- Atacama Resources International, Inc. (Variation of Cease Trade Order, 10/22/2020)
- Atacama Resources International, Inc. (Variation of Cease Trade Order, 10/22/2020)
- Blacksteel Energy Inc. (Cease Trade Order, 10/20/2020)
News & Publications
Careers
Issuer Regulation
- Exemption Orders
- NCM Asset Management Ltd. (Dual Decision, 10/14/2020)
- Decisions and Orders (Issuers)
- Wolverine Technologies Corp. (Variation of Cease Trade Order, 10/16/2020)
Enforcement
- Notices, Decisions and Orders
- O'BRIEN, Michael Francis (ASC Decision, 10/15/2020)
Careers
Issuer Regulation
- Decisions and Orders (Issuers)
- Sunshine Oilsands Ltd. (Cease Trade Order, 10/9/2020)
- Resverlogix Corp. (Revocation/Expiry, 10/9/2020)
- Wolverine Technologies Corp. (Cease Trade Order, 10/5/2020)
Enforcement
- Notices, Decisions and Orders
- FELGATE, Nicholas John (ASC Decision, 10/6/2020)
News & Publications
Careers
Issuer Regulation
- Decisions and Orders (Issuers)
- Zenith Capital Corp. (Management Cease Trade Order, 9/29/2020)
News & Publications
Careers
Issuer Regulation
- Decisions and Orders (Issuers)
- Canada Iron Inc. (Variation of Cease Trade Order, 9/21/2020)
Securities Law and Policy
- Regulatory Updates
- CSA Staff Notice 81-333 Guidance on Effective Liquidity Risk Management for investment Funds (9/18/2020)
- CSA Notice and Request for Comment Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106 Relating to the Offering Memorandum Prospectus Exemption (9/17/2020)
- CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and related Consequential Amendments (9/17/2020)
Issuer Regulation
- Exemption Orders
- Sustainable Innovation & Health Dividend Fund (Dual Decision, 9/14/2020, s. 144 exemption)
- Decisions and Orders (Issuers)
- Angus Mining Inc. (Revocation Order, 9/18/2020)
- Target Capital Inc. (Management Cease Trade Order, 9/15/2020)
- Resverlogix Corp. (Management Cease Trade Order, 9/15/2020)
News & Publications
- News Releases
- Canadian securities regulators publish Liquidity Risk Management Guidance for Investment Fund Managers (9/18/2020)
- Canadian securities regulators propose changes to the offering memorandum prospectus exemption (9/17/2020)
- Canadian securities regulators adopt ban on trailing commissions for order-execution-only dealers (9/17/2020)
- Canadian securities regulators provide update on timing of annual report on women on boards and in executive officer positions (9/15/2020)
- U.S.-based public company Perpetual Industries Inc. settles with the ASC (9/14/2020)
Careers
Issuer Regulation
- Exemption Orders
- Schlumberger Finance Canada Ltd.(ABCA Order, 9/8/2020, s.s 3(3) ABCA exemption)
News & Publications
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- Consolidated Dealers Co-Operative Inc. (Passport Decision, 9/4/2020, s. 144; s. 110 exemptions)
- Bonavista Energy Corporation (Dual Decision, 9/2/2020, s. 153 exemption)
- Decisions and Orders (Issuers)
- Brandenburg Energy Corp. (Revocation Order, 8/31/2020)
Enforcement
- Notices, Decisions and Orders
- REYKDAL, Gordon John (Settlement Agreement/Undertaking, 9/4/2020)
- REYKDAL, Gordon John (Notice of Withdrawal of Notice of Hearing, 9/4/2020)
News & Publications
- News Releases
- Shaun Wayne Howell sentenced to two years’ imprisonment for fraud (9/3/2020)
- Canadian securities regulators seek new members for Mining Technical Advisory and Monitoring Committee (9/3/2020)
- Canadian securities regulators provide comments on the Ontario Capital Markets Modernization Taskforce Consultation Report (9/3/2020)
Careers
Issuer Regulation
- Decisions and Orders (Issuers)
- Radiko Holdings Corp. (Revocation/Expiry, 8/28/2020)
- TransGlobe Internet and Telecom Co., Ltd. (Revocation Order, 8/24/2020)
Enforcement
- Notices, Decisions and Orders
- Bluforest Inc. (ASC Decision, 8/24/2020)
News & Publications
Securities Law and Policy
- Regulatory Updates
- CSA Notice of Amendments to NI 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements (8/20/2020)
- Joint CSA/IIROC Staff Notice 23-327 Update on Internalization within the Canadian Equity Market (8/20/2020)
- Start-up Crowdfunding Guide for Funding Portals (8/20/2020)
Issuer Regulation
- Decisions and Orders (Issuers)
- GABY Inc. (Revocation/Expiry, 8/20/2020)
- Old Kent Road Premium Fund I (Undertaking Fulfilled, 8/17/2020)
Enforcement
- Notices, Decisions and Orders
- Roadman Investments Corp. (Notice of Hearing, 8/17/2020)
- DASILVA, Frederick Alexander (Notice of Hearing, 8/17/2020)
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Aurex Energy Corp. (Cease Trade Order, 8/7/2020)
Registrant & Market Regulation
- Exemption Orders
- Wealthsimple Digital Assets Inc. (Coordinated Review Decision, 8/7/2020, Exemptions: Act s. 110, NI 31-103 s.12.10(2) and 13.3, MI 96-101 Part 3)
- Decisions & Orders
- EISENBERG, Tamar Michelle (Order, 8/10/2020)
Securities Law and Policy
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)
News & Publications
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)
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Bellatrix Exploration Ltd. (Cease Trade Order, 7/22/2020)
- Champion Bear Resources Ltd. (Revocation/Expiry, 7/21/2020)
Enforcement
- Notices, Decisions and Orders
- AITKENS, Ronald James (ASC Court Decision, 7/20/2020)
News & Publications
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)
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)
Securities Law and Policy
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)
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)
Securities Law and Policy
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)
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)
Securities Law and Policy
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)
Enforcement
- Notices, Decisions and Orders
- RUSTULKA, Kenton Roy (ASC Decision, 6/17/2020)
News & Publications
Issuer Regulation
- Decisions and Orders (Issuers)
- Atacama Resources International Inc. (Variation of Cease Trade Order, 6/9/2020)
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)
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)
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)
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)
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
Securities Law and Policy
- Regulatory Updates
- COVID-19 Temporary Blanket Relief (5/20/2020)
- COVID-19 Temporary Blanket Relief (5/20/2020)
Issuer Regulation
Enforcement
- Notices, Decisions and Orders
- Candeo Growth Solutions Inc. (Undertaking, 5/21/2020)
- FoodChek Systems Inc. (Undertaking, 5/21/2020)
News & Publications
Securities Law and Policy
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)
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
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)
Securities Law and Policy
Issuer Regulation
- Exemption Orders
- Sustainable Infrastructure Dividend Fund (Dual Decision, 4/29/2020, s.144 exemption)
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
Careers
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)
News & Publications
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)
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)
Securities Law and Policy
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)
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)
Securities Law and Policy
Issuer Regulation
- Decisions and Orders (Issuers)
- Harbour Pacific Minerals Inc.(Revocation Order, 3/30/2020)
Enforcement
- Notices, Decisions and Orders
- North America Frac Sand, Inc. (Ruling, 4/1/2020)
Securities Law and Policy
Issuer Regulation
- Radient Technologies Inc. (Dual Decision 3/24/2020)
- Decisions and Orders (Issuers)
- Divergent Energy Services Corp. (Revocation Order, 3/26/2020)
News & Publications
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)