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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June 14-18, 2021

June 7-11, 2021

May 31-June 4, 2021

May 24-28, 2021

May 17-21, 2021

May 10-14, 2021

May 3-7, 2021

April 26-30, 2021

April 19-23, 2021

April 12-16, 2021

April 5-9, 2021

March 29-April 2, 2021

March 22-26, 2021

March 15-19, 2021

March 8-12, 2021

March 1-5, 2021

February 22-26, 2021

February 15-19, 2021

February 8-12, 2021

February 1-5, 2021

January 25-29, 2021

January 18-22, 2021

January 11-15, 2021

January 4-8, 2021

December 21-31, 2020

December 14-18, 2020

December 7-11, 2020

November 30-December 4, 2020

November 23-27, 2020

November 16-20, 2020

November 9-13, 2020

November 2-6, 2020

October 26-30, 2020

October 19-23, 2020

October 12-16, 2020

October 5-9, 2020

September 28-October 2, 2020

September 21-25, 2020

September 14-18, 2020

September 7-11, 2020

August 31-September 4, 2020

August 24-28, 2020

August 17-21, 2020

August 10-14, 2020

August 3-7, 2020

July 27-31, 2020

July 20-24, 2020

July 13-17, 2020

July 6-10, 2020

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June 14-18, 2021

Enforcement

• Notices, Decisions and Orders
  • FELGATE, Nicholas John (Order, 6/15/2021)

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • CGI Hospitality Opportunity Bond Fund (Canada) Corp. (Undertaking, 6/18/2021)
  • CMX Gold Silver Corp. (Variation of Cease Trade Order, 6/15/2021)
  • PsiNaptic Inc. (Variation of Cease Trade Order, 6/14/2021)

News & Publications

• News Releases
  • Securities regulators’ study reveals many Canadians unaware of the signs of financial elder abuse (6/15/2021)
  • Joint Forum of Financial Market Regulators engages with industry and investor groups on investment fee transparency (6/14/2021)

Careers

• Careers
  • Regulatory Analyst (SRO), Market Oversight
  • Data Scientist

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June 7-11, 2021

Enforcement

• Notices, Decisions and Orders
  • Bluforest Inc. (Order, 6/11/2021)
  • Bluforest Inc. (Notice of Application, 6/8/2021)

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Republic Goldfields Inc. (Variation of Cease Trade Order, 6/7/2021)

Registrant & Market Regulation

• Alberta-Based Registrant List
  • Registered Firms Based in Alberta

Securities Law & Policy

• Regulatory Updates
  • CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents - Revised (6/10/2021)

Careers

• Careers
  • Fintech Regulatory Analyst, Market Oversight

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May 31-June 4, 2021

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • DMCC Performance 1 Trust (Undertaking, 5/31/2021)
  • Evest Real Estate Trust (Undertaking, 5/31/2021)
  • Magnetic North Acquisition Corp. (Revocation/Expiry, 6/2/2021)

News & Publications

• News Releases
  • CSA Investor Alert: Investment scams imitating well-known financial brands (5/31/2021)
  • JSOT criminally charges William Jordan McBean with fraud and theft (5/31/2021)

Careers

• Careers
  • Securities Investigator, JSOT (Closing date June 11, 2021)
  • Securities Investigator, Investigations (Closing date, June 18, 2021)
  • Regulatory Analyst (CPA, CA), Derivatives Oversight (Closing date, June 21, 2021)

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May 24-28, 2021

Issuer Regulation

• Exemption Orders
  • Greenfields Petroleum Corporation (Dual Decision, 5/27/2021)
  • New West Energy Services Inc. (Dual Decision, 5/25/2021)
• Reporting Issuer List
• Decisions and Orders
  • Pennine Petroleum Corporation (Revocation Order, 5/27/2021)
  • Osum Oil Sands Corp. (ASC Decision, 5/27/2021)

Securities Law & Policy

• Regulatory Updates
  • CSA Notice of Publication National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure (5/27/2021)

News & Publications

• News Releases
  • ASC dismisses allegations against Roadman Investments Corp. and Luke Montaine  (5/28/2021)
  • Canadian securities regulators publish final rule for non-GAAP and other financial measures (5/27/2021)

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May 10-14, 2021

Enforcement

• Notices, Decisions and Orders      
  • Deep Well Oil & Gas, Inc. (Settlement Agreement/Undertaking, 5/13/2021)
  • FELGATE, Nicholas John (ASC Decision, 5/11/2021)

Issuer Regulation

• Exemption Orders
  • International Clean Power Dividend Fund (Dual Decision, 5/11/2021)
• Reporting Issuer List
• Decisions and Orders
  • GABY Inc. (Revocation/Expiry, 5/13/2021)
  • Prospera Energy Inc. (Revocation/Expiry, 5/13/2021)

News & Publications

• News Releases
  • ASC sanctions Nicholas John Felgate for breaching Alberta securities laws (5/14/2021)
  • CSA and IIROC issue reminder of the implementation date for mandatory transparency requirements related to debt securities (5/13/2021)

Careers

• Careers
  •  Application Support Analyst/DBA  (Closing date, 6/4/2021)

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May 3-7, 2021

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Radiko Holdings Corp. (Cease Trade Order, 5/6/2021)
  • Westcore Energy Ltd. (Cease Trade Order, 5/6/2021)
  • EnerSpar Corp. (Cease Trade Order, 5/6/2021)
  • Paleo Resources, Inc. (Cease Trade Order, 5/6/2021)
  • Magnetic North Acquisition Corp. (Management Cease Trade Order, 5/3/2021)
  • Centaurus Energy Inc. (Management Cease Trade Order, 5/3/2021)
  • CBD Global Sciences Inc. (Management Cease Trade Order, 5/3/2021)
  • GABY Inc. (Management Cease Trade Order, 5/3/2021)
  • Prospera Energy Inc. (Management Cease Trade Order, 5/3/2021)
  • Perisson Petroleum Corporation (Management Cease Trade Order, 5/3/2021)

News & Publications

•  Events & Presentations
  • Small business financing webinar presentation decks (5/4/2021)

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April 19-23, 2021

Issuer Regulation

• Reporting Issuer List
• Exemption Orders
  • Seven Generations Energy Ltd. (Dual Decision, s. 153, 4/20/2021)
• Decisions and Orders
  • World Outfitters Corporation Safari Nordik (Variation Order, 4/21/2021)

Securities Law & Policy

• Regulatory Updates
  • CSA Notice and Request for Comment Proposed Amendments to NI 14-101 Definitions and Consequential Amendments (4/22/2021)

Enforcement

• Notices, Decisions & Orders
  • Saint Jean Carbon Inc. (Revocation Order, 4/20/2021)

Careers

• Careers
  • Senior Legal Counsel, Market Regulation (Closing date, 5/11/2021)

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April 12-16, 2021

Issuer Regulation

• Reporting Issuer List
• Exemption Orders
  • Shaw Communications Inc. (Dual Decision, NI 51-102, 4/12/2021)
• Decisions and Orders
  • Green River Gold Corp. (Revocation/Expiry, 4/14/2021)

News & Publications

• Events & Presentations
  • Small business financing webinar: Seeking your input (Upcoming webinar, 5/4/2021)
• News Releases
  • Canadian securities regulators on track to publish final amendments to enhance protection of older and vulnerable clients  (4/15/2021)

Back to Top

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April 5-9, 2021

Enforcement

• Notices, Decisions and Orders      
  • NYADONGO, Tinashe (Nash) Sylvester (Order, 4/07/2021)

Securities Law and Policy

• Regulatory Updates
  • CSA Staff Notice 95-302 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives (4/08/2021)

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Sunshine Oilsands Ltd. (Cease Trade Order, 4/09/2021)

Back to Top

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March 29-April 2, 2021

Securities Law and Policy

• Regulatory Updates
  • Multilateral CSA Notice of Implementation Alberta and Saskatchewan Orders 45-538 Self-Certified Investor Prospectus Exemption (3/31/2021)
  • Staff Notice 21-329 Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements (3/29/2021)
• Blanket Orders & Designation Orders
  • Self-Certified Investor Prospectus Exemption (3/31/2021)

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Persta Resources Inc. (Management Cease Trade Order, 4/1/2021)
  • Canadian Overseas Petroleum Limited (Management Cease Trade Order, 4/1/2021)
  • Sunshine Oilsands Ltd. (Variation of Cease Trade Order, 3/29/2021)

News & Publications

• News Releases 
  • The Canadian Securities Administrators renew terms of Chair and Vice-Chair to 2022 (4/1/2021)
  • Alberta and Saskatchewan securities regulators adopt new self-certified investor prospectus exemption (3/31/2021)
  • Canadian securities regulators outline regulatory framework for compliance for crypto asset trading platforms (3/29/2021)

Careers

• Career Opportunities     
  • IT Business Analyst (Closing date, 4/20/2021)
  • Junior Analyst, Registrant Oversight (Closing date, 4/11/2021)

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March 22-26, 2021

Securities Law and Policy

• Regulatory Updates
  • CSA Multilateral Notice and Request for Comment Proposed Order 45-539 Small Business Financing (3/25/2021)
  • ASC Notice and Request for Comment Proposed Revocation of ASC Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions and Replacement with Proposed ASC Blanket Order 31-536 Alberta Small Business Finder’s Exemption (3/25/2021)
  • CSA Staff Notice 41-307 Concerns Regarding An Issuer’s Financial Condition And The Sufficiency Of Proceeds From A Prospectus Offering (Revised) (3/25/2021)

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  
  • First Potash Corp. (Revocation Order, 3/26/2021)
  • HeadsUp Entertainment International, Inc. (Variation of Cease Trade Order, 3/25/2021)
  • Pinestar Gold Inc. (Revocation Order, 3/22/2021)

News & Publications

• News Releases 
  • Alberta and Saskatchewan securities regulators seek comment on proposed new small business financing initiative (3/25/2021)
  • ASC seeks comment on proposed new small business finder’s exemption (3/25/2021)

Careers

• Career Opportunities     
  • Legal Counsel, Corporate Finance (Closing date, 4/9/2021)

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March 15-19, 2021

Securities Law and Policy

• Regulatory Updates
  • ASC Notice of Amendments to ASC Rule 72-501 Distributions to Purchasers Outside Alberta (3/18/2021)

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Îledor Exploration Corporation (Revocation Order, 3/15/2021)

Enforcement

• Notices, Decisions and Orders      
  • NYADONGO, Tinashe (Nash) Sylvester (Notice of Hearing, 3/15/2021)
  • Bluforest Inc. (ASC Decision, 3/15/2021)

News & Publications

• News Releases 
  • Jim Can and Charles Miller permanently banned from Alberta’s capital market (3/18/2021)
  • ASC alleges Calgary resident Tinashe Nyadongo and Future Growth Investments breached Alberta securities laws (3/18/2021)

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March 8-12, 2021

Securities Law and Policy

• Regulatory Updates
  • CSA Multilateral Staff Notice 58-312 Report on Sixth Staff Review of Disclosure Regarding Women on Boards and in Executive Officer Positions (3/10/2021)

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Health Logic Interactive Inc. (Revocation Order, 3/8/2021)
  • Atacama Resources International Inc. (Variation of Cease Trade Order, 3/10/2021)

News & Publications

• News Releases 
  • Canadian securities regulators outline disclosure expectations for reporting issuers dealing in crypto assets (3/11/2021)
  • ASC releases 2020 update of Women on Boards data (3/10/2021)
  • Canadian securities regulators publish sixth review regarding women on boards and in executive officer positions (3/10/2021)
  • Canadian securities regulators remind investors to do their research during Fraud Prevention Month (3/9/2021)

Careers

• Career Opportunities     
  • Securities Investigator, Investigations (Closing date March 22, 2021)
  • Manager, Market Oversight
  • Manager, Derivatives Oversight

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March 1-5, 2021

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Stralak Resources Inc. (Revocation Order, 3/5/2021)

News & Publications

• News Releases 
  • Alberta Securities Commission aims to educate young Albertans with #TakeSomeTime Campaign (3/1/2021)

Careers

• Career Opportunities     
  • Intelligence Analyst (Closing date March 28, 2021)

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February 22-26, 2021

Securities Law and Policy

• Regulatory Updates      
  • CSA Staff Notice 51-362 Staff Review of COVID-19 Disclosures and Guide for Disclosure Improvements (2/25/2021)
  • CSA Staff Notice 23-328 Order Protection Rule: Market Share Threshold for the Period April 1, 2021 to March 31, 2022 (2/25/2021)
  • CSA Staff Notice 45-328 Update on Amendments relating to Syndicated Mortgages: NI 45-106 and NI 31-103 (2/25/2021)
    
     

Issuer Regulation

• Reporting Issuer List

News & Publications

• News Releases
  • Canadian securities regulators publish findings of COVID-19 disclosure review (2/25/2021)
  • Canadian securities regulators on track to publish recommendations on self-regulatory organization framework (2/22/2021)

Back to Top

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February 15-19, 2021

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Canada Iron Inc. (Revocation Order, 2/18/2021)
  • Eagle I Capital Corporation. (Revocation Order, 2/18/2021)

Back to Top

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February 8-12, 2021

Issuer Regulation

• Reporting Issuer List
• Decisions and Orders
  • Rio Verde Industries Inc. (Variation of Cease Trade Order, 2/11/2021)

News & Publications

• News Releases 
  • ASC sanctions Kenton Roy Rustulka for breaching Alberta securities laws (2/9/2021)
  • Canadian securities regulators respond to the Modernization Taskforce Final Report and encourage a harmonized regulatory system that protects investors and reduces unnecessary burden (2/12/2021)
• Reports & Publications
  • ASC Reports Fiscal 2021 Third Quarter Results (2/11/2021)

Careers

• Career Opportunities     
  • Accounting Clerk (12 Month Maternity Leave Contract)

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February 1-5, 2021

Securities Law and Policy

• Regulatory Updates      
  • Request for Comment Proposed Amendments to NI 33-109 (2/4/2021)

Enforcement

• Notices, Decisions and Orders      
  • Rustulka Kenton Roy (ASC Decision, 2/5/2021)

Issuer Regulation

• Reporting Issuer List

Registrant & Market Regulation

• Decisions and Orders
  
  • Daniel Phillipus Botha Appeal of Mutual Fund Dealers Association Decision (ASC Decision, 2/1/2021)

Enforcement

• Notices, Decisions and Orders      
  • Kilimanjaro Capital Ltd. now known as N1 Technologies Inc. (ASC Decision, 2/2/2021)

News & Publications

• News Releases 
  • Canadian securities regulators warn public about trading scam using fake accreditation (2/4/2021)
  • ASC finds Ashmit Patel, Zulfikar Rashid and Kilimanjaro Capital Ltd. liable for market manipulation (2/4/2021)
  • Canadian securities regulators propose to modernize registration information requirements, clarify outside activity reporting and update filing deadlines (2/4/2021)
  • ASC dismisses appeal by Daniel Phillipus Botha from MFDA disciplinary decision (2/3/2021)
  • Joint statement from the Canadian Securities Administrators and the Investment Industry Regulatory Organization of Canada on the Recent Market Volatility (2/1/2021)

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January 25-29, 2021

Securities Law and Policy

• Regulatory Updates      
  
  • Blanket Order 81-508 Exemptions from National Instrument 81-104 Alternative Mutual Fund (1/28/2021)
  • ASC Notice of Amendments to ASC Rule 45-511 Local Prospectus Exemptions and Related Requirements Related to Syndicated Mortgages. (1/27/2021) 

Issuer Regulation

• Reporting Issuer List

Registrant & Market Regulation

• Exemption Orders
  
  • Instinet Canada Cross Limited (1/29/2021)

News & Publications

• News Releases 
  • Canadian securities regulators provide additional proficiency options for distributing alternative mutual funds (1/28/2021)

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January 18-22, 2021

Securities Law and Policy

• Regulatory Updates      
  • ASC Notice of Proposed Repeal of ASC Rule 45-509 Offering Memorandum for Real Estate Securities. (1/18/2021) 

Issuer Regulation

• Reporting Issuers List

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January 11-15, 2021

Issuer Regulation

• Decisions and Orders (Issuers)  
  • Port Renfrew Development Trust (Undertaking Fulfilled, 1/12/2021)
• Exemption Orders
  • Rocky Mountain Equipment Alberta Ltd. (Dual Decision, 1/11/2021, s. 153 exemption) 

• Reporting Issuer List 

News & Publications

• Events & Presentations 
  • 2021 Corporate Finance Information Sessions - (Recap and presentation decks)

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January 4-8, 2021

Issuer Regulation

• Decisions and Orders (Issuers)  
  • Hillestad Pharmaceuticals Inc. (Revocation Order, 1/7/2021)

• Reporting Issuer List 

News & Publications

•  News Releases    
  • Alberta Securities Commission Highlights Top Investment Risks for 2021 (1/7/2021)

• Events & Presentations 
  • 2021 Corporate Finance Information Sessions - January 12, 2021

Back to Top

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December 21-31, 2020

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)

• Reporting Issuer List 

Back to Top

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December 14-18, 2020

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)

• Reporting Issuer List  

Careers

• Career Opportunities     
  • Public Information Officer

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December 7-11, 2020

Securities Law and Policy

• Regulatory Updates      
  • CSA Staff Notice 55-317 Automatic Securities Disposition Plans (12/10/2020)

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)

• Reporting Issuer List  

Enforcement

• Notices, Decisions and Orders      
  • Saint Jean Carbon Inc. (Order, 12/10/2020)

News & Publications

•  News Releases    
  • Canadian securities regulators publish guidance on automatic securities disposition plans (12/10/2020)
  • Saint Jean Carbon Inc. settles with the ASC for misleading disclosure (12/8/2020)

Careers

• Career Opportunities     
  • Team Lead, Markets (Lawyer)
  • Legal Assistant, Market Regulation
  • Assistant to the Office of the Director, Enforcement

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November 30-December 4, 2020

Securities Law and Policy

• Regulatory Updates      
  • CSA Consultation Paper Activist Short Selling (12/3/2020)

Issuer Regulation

•  Reporting Issuer List  

Enforcement

• Notices, Decisions and Orders      
  • DASILVA, Frederick Alexander (ASC decision, 12/2/2020)

News & Publications

•  News Releases    
  • ASC reciprocates order against Frederick Alexander DaSilva (12/4/2020)
  • John Evans consents to termination as a registrant (12/4/2020)
  • Canadian securities regulators seek comment on activist short selling (12/3/2020)

• Reports and Publications
  • 2020 Corporate Finance Disclosure Report (11/27/2020)

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November 23-27, 2020

Securities Law and Policy

• Regulatory Updates      
  • Nov 26 CSA Notice 25-302 Matters Relating to CDOR LIBOR and Other Interest Rate Benchmarks (11/26/2020)

Issuer Regulation

• Decisions and Orders (Issuers) 
  • Jaguar Resources Inc. (Cease Trade Order, 11/24/2020)

• Reporting Issuer List  

News & Publications

•  News Releases    
  • Canadian securities regulators outline recent developments on interest rate benchmarks (11/26/2020)

Back to Top

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November 16-20, 2020

Securities Law and Policy

• Regulatory Updates      
  • CSA Multilateral Notice and Request for Comment 45-327 Proposed Prospectus Exemption for Self-Certified Investors (11/20/2020)

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)

• Reporting Issuer List  

Enforcement

• Notices, Decisions and Orders     
  • CARRUTHERS, Timothy Ray (ASC Decision, 11/17/2020)

News & Publications

•  News Releases    
  • Alberta and Saskatchewan securities regulators seek comment on proposed new exemption designed to facilitate access to capital (11/20/2020)
  • ASC reciprocates criminal fraud conviction against Timothy Ray Carruthers (11/19/2020)

Careers

• Career Opportunities     
  • Team Lead, Derivatives

Back to Top

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November 9-13, 2020

Issuer Regulation

• Exemption Orders       
  • Toscana Energy Income Corporation (Dual Decision, 11/10/2020, s. 153 exemption)

• Reporting Issuer List  

Back to Top

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November 2-6, 2020

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)

• Reporting Issuer List  

Careers

• Career Opportunities     
  • Senior Intelligence Analyst

Back to Top

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October 26-30, 2020

Securities Law and Policy

• Regulatory Updates      
  • CSA Multilateral Staff Notice 51-361 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2020 and March 31, 2019 (10/29/2020)

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)

• Reporting Issuer List  

News & Publications

•  News Releases   
  • Canadian securities regulators provide guidance to issuers on reporting impact of COVID-19 (10/29/2020)
  • OSC, ASC and AMF invite businesses to participate in cross-border testing (10/29/2020)
  • Canadian Securities Administrators 2020 Investor Index (10/28/2020)

Back to Top

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October 19-23, 2020

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)

• Reporting Issuer List  

News & Publications

•  News Releases   
  • Michael Francis O’Brien's appeal to ASC from IIROC disciplinary decision allowed in part (10/19/2020)

Careers

• Career Opportunities     
  • Securities Investigator
  • Senior Legal Counsel, Corporate Finance

Back to Top

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October 12-16, 2020

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)

• Reporting Issuer List 

Enforcement

• Notices, Decisions and Orders     
  • O'BRIEN, Michael Francis (ASC Decision, 10/15/2020)

Careers

• Career Opportunities     
  • Team Lead, Markets (Lawyer)
  • Advisor, Communications
  • Communications Coordinator

Back to Top

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October 5-9, 2020

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)

• Reporting Issuer List 

Enforcement

• Notices, Decisions and Orders     
  • FELGATE, Nicholas John (ASC Decision, 10/6/2020)

News & Publications

•  News Releases   
  • ASC finds that Nicholas John Felgate breached Alberta securities laws (10/9/2020)

Careers

• Career Opportunities     
  • General Accountant

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September 28-October 2, 2020

Issuer Regulation

• Decisions and Orders (Issuers)
  • Zenith Capital Corp. (Management Cease Trade Order, 9/29/2020)

• Reporting Issuer List 

News & Publications

•  News Releases  
  • New CSA report highlights investor education in turbulent times (10/1/2020)
  • ASC Connect 2020 brings together government and industry leaders for insightful conversations on Alberta’s plan for recovery (9/29/2020)

• Events & Presentations
  • ASC Connect 2020 Virtual Conference - October 27, 2020

Careers

• Career Opportunities     
  • Systems Developer
  • Regulatory Analyst, Market Oversight

Back to Top

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September 21-25, 2020

Issuer Regulation

• Decisions and Orders (Issuers)
  • Canada Iron Inc. (Variation of Cease Trade Order, 9/21/2020)

• Reporting Issuer List 

Back to Top

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September 14-18, 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)

• Reporting Issuer List 

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

• Career Opportunities     
  • Securities Investigator, JSOT

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September 7-11, 2020

Issuer Regulation

• Exemption Orders       
  • Schlumberger Finance Canada Ltd.(ABCA Order, 9/8/2020, s.s 3(3) ABCA exemption)

•  Reporting Issuer List 

News & Publications

•  News Releases  
  • Former public company CEO, Gordon John Reykdal, admits to misleading disclosure by Cash Store Financial Services Inc. (9/8/2020)

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August 31-September 4, 2020

Securities Law and Policy

• Regulatory Updates      
  • CSA Notice and Second Request for Comment Proposed Amendments to National Instrument 94-101Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to 94-101CP (9/3/2020)

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)

• Reporting Issuer List 

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

• Career Opportunities
  • Intelligence Analyst

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August 24-28, 2020

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)

• Reporting Issuer List 

Enforcement

• Notices, Decisions and Orders    
  • Bluforest Inc. (ASC Decision, 8/24/2020)

News & Publications

•  News Releases  
  • ASC finds Jim Can and Charles Miller engaged in fraudulent pump and dump scheme (8/27/2020)
  • Canadian securities regulators publish research on investor knowledge, attitudes and behaviour (8/27/2020)

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August 17-21, 2020

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)

• Reporting Issuer List 

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

•  News Releases  
  • ASC alleges Roadman Investments Corp. and Luke Montaine breached Alberta securities laws in relation to COVID-19 claims (8/21/2020)
  • Canadian securities regulators reduce regulatory burden related to business acquisition reports (8/20/2020)

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August 10-14, 2020

Issuer Regulation

• Decisions and Orders (Issuers) 
  • Aurex Energy Corp. (Cease Trade Order, 8/7/2020)

• Reporting Issuer List 

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)

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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)

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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

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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)

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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)

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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)

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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

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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)

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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

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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

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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)

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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)

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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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