Issuers

The Issuer List is compiled by NSSC staff for the public to easily identify companies that are either Reporting Issuers (RIs) or Community Economic-Development Corporations (CEDIFs) in Nova Scotia.

WARNING: Given the breadth of the definition of a reporting issuer and a community economic-development corporation under Nova Scotia securities law, the NSSC does not represent that the Issuer List is a complete list of Nova Scotia issuers. The list is current as indicated by the date shown below

For example, the NSSC staff do not continuously review the corporate status of issuers so corporations that have been dissolved may still be on the Issuer List.

Anyone seeking information relating to the status of a particular issuer should contact Corporate Finance Office of the Nova Scotia Securities Commission.

The notation In Default indicates that the issuer has failed to comply with a requirement of Nova Scotia securities law as of January 20, 2020.

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Total Issuers: 6390

Show Only PRNS Issuers

Nature of Defaults Legend

Issuer	Principal Regulator is Nova Scotia	In Default
IA Clarington American Fund	No	No
IA Clarington Balanced Portfolio	No	No
IA Clarington Bond Fund	No	No
IA Clarington Canadian Balanced Class	No	No
IA Clarington Canadian Balanced Fund	No	No
IA Clarington Canadian Conservative Equity Class	No	No
IA Clarington Canadian Conservative Equity Fund	No	No
IA Clarington Canadian Dividend Fund	No	No
IA Clarington Canadian Equity Class	No	No
IA Clarington Canadian Equity Fund	No	No
IA Clarington Canadian Leaders Class	No	No
IA Clarington Canadian Small Cap Fund	No	No
IA Clarington Conservative Portfolio	No	No
IA Clarington Core Plus Bond Fund	No	No
IA Clarington Dividend Growth Class	No	No
IA Clarington Emerging Markets Bond Fund	No	No
IA Clarington Floating Rate Income Fund	No
IA Clarington Focused Balanced Class	No	No
IA Clarington Focused Balanced Fund	No	No
IA Clarington Focused Canadian Equity Class	No	No
IA Clarington Focused U,S, Equity Class	No	No
IA Clarington Global Allocation Fund	No	No
IA Clarington Global Bond Fund	No	No
IA Clarington Global Equity Exposure Fund	No	No
IA Clarington Global Equity Fund	No	No

Pages

Failure to file annual financial statements.
Failure to file interim financial statements.
Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
Failure to file an Annual Information Form (AIF).
Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
Failure to file required proxy materials or a required information circular.
Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
Failure to file a material change report.
Failure to provide a written update after filing a confidential report of a material change.
Failure to file a business acquisition report.
Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
Failure to file a mandatory news release.
Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
Failure to pay a fee required by the Act or the regulations.
Failure to comply with any other requirement related to continuous disclosure.