Rudolph, Douglas G., Mill, Peter A.D., CFG*CN Ltd. (also known as CanGlobe Financial Group), and CanGlobe International Capital Inc.

Enforcement Notices

Document	Document Date
April 15, 2013	April 15, 2013
April 15, 2013	April 15, 2013
May 24, 2013	May 24, 2013
Nov. 19, 2013	November 19, 2013
Dec. 4, 2013	December 4, 2013
January 22, 2014	January 22, 2014
January 30, 2014	January 30, 2014
Sept. 12, 2014	September 12, 2014
Dec 4, 2014	December 4, 2014
May 4, 2015
June 12, 2015	June 12, 2015
Oct. 5, 2015
Oct. 8, 2019
Dec 4, 2019
Dec 4, 2019
Jan 31, 2020
March 23, 2020
March 23, 2020
March 30, 2020
Sept. 22, 2020
October 7, 2020
November 3, 2020
Dec 18, 2020
Jan 15, 2021
Amended Notice of Appeal Oct 22, 2021

Pages

Statements of Allegations

Document	Document Date
April 9, 2013	April 9, 2013

Orders

Document	Document Date
April 10, 2014	April 10, 2014
June 5, 2015
Oct 2, 2015
Oct 5, 2015
Nov 20, 2019
April 3, 2020
June 3, 2020
November 3, 2020
Order Aug 26, 2021
September 28, 2021
Consent Order Oct 8, 2021
Order for Substituted Service Dec 16, 2021

Decisions

Document	Document Date
Feb. 28/14	February 28, 2014
Nov 24, 2014	November 24, 2014
May 28, 2021
September 16, 2021
September 28, 2021
September 28, 2021
May 9, 2023 (Court of Appeal decision)

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.