Media Releases

Media Release	Document Date
NSSC public information sessions on crowdfunding	May 28, 2014
Investor Alert for Fort Coast Loans	May 30, 2014
CSA Investor Alert: Caution urged for those looking to invest in medical marijuana stocks	June 16, 2014
Canadian securities regulators adopt amendments to modernize investment fund rules	June 19, 2014
Canadian Securities Regulators seek comments on proposed amendments related to gender diversity	July 3, 2014
Settlement Agreement Approved for Steven Jay Brown	July 7, 2014
CSA adopts auditor oversight rule amendments	July 17, 2014
CSA Results of Continuous Disclosure Reviews 2014	July 17, 2014
Commission Issues Cease Trade Order	July 22, 2014
Cease Trade Order Extended for Michael A. Harrigan	July 30, 2014
Settlement Agreement Approved for Glooscap Wind Field inc.	September 10, 2014
Canadian securities regulators move forward with harmonized regulatory approach for take-over bids in Canada	September 11, 2014
Research underway by Canadian securities regulators into mutual fund fees	September 19, 2014
CSA warns Canadians: Don't buy into the hype when investing	October 7, 2014
Canadian securities regulators provide an update on early warning reporting system project	October 10, 2014
Canadian Securities Regulators Finalize Rule Amendments Regarding Disclosure of Women on Boards and in Senior Management	October 15, 2014
Commission creates payment status report	October 22, 2014
Settlement Agreement Approved for Unique CEDC Ltd.	October 24, 2014
Investor Alert for Aura Mergers & Acquisitions	November 3, 2014
Commission Creates YouTube Videos for Financial Literacy Month	November 3, 2014
Investor Alert for Stratus Financial Group International	November 4, 2014
Canadian Securities Administrators invite investors to get the Fund Facts during Financial Literacy Month	November 4, 2014
Canadian Securities Regulators propose significant changes to the rights offering regime	November 27, 2014
Canadian Securities Regulators propose harmonized approach to clearing agency requirements	November 27, 2014
Canadian Securities Regulators release IIROC Oversight Review Report	December 4, 2014

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.