Berry, Wayne J.

Enforcement Notices

Document	Document Date
May 28/13	May 28, 2013
Feb. 4/13	February 4, 2013
Dec. 10/12	December 10, 2012
Dec. 10/12	December 10, 2012
Feb 17/16	February 17, 2016
Feb 29/16	February 29, 2016
Mar 11/16	March 11, 2016
April 11, 2016 (Notice of Adjournment)	April 11, 2016
April 14, 2016 (Notice of Pre-Hearing Conference)	April 14, 2016
Aug 4, 2016	August 4, 2016
Feb. 9, 2017 (Notice of Adjournment)
Feb. 9, 2017 (Amended Notice of Hearing)
May 15, 2017 (Amended Notice of Hearing)	May 16, 2017

Statements of Allegations

Document	Document Date
Nov. 27/12	November 27, 2012

Settlements

Document	Document Date
May 11, 2017

Orders

Document	Document Date
Feb. 13/13	February 13, 2013
Aug 3, 2016 (Memo of Pre-Hearing Conference)	August 3, 2016
May 26, 2017

Decisions

Document	Document Date
Aug 3, 2016 (Preliminary-Motion)	August 3, 2016
Jan 17, 2017 (Preliminary-Motion)

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.