Jump to Content

Home
  • Toll Free: 1-855-424-2499
  • Contact Us
  • NSSC Events / Hearings Calendar
  • NSSC Fees
  • Government of Nova Scotia
  • Home
  • For Investors
    • File a Complaint or Report an Investment Scam
    • Investor Education Resources
    • Investor Education Videos
    • Investing Information for Seniors
    • Investing Information for Young Investors
    • Blog: Before You Invest
  • Securities Law & Policy
    • Securities Act
    • Instruments, Rules, Policies, Blanket Orders & Notices
    • General Rules
    • CEDC Regulations
    • Memoranda of Understanding
    • Exemption Orders
  • Registration & Compliance
    • Registration
    • Check Registration
    • Compliance
    • Exchanges, Alternative Trading Systems, Clearing Houses & Trade Repositories
  • Issuer Regulation
    • Issuer List
    • Companies in default
    • CTO Database
    • CEDIFs
    • Continuous Disclosure Obligations
    • Filing Documents Electronically
    • Crowdfunding
      • Crowdfunding Exemption MI 45-108
      • Start-up Crowdfunding Exemption
  • Enforcement Proceedings & Orders
    • Enforcement Proceedings
    • NSSC Events / Hearings Calendar
    • Sanction Payment Status Report
    • Investor Alert Database
    • Automatic Reciprocation
  • Media Releases & Current Updates
    • Media Releases
    • Media Kit
    • NSSC Events / Hearings Calendar
    • Employment Opportunities
  • Orders (A-Z)

You are here

  1. Home ›
  2. Enforcement Proceedings & Orders ›
  3. Enforcement Proceedings

Enforcement Proceedings

All

1 3 A B C D E F G H I J K L M N O P Q R S T U V W
Title
1763960 Nova Scotia Limited
3062809 Nova Scotia Limited, World of Wisdom Publishing House, Terra Firma Publishing Incorporated, Davis, Ronald George and Davis, Laurie Harriett
AD Equity Inc.
Adams, Timothy; Weir, Lowell; and McLaughlin-Weir, Carol
Allen, John Alexander
Alliance Atlantis Communications Inc. and Sobey, Donald R.
Atlantic Industrial Minerals Incorporated
Baie Chedabucto Bay Investment Fund Limited
BCA Investment Co-operative Limited
Bermudacan Connect Incorporated, Can+Ber Communications Inc. and Bruce Douglas Hatfield, Keith Towse and George Anthis
Berry, Wayne J.
Bevis, Christopher John
Bevis, Christopher John and Schriver, Bruce Patrick
Black, Emeric Neil
Bowser, Paul Brian
Brikman, Vyacheslav
Brown, Steven Jay
Burden, Gregory Paul
Burke, Gregory
Byrne, Vincent
C.S.T. Consultants Inc.
Campbell, Douglas Gordon, Atlantic Tides Inc. & Mortgage Investments Corp.
Campbell, John George Frederick
Canaccord Capital Corporation
CanGlobe International, CanGlobe International Capital Inc., CanGlobe Financial Group, Peter Mill and Douglas Rudolph

Pages

  • 1
  • 2
  • 3
  • 4
  • 5
  • 6
  • 7
  • next ›
  • last »
  • File a Complaint

Enforcement Proceedings & Orders

  • Enforcement Proceedings
  • NSSC Events / Hearings Calendar
  • Automatic Reciprocation
  • Investor Alert Database
  • Sanction Payment Status Report
Stay Current



      

Events & Hearings

more
April 19, 2021 to April 20, 2021
Wesley William Robinson and DRR900306 NS Ltd
Video Conference
April 26, 2021 to April 27, 2021
Wesley William Robinson and DRR900306 NS Ltd
Video Conference

Media Releases

more
February 22, 2021
PDF icon Canadian securities regulators on track to publish recommendations on self-regulatory organization framework
February 12, 2021
PDF icon Canadian securities regulators respond to the Modernization Taskforce Final Report and encourage a harmonized regulatory system that protects investors and reduces unnecessary burden
February 4, 2021
PDF icon Canadian securities regulators warn public about trading scam using fake accreditation
February 4, 2021
PDF icon Canadian securities regulators propose to modernize registration information requirements, clarify outside activity reporting and update filing deadlines
February 1, 2021
PDF icon Joint statement from the Canadian Securities Administrators and the Investment Industry Regulatory Organization of Canada on the Recent Market Volatility

Out for Comment

more
February 4, 2021
CSA Notice and Request for Comment - Proposed Amendments to National Instrument 33-109 Registration Information and Changes to Companion Policy 33-109CP Registration Information. Comment period ends May 5, 2021
December 3, 2020
CSA Consultation Paper 25-403 Activist Short Selling. Comment period ends March 3, 2021

Online Directories

  • CSA National Registration Search
  • Issuers
  • Defaulting Issuers
  • SEDAR Regulatory Fee Guide

Popular Searches

  • Fee Schedule
  • Enforcement Proceedings
  • Media Releases
  • Securities Law & Policy
  • Commission Rules
  • Recognize and Report an Investment Scam
Tweets by @NSSCommission

Securities Law & Policy

  • Instruments, Rules & Policy
  • Legislation

Registration & Compliance

  • Registration, Information & Forms
  • Check Registration
  • Compliance

Issuer Regulation

  • Issuer List
  • Companies in Default 
  • CTO Database
  • CEDIFs
  • Continuous Disclosure Obligations
  • Filing Documents Electronically

Enforcement Proceedings & Orders

  • Enforcement Proceedings
  • Exemption Orders
  • NSSC Events / Hearings Calendar

Media Releases & Current Updates

  • Media Releases
  • Media Kit
  • NSSC Events / Hearings Calendar
  • Employment Opportunities

About the NSSC

  • Corporate Finance Branch
  • Enforcement Branch
  • Policy & Market Regulation Branch
  • Current Commissioners
  • Understanding Regulations, Rules, Policies, Notices, and Orders
  • The Commission Plans and Reports
  • Disclaimer
  • Privacy
  • Terms of Use

Province of Nova Scotia - Canada

This page and all contents are Crown copyright @ 2014, Province of Nova Scotia,  All Rights Reserved.

Comments and/or questions about this website?

  • 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.