Enforcement Proceedings

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 Y

Title
Carrot Investment Co-operative Ltd., The
Celtic Tiger Minerals Exploration Inc.
Clarke Inc. and Geosam Investments Limited
Clarke, Bruce Elliott
Clarke, Steven Elliott
Colby Cooper Capital & Inc., Pac West Minerals Ltd., Mason, John Douglas Lee
Colpitts, R. Blois
Courtney, Raymond G.
Credential Asset Management Inc.
Davis, Ronald G., Laurie Jeffers Davis, Davis and Davis Personal and Professional Development Enterprises Incorporated, 3021310 Nova Scotia Limited, Lauron Enterprises Incorporated, and Davis and Davis Personal & Professional Development Seminars Limited
De Thomas Wealth Management Corp.
Desjardins Financial Security Investments Inc.
Dunbar, Glenn Francis
Duncan, Gregory Matthew
During, L. John
Eastbay Master Fund, LP and Eastbay Asset Management, LLC
EBI Electronic Benefits Inc., Stuckless, Evertt R., and Advantage Financial Group Inc.
Elcora Advanced Materials Corp. and Graphene Corp.
Elsie, Randall
Evangeline Wind Field Inc., The
Feder, Elliot
Fillmore, Bruce Frederick
Fillmore, Byron Millard
Fleming, William
ForexTips101 Ltd. (aka Funding Talent), Jessica Lynn Ghaney (aka Jessica L. Chaney), and Anthony Carlo Sartor

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.