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Enforcement Proceedings

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Title
optionsXpress, Inc.
Oxford Investment Holdings Inc.
Pasternak, Oded
Pharmachoice East Ltd.
Poonian, Thalbinder &Shailu, Leyk, Robert Joseph, Sihota, Manjit & Perminder
Portus Alternative Asset Management Inc.
Premiere Developments Limited
Publicover, Taura Irene
Quadrus Investment Services Ltd.
Rawding, John C.
Rethy, Steven Jules
RETURN ON INNOVATION ADVISORS LTD. (formerly RETURN ON INNOVATION MANAGEMENT LTD.), TRUSTEE AND INVESTMENT FUND MANAGER OF ROl HIGH INCOME PRIVATE PLACEMENT FUND, ROl PRIVATE PLACEMENT FUND, ROI STRATEGIC PRIVATE PLACEMENT FUND, AND ROl INSTITUTIONAL PRIVATE PLACEMENT FUND
River John Oceanfront Resorts Ltd.
Robinson, Christopher
Rollo, Harry John Jr.
Royal Roads Corp.
Rudolph, Douglas G., Mill, Peter A.D., CFG*CN Ltd. (also known as CanGlobe Financial Group), and CanGlobe International Capital Inc.
Rust, Grant Stuart
Scallop Shell Pollution Solution Limited
Schaumer, Michael
Schriver, Bruce Patrick
Scotia Securities Inc.
Scotian Wind Inc., Terrance Norman
Select Money Strategies Incorporated
Sheito, Allen E. and Woods, Gary A.

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December 12, 2019
PDF icon Canadian securities regulators announce review of framework for self-regulatory organizations
November 21, 2019
PDF icon Investor Alert for ProactiveTrade

CSA Notices

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December 11, 2019
Update on: Amendments to NI 45- and NI 31-103 and Changes to Companion Policy 45-106CP and Companion Policy 31-103CP relating to Syndicated Mortgages [CSA Notice 45-326]

Out for Comment

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October 3, 2019
Request for Comment Proposed Amendments to National Instrument 52-108 Auditor Oversight and Proposed Changes to Companion Policy 52-108 Auditor Oversight Comment period ends January 2, 2019

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