Orders

4 6 A B C D E F G H I J K L M N O P R S T U V W Y

Order	Type	Order Date
Bell Aliant Regional Communications, Limited Partnership	Director Order	November 6, 2008
GrowthWorks Atlantic Venture Fund Ltd.	Director Order	March 2, 2009
GrowthWorks Atlantic Venture Fund Ltd.	Director Order	December 10, 2010
Bell Aliant Regional Communications, Limited Partnership	Director Order	December 24, 2010
Bell Aliant Inc. and Bell Aliant Regional Communications Inc. (Re: Bell Aliant Preferred Equity Inc.)	Director Order	February 18, 2011
Media Fund (Atlantic) Ltd.	Director Order	June 14, 2011
Performance Genomics Investment Fund	Director Order	October 4, 2011
VMP Holdings Inc.	Director Order	October 11, 2011
Nova Scotia Power Inc.	Director Order	November 15, 2011
Emera Incorporated	Director Order	May 17, 2012
Spectraxe LLC	Commission Order	December 20, 2023
Refinitiv Transaction Services Limited	Commission Order	December 13, 2023
PGIM, Inc.	Commission Order	December 13, 2023
DW SEF LLC	Commission Order	June 26, 2023
TW SEF LLC	Commission Order	June 26, 2023
CIRO Recognition Order	Commission Order	June 1, 2023
Nova Scotia Power Inc.	Commission Order	February 9, 2023
Bloomberg Tradebook Singapore Pte Ltd.	Commission Order	July 27, 2022
Order - Approval of the IIROC Restricted Fund Application	Commission Order	October 27, 2022
Emera Inc. and Nova Scotia Power Inc.	Commission Order	October 12, 2022
Order - Approval of the MFDA Application regarding the MFDA Discretionary Fund	Commission Order	July 28, 2022
Bloomberg SEF LLC	Commission Order	September 15, 2021
Bloomberg Trading Facility Limited BTFE	Commission Order	July 7, 2021
Bloomberg Trading Facility Limited BMTF	Commission Order	July 7, 2021
Canadian Investor Protection Fund Variation and Restatement of Approval Order	Commission Order	January 1, 2021

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.