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
Refinitiv US SEF LLC	Commission Order	September 2, 2020
Admiral Rock Investments Ltd. (Cease Trade Order)	Director Order	July 10, 2020
Empire Company Limited	Commission Order	June 30, 2020
The Sou’wester Wind Field Inc.	Commission Order	June 10, 2020
Growthworks Atlantic Venture Fund Ltd.	Director Order	January 20, 2020
Holloway Lodging Corporation - Cease to be a Reporting issuer	Commission Order	November 1, 2019
Financial & Risk Transaction Services Ireland Limited	Commission Order	September 18, 2019
Shean Investment Co-Operative Limited - Cease Trade Order	Director Order	July 4, 2019
Chicago Mercantile Exchange Inc.- Recognition Order	Commission Order	June 7, 2019
Goldspot Discoveries Corp. - Revocation Order	Director Order	May 14, 2019
Goldspot Discoveries Corp. - Cease Trade Order	Director Order	May 10, 2019
Ocean Links Investments Inc. - CTO	Director Order	April 4, 2019
PGIM, Inc. Exemption Order	Commission Order	January 2, 2019
Aphrodite Investors Group Inc. (CEDIF) (Revocation Order)	Director Order	December 10, 2018
MedMira Inc. - Management Cease Trade Order	Director Order	November 29, 2018
Newfoundland Capital Corporation Limited - Cease to be a Reporting Issuer	Commission Order	November 9, 2018
MedMira Inc. - Revocation Order	Director Order	September 5, 2018
MedMira Inc. - Cease Trade Order	Director Order	August 31, 2018
Ocean Links Investments Inc. - Revocation Order	Director Order	August 30, 2018
GrowthWorks Atlantic Venture Fund Ltd.	Director Order	August 9, 2018
GrowthWorks Atlantic Venture Fund Ltd.	Director Order	August 9, 2018
Emera Inc. and Nova Scotia Power Inc.	Commission Order	July 18, 2018
Ocean Links Investments Inc. - Cease Trade Order	Director Order	July 18, 2018
Aphrodite Investors Group Inc. - Cease Trade Order	Director Order	June 25, 2018
Klaren Capital, LLC	Commission Order	June 13, 2018

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.