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
MFDA Investor Protection Corporation Variation and Restatement of Approval Order	Commission Order	January 1, 2021
Refinitiv US SEF LLC	Commission Order	September 2, 2020
Empire Company Limited	Commission Order	June 30, 2020
The Sou’wester Wind Field Inc.	Commission Order	June 10, 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
Chicago Mercantile Exchange Inc.- Recognition Order	Commission Order	June 7, 2019
PGIM, Inc. Exemption Order	Commission Order	January 2, 2019
Newfoundland Capital Corporation Limited - Cease to be a Reporting Issuer	Commission Order	November 9, 2018
Emera Inc. and Nova Scotia Power Inc.	Commission Order	July 18, 2018
Klaren Capital, LLC	Commission Order	June 13, 2018
PHARMACHOICE EAST LTD.	Commission Order	June 1, 2018
Ford Credit Canada Company	Commission Order	May 23, 2018
Alpha Exchange Inc.	Commission Order	March 17, 2014
Aequitas Neo Exchange	Commission Order	December 3, 2014
Nodal Exchange, LLC	Commission Order	August 30, 2017
Heidi Walsh Sampson	Commission Order	June 16, 2017
Crombie Real Estate Investment Trust	Commission Order	January 11, 2017
Chorus Aviation Inc.	Commission Order	October 14, 2016
ICE Trade Vault, LLC - Recognition Order	Commission Order	July 18, 2016
DTCC Data Repository (U.S.) LLC - Recognition Order	Commission Order	July 18, 2016
Chicago Mercantile Exchange Inc. - Recognition Order	Commission Order	July 18, 2016
Killam Properties Inc.	Commission Order	February 19, 2016
Emera Incorporated	Commission Order	November 23, 2015
Molson Coors Capital Finance ULC	Commission Order	October 16, 2015

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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.