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
Mutual Fund Dealers Association of Canada, The	Commission Order	December 16, 2008
Atlantic Industrial Minerals Inc. and Municipal Capital Incorporated	Commission Order	December 4, 2008
MFDA Amendment and Restatement of Recognition Order	Commission Order	November 26, 2008
Union Securities Ltd.	Commission Order	October 29, 2008
Canadian Investor Protection Fund - Amended and Restatement of Approval Order	Commission Order	October 8, 2008
HSBC Securities (Canada) Inc.	Commission Order	October 8, 2008
Victory Capital Management Inc.	Commission Order	October 1, 2008
optionsXpress Canada Corp.	Commission Order	September 24, 2008
Buchans River Ltd.	Commission Order	August 28, 2008
thinkorswim Canada Inc.	Commission Order	August 20, 2008
CST Consultants Inc.	Commission Order	August 14, 2008
Union Securities Ltd.	Commission Order	July 23, 2008
Aberdeen Asset Management Inc.	Commission Order	June 26, 2008
BW Founders Holdco Inc.	Commission Order	May 23, 2008
IIROC Recognition Order	Commission Order	May 21, 2008
EBI Electronic Benefits Inc., Advantage Financial Group Inc., and Everett R. Stuckless	Commission Order	May 15, 2008
Schroder Investment Management North America Inc.	Commission Order	May 7, 2008
Schroder Investment Management North America Limited	Commission Order	May 7, 2008
FP Resources Limited	Commission Order	May 1, 2008
Buchans River Ltd.	Commission Order	April 16, 2008
Desjardins Financial Security Investments Inc.	Commission Order	March 5, 2008
Halifax-Dartmouth Bridge Commission	Commission Order	February 8, 2008
Clarke Inc.	Commission Order	January 8, 2008
Wolverton Securities Limited	Commission Order	January 8, 2008
Mellon Bank, NA	Commission Order	December 13, 2007

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.