Weekly Reports

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Policies & Instruments

• CSA Staff Notice 52-304 and 81-309 - Application of National Policy Statement 31 Change of Auditor of a Reporting Issuer and National Instrument 81-102 Mutual Funds when a reporting issuer appoints a new auditor as a result of Arthur Andersen LLP - Canada ceasing to practise public accounting

  This Notice sets out staff's views on the application of National Policy Statement 31 Change of Auditor of a Reporting Issuer (NP 31) and National Instrument 81-102 Mutual Funds (NI 81-102) when a reporting issuer changes its auditor as a result of Arthur Andersen LLP Canada (Andersen Canada) ceasing to practice public accounting.

News & Events

No new documents for this week.

Decisions, Settlements, Hearings, and Temporary Orders

No new documents for this week.

Cease Trade Orders & Revocations

Search for cease trade orders and revocations using Market Regulation Services National CTO database (link no longer operational).  

Some discretionary and MRRS orders are located in the Temporary Orders section of Decisions & Orders

• Resorts Unlimited Management Inc. - Variation Order under Section 171
• National Electronic Technologies Corp. - Cease Trade Order under Section 164
• Emerald Bay Energy Inc. - Revocation Order under Section 171
• Ashlar Financial Services Corp. - Cease Trade Order under Section 164

Exemptions and MRRS Orders

• Bloomberg Tradebook LLC, et. al. - MRRS
• Sentry Select Alternative Energy Fund, et. al. - MRRS
• BMO Investments Inc., et. al. - MRRS
• Seamark Asset Management Ltd. - MRRS
• Wave Securities, L.L.C. - MRRS
• Imperial Canadian Bond Pool, et. al. - MRRS
• TD Waterhouse Investor Services, Inc. - MRRS
• Scarthingmoor Asset Management Inc. - Exemption Order under Section 48
• CCS Income Trust - Exemption Order under Section 1(1)
• Devon Ventures Corporation, et. al. - Exemption Order under Section 76