Weekly Reports
Updates for the week ending November 2, 2018
- 11-339 - CSA Staff Notice 11-339 Notice of Local Changes in Alberta
This Notice identifies the amendments to Companion Policy 45-102 Resale of Securities in Alberta that became effective on August 31, 2018.
- News release 2018/83 - BCSC panel permanently bans Surrey man from capital markets
Marketplaces, Self Regulatory Organizations (SROs) & Clearing Agencies
- No new documents
Decisions, Settlements, Hearings & Temporary Orders Shariff Chandran
- Shariff Chandran - Reciprocal Order
- Roberto Castano - Reciprocal Order
- Damodar Arapakota, The Arapakota 2006 Family Trust, Imex Systems Inc. and TSX Venture Exchange Inc. - Decision
Cease Trade Orders & Revocations
- Brooks Bergreen, Mike Liggett (each referred to separately as the Insider) and Hit Technologies Inc. - Cease Trade Order
- Alan Tam, Yun Zhu (each referred to separately as the Insider) and HooXi Network Inc. - Cease Trade Order
- China Keli Electric Company Ltd. - Cease Trade Order
- Ian Mallmann, S. Randall Smallbone (each referred to separately as the Insider) and Astron Connect Inc. - Cease Trade Order
- David Ross, Heinz James Taylor (each referred to separately as the Insider) and IBC Advanced Alloys Corp. - Cease Trade Order
- CellCube Energy Storage Systems Inc. - Cease Trade Order
- Cabo Drilling Corp., International Zeolite Corp. and Lightstone Technologies Ltd. (each referred to separately as the Issuer) - Cease Trade Order
- American CuMo Mining Corporation - Cease Trade Order
- David Ross Heinz, James Taylor (each referred to separately as the Insider) and IBC Advanced Alloys Corp. - Revocation Order
- Punkaj Gupta, Keith Margetson (each referred to separately as the Insider) and Simba Essel Energy Inc. - Cease Trade Order
Redhawk Resources, Inc. - Order