Example: tourism industry

Ontario Securities Commission

Legend 1a. Failure to file annual financial statements. 1b. Failure to file interim financial statements. 1c. Failure to file an annual or interim management s discussion and analysis (MD&A) or annual or interim management report of fund performance (MRFP). 1d. Failure to file an Annual Information Form (AIF). 1e. 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). 1f. Failure to file required proxy materials or a required information circular. 1g. Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI). 1h. Failure to file a material change report. 1i. Failure to provide a written update after filing a confidential report of a material change.

Légende 1a. Omission de déposer les états financiers annuels. 1b. Omission de déposer les états financiers périodiques. 1c. Omission de déposer un rapport de gestion annuel ou direction sur le rendement du fonds.

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Transcription of Ontario Securities Commission

1 Legend 1a. Failure to file annual financial statements. 1b. Failure to file interim financial statements. 1c. Failure to file an annual or interim management s discussion and analysis (MD&A) or annual or interim management report of fund performance (MRFP). 1d. Failure to file an Annual Information Form (AIF). 1e. 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). 1f. Failure to file required proxy materials or a required information circular. 1g. Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI). 1h. Failure to file a material change report. 1i. Failure to provide a written update after filing a confidential report of a material change.

2 1j. Failure to file a business acquisition report. 1k. 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). 1l. Failure to file a mandatory news release. 1m. Failure to file corporate governance disclosure as required by National Instrument 58-101 Disclosure of Corporate Governance Practices. 1n. Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees or BC Instrument 52-509 Audit Committees. 1o. Failure to include disclosure in an issuer s MD&A relating to disclosure controls and procedures and their effectiveness that is referred to in a certificate filed under MI 52-109.

3 2a. 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. 2b. The reporting issuer has acknowledged that its financial statements, or the auditors report accompanying the financial statements, may no longer be relied upon. 2c. 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. 2d. The reporting issuer s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or NI 51-101.

4 3. Failure to pay a fee required by the Act or the regulations. 4. Failure to comply with any other requirement related to continuous disclosure. Ontario Securities CommissionPlease noteThe default status of a reporting issuer shown on the list is as of the date of the last update indicated. More current information may be obtained by calling the Contact Centre at 416-593-8314 or 1-877-785-1555 (Toll Free).Last Updated on Oct 29, 2020 at 08:04:24 am L gende 1a. Om ission de d poser les tats financiers annuels. 1b. Om ission de d poser les tats financiers p riodiques. 1c. Om ission de d poser un rapport de gestion annuel ou p riodique ou un rapport annuel ou p riodique de la direction sur le rendem ent du fonds. 1d. Om ission de d poser les notices annuelles.

5 1e. Om ission de d poser une attestation relative aux docum ents annuels ou p riodiques exig e en vertu du R glem ent 52-109 sur l'attestation de l'inform ation pr sent e dans les documents annuels et interm diaires des m etteurs. 1f. Om ission de d poser les docum ents de procuration ou la circulaire d'inform ation exig s. 1g. Om ission de d poser un suppl m ent de profil d' m etteur sur le Syst m e lectronique de d claration des initi s (SEDI). 1h. Om ission de d poser un rapport de m odification im portante. 1i. Om ission de fournir une mise jour crite apr s le d p t d'un rapport confidentiel de m odification im portante. 1j. Om ission de d poser une d claration d'acquisition d'entreprise. 1k. Om ission de d poser les docum ents d'information annuels sur le p trole et le gaz exig s en vertu du R glem ent 51-101 sur l'inform ation concernant les activit s p troli res et gazi res ou les rapports techniques relatifs un projet minier exig s en vertu du R glem ent 43-101 Information concernant les projets miniers.

6 1l. Om ission de d poser un comm uniqu obligatoire. 1m . Om ission de d poser le docum ent d'inform ation sur la gouvernance d'entreprise exig en vertu du R glem ent 58-101 sur l'inform ation concernant les pratiques en m ati re de gouvernance d'entreprise. 1n. Om ission de d poser le docum ent d'inform ation relatif au com it de v rification exig en vertu du R glem ent 52-110 ou du R glement de la Colom bie-Britannique 52-509 sur les com it s de v rification. 1o. Om ission de pr senter dans le rapport de gestion d'un m etteur l'information relative aux contr les et aux m canismes d'inform ation et l'efficacit de ces derniers dont il est fait m ention dans une attestation d pos e en vertu du R glem ent 52-109. 2a. Les tats financiers de l' metteur assujetti ou le rapport du v rificateur joint aux tats financiers ne sont pas conform es aux exigences du R glem ent 51-102 sur les obligations d'inform ation continue, du R glem ent 81-106 sur l'inform ation continue des fonds d'investissem ent ou du R glement 52-107 sur les principes comptables, les norm es de v rification et les monnaies de pr sentation acceptables.

7 2b. L' m etteur assujetti a reconnu que ses tats financiers ou le rapport du v rificateur qui y est joint ne sont peut- tre plus fiables. 2c. La notice annuelle, le rapport de gestion, le rapport de la direction sur le rendement du fonds, la circulaire d'inform ation ou les d clarations d'acquisition d'entreprise d pos s par l' m etteur assujetti ne renferment pas de renseignem ents pour chacun des points exig s en vertu des R glements 51-102 ou 81-106. 2d. Le docum ent d'inform ation technique ou d'autres rapports de l' m etteur assujetti ne sont pas conform es aux exigences d'information des R glem ents 43-101 ou 51-101. 3. Om ission de verser les droits exig s par la Loi ou les r glements d'application. 4. Om ission de se conformer toute autre exigence en mati re d'inform ation continue.

8 Veuillez noterLa qualit d'un metteur assujetti en d faut figurant sur la liste s'applique la date de la derni re mise jour indiqu e. Vous pouvez obtenir de plus amples renseignements en communiquant avec l'InfoCentre au 416-593-8314 ou au 1 877 785-1555 (sans frais).Derni re mise jour 29 Oct 2020 08:04:24 amCommission des valeurs mobili res de l OntarioOntario Securities CommissionCommission des valeurs mobili res de l OntarioNom d' metteur assujettiIssuer Name(YYYY/MM/DD)Date de l'ordonnanceOrder DateOrdonnance d'interdiction d'op rationsCease TradedNature du d fautNature of DefaultEn d fautIn DefaultPrevious NameNom pr c dent Cat gorie CategoryPrincipal JurisdictionAutorit principale#01 Communique Laboratory InvFund1080854 Ontario LimitedYes/Oui2002/01/03 Yes/Oui1a, 1b, 1dInverpower Controls InvFund1246598 Deposit Box InvFund1608557 Ontario , 1b, 1c, 1e.

9 3 Hemosol InvFund161671 Canada InvFund1832 AM Canadian Dividend LP--------ONInvFund1832 AM Canadian Growth LP--------ONInvFund1832 AM Global Completion LP--------ONInvFund1832 AM Investment Grade Canadian Corporate Bond Pool--------ONInvFund1832 AM Tactical Asset Allocation LP--------ONInvFund1832 AM $ Investment Grade Corporate Bond Pool--------1832 AM Investment Grade Corporate Bond PoolONInvFund1911 Gold Corporation--------Havilah Mining CorporationONNon- InvFund1933 Industries Inc--------Friday Night Inc.; QuikFlo Health Inc.; Viper Gold Ltd.; LeBoldus Capital InvFund2242749 Ontario LimitedYes/Oui2015/09/08 Yes/Oui1b, 1c, 1eArmtec Infrastructure InvFund3 Sixty Risk Solutions , 1c, 1e, 3 ONNon- InvFund360networks , 1b, 1dBCNon- InvFund37 Capital 5 Ventures Inc.

10 ; Kokomo Enterprises Inc.; Zab Resources InvFund389575 Alberta InvFund389585 Alberta InvFund389590 Alberta InvFund389593 Alberta InvFund3MV Energy , 1c, 1e, 3 Noravena Capital CorporationABNon- InvFund407 International InvFund4504020 Canada , 1b, 1c, 1d, 1e, 3 Railpower Technologies InvFund48 North Cannabis Capital InvFund49 North Resources North Resource Fund InvFundOntario Securities CommissionCommission des valeurs mobili res de l OntarioNom d' metteur assujettiIssuer Name(YYYY/MM/DD)Date de l'ordonnanceOrder DateOrdonnance d'interdiction d'op rationsCease TradedNature du d fautNature of DefaultEn d fautIn DefaultPrevious NameNom pr c dent Cat gorie CategoryPrincipal JurisdictionAutorit principale4 Front Ventures InvFund5N Plus InvFund700459 Ontario Limited--------ONNon- InvFund79 Resources InvFund79 North Exploration InvFund800 Kennedy Road LimitedYes/Oui1995/01/12------Non- InvFund855 Burrard Capital Limited Partnership No.