Alberta Securities Commission - Reporting Issuer List PROD Issuers List...آ  2019. 1. 11.آ ...

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Transcript of Alberta Securities Commission - Reporting Issuer List PROD Issuers List...آ  2019. 1. 11.آ ...

  • Alberta Securities Commission Page 1 of 2 Reporting Issuer List - Cover Page

    Please be advised that pursuant to section 29 of Bill 25, the Securities Amendment Act, 2006, section 141 of the Securities Act (Alberta) has been repealed and replaced. As a result the ASC is no longer issuing certificates of no default. Individuals seeking information relating to an issuer's status in that regard may wish to refer to this reporting issuer list. The full text of Bill 25 can be accessed at the Alberta Legislative Assembly website under Bills and Amendments.

    Every effort is made to ensure the accuracy of information included in the reporting issuers’ list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should

    contact the Alberta Securities Commission (ASC) promptly. If appropriate, the list will be revised as necessary.

    Reporting Issuers Default When a reporting issuer is noted in default, standardized code symbols (disclosed in the legend below) will be appear in the column 'Nature of Default'. Every effort is made to ensure the accuracy of this list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact the Alberta Securities Commission promptly. A reporting issuer may be in default and be subject to a Management Cease Trade Order, but that order will NOT be shown on the list. Legend 1. The reporting issuer has failed to file the following continuous disclosure prescribed by Alberta securities laws:

    (a) annual financial statements;

    (b) interim financial statements;

    (c) an annual or interim management's discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP);

    (d) an annual information form; (AIF);

    (e) a certification of annual or interim filings under National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings (NI 52-109);

    (f) proxy materials or a required information circular;

    (g) an issuer profile supplement on the System for Electronic Disclosure By Insiders (SEDI);

    (h) material change reports;

    (i) a written update as required after filing a confidential report of a material change;

    (j) a business acquisition report;

    (k) the annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure for Oil and Gas Activities (NI 51-101) or a technical report for a mineral project required under National Instrument 43-101 Standards of Disclosure for Mineral Projects (NI 43-101);

    (l) mandatory news releases;

    (m) corporate governance disclosure as required by National Instrument 58-101 Disclosure of Corporate Governance Practices;

    (n) audit committee disclosure as required by National Instrument 52-110 Audit Committees; or

    (o) disclosure in a reporting issuer's MD&A relating to disclosure controls and procedures and/or internal control over financial reporting and their effectiveness that is referred to in a certificate filed under NI 52- 109.

    2. The reporting issuer's continuous disclosure because:

    (a) financial statements of the reporting issuer, or the auditors' report accompanying the financial statements, do not comply with the requirements of National Instrument 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 and Auditing Standards;

    (b) the reporting issuer has acknowledged that its financial statements, or the auditors' report accompanying the financial statements, may no longer be relied upon;

  • Alberta Securities Commission Page 2 of 2 Reporting Issuer List - Cover Page

    Please be advised that pursuant to section 29 of Bill 25, the Securities Amendment Act, 2006, section 141 of the Securities Act (Alberta) has been repealed and replaced. As a result the ASC is no longer issuing certificates of no default. Individuals seeking information relating to an issuer's status in that regard may wish to refer to this reporting issuer list. The full text of Bill 25 can be accessed at the Alberta Legislative Assembly website under Bills and Amendments.

    Every effort is made to ensure the accuracy of information included in the reporting issuers’ list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should

    contact the Alberta Securities Commission (ASC) promptly. If appropriate, the list will be revised as necessary.

    (c) 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; or

    (d) the reporting issuer's technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or NI 51-101;

    3. Failure to pay a fee required by Alberta securities laws.

    4. The reporting issuer has failed to comply with any other requirement related to continuous disclosure.

    Cease Trade Order If a reporting issuer is subject to a cease trade order issued by the ASC or the Executive Director under subsection 33.1 of the Act or by the ASC under 198(1) or (2) of the Act, the cease trade order will be disclosed beside the name of the reporting issuer. Securities that are subject to a cease trade order of the ASC may not be traded in Alberta. To determine if a person or company is the subject of a management cease trade order issued by the ASC, please refer to 'Decisions and Orders' located under the Enforcement section on the ASC website (at www.albertasecurities.com). Additional information may be obtained by:

    - reviewing the filings made by the reporting issuer on SEDAR (at www.sedar.com); - contacting the reporting issuer directly; - reviewing the Commission website; or - reviewing the national cease trade order database located on the CSA website (at www.csa-acvm.ca).

    http://www.albertasecurities.com/

  • Reporting Issuer List

    Alberta Securities Commission 1Page

    2014-04-29Report Created on:

    of 264

    Report as of: 2014-04-28

    Please be advised that pursuant to section 29 of Bill 25, the Securities Amendment Act, 2006, section 141 of the Securities Act (Alberta) has been repealed and replaced. As a result the ASC is no longer be issuing certificates of no default. Individuals seeking information relating to an issuer's status in that regard may wish to refer to this defaulting reporting issuer list. The full text of Bill 25 can be accessed at the Alberta Legislative Assembly website under Bills and Amendments.

    Every effort is made to ensure the accuracy of information included in the reporting issuers’ list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact the Alberta Securities Commission (ASC) promptly. If appropriate, the list will be revised as necessary.

    AAN VENTURES INC.

    A.O.G. AIR SUPPORT INC. Cease Traded 1a, 1b, 1c, 1e

    AAVANGEN INDUSTRIES INC. Cease Traded 1a, 1b, 1c, 1e, 1g

    A.I.S. RESOURCES LIMITED

    A&W REVENUE ROYALTIES INCOME FUND

    A MAN CALLED INTREPID Cease Traded 1a, 1b, 1c, 1e

    A.H.A. AUTOMOTIVE TECHNOLOGIES CORPORATION Cease Traded 1a, 1b, 1c, 1e

    A.E. VENTURES LTD. Cease Traded 1a, 1b, 1c, 1e, 1g

    71 CAPITAL CORP.

    5N PLUS INC.

    5BANC SPLIT INC.

    88 CAPITAL CORP.

    855 BURRARD CAPITAL LIMITED PARTNERSHIP NO. 3 Cease Traded 1a, 1b, 1c, 1e

    7918534 CANADA INC.

    1608557 ONTARIO INC. Cease Traded 1a, 1b, 1c, 1d, 1e

    1603546 ALBERTA LTD. Cease Traded 1a, 1b, 1c, 1e

    1807564 ALBERTA LTD. 1b, 1c, 1e

    1987 NO 2 MINTAX MINERAL LIMITED PARTNERSHIP Cease Traded

    1810040 ALBERTA LTD. 1a, 1b, 1c, 1d, 1e

    1080854 ONTARIO LIMITED Cease Traded 1a, 1b, 1c, 1d, 1e, 1g

    0922327 BC LTD.

    01 COMMUNIQUE LABORATORY INC.

    0941092 B.C. LTD.

    0978762 BC LTD.

    0944460 B.C. LTD.

    2737469 CANADA INC. 1a, 1b, 1c, 1e

    4404980 CANADA INC. Cease Traded 1a, 1b, 1c, 1e

    407 INTERNATIONAL INC.

    4504020 CANADA INC. Cease Traded 1a, 1b, 1c, 1d, 1e

    523976 ALBERTA LTD. Cease Traded 1a, 1b, 1c, 1e

    49 NORTH RESOURCES INC.

    3MV ENERGY CORP.

    360 CAPITAL FINANCIAL SERVICES GROUP INC.

    2980304 CANADA INC. Cease Traded 1a, 1b, 1c, 1e

    360 VOX CORPORATION

    3DX INDUSTRIES INC. Cease Traded 1a, 1b, 1c, 1d, 1e, 4

    360NETWORKS INC. Cease Traded 1a, 1b, 1c, 1d, 1e, 1g

    Name Cease Traded Nature of Default

  • Reporting Issuer List

    Alberta Securities Commission 2Page

    2014-04-29Report Created on:

    of 264

    Report as of: 2014-04-28

    Please be advised that pursuant to section 29 of Bill 25, the Securities Amendment Act, 2006, section 141 of the Securities Act (Alberta) has been repealed and replaced. As a result the ASC is no longer be issuing certificates of no default. Individuals seeking information relating to an issuer's status in that regard may wish to refer to this defaulting reporting issuer list. The full text of Bill 25 can be accessed at the Alberta Legislative Assembly website under Bills and Amendments.

    Every effort is made to ensure the accuracy of information included in the reporting issuers’ list. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact