Search Cease Trade Orders
There are two types of CTOs: (1) Ban Securities Trading OF CTOs which prohibits trading in the securities of a company and (2) Ban Securities Trading BY CTOs that prevent specific individuals and companies from trading in securities.
Ban Securities Trading OF CTOs are issued by the regulatory authorities of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Ontario, Saskatchewan and Québec.
CTOs that prevent specific individuals and companies (“Ban Securities Trading BY CTOs”) from trading in securities are issued by the securities regulatory authorities of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Ontario, Saskatchewan and Québec. The term "General" in the Name column means trading is restricted in all securities. The “Issuing Jurisdiction(s)” column identifies the CSA jurisdictions that issued the CTO. In some circumstances a single order can be issued by more than one jurisdiction (click here for more information). A “FFCTO” status of “Yes” means that the CTO is a “failure-to-file cease trade order” (FFCTO). This information will assist an issuer in determining the CSA jurisdictions where the CTO has effect (click here for more information).
An exception status of "Yes" indicates that there are terms to the CTO that may permit trading in certain circumstances. You should review the specific terms of the order before refusing to execute a trade.
As a result of the statutory amendments in Alberta, Québec, Nova Scotia, New Brunswick and Manitoba, certain orders issued in other provinces or territories automatically take effect in Alberta, Québec, Nova Scotia, New Brunswick and Manitoba. These provinces will not issue separate orders in these circumstances. For more information, click here.
With the adoption of MI 11-103, certain CTOs issued by securities regulatory authorities automatically take effect in other jurisdictions. These other jurisdictions will not issue separate CTOs in these circumstances. For more information, click here.
|Name||Issuing Jurisdiction(s)||Status||Expiry Date||Excp||FFCTO||Type|
|2019/07/12||Parkside Resources Corporation||BC||Amended||None||No||Ban Securities Trading OF|
|2019/07/10||Alpha Peak Leisure Inc.||BC||Issued||None||No||Ban Securities Trading OF|
|2019/07/10||StartMonday Technology Corp.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/07/09||Callitas Health Inc.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/07/05||Waseco Resources Inc.||ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/07/05||All Securities||ON||Issued||2022/07/05||No||Ban Securities Trading BY|
|2019/07/04||Shean Investment Co-Operative Limited||NS||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/07/04||Fortem Resources Inc.||AB||Issued||None||No||Ban Securities Trading BY|
|BRUNER, Marc; DACUNHA, Robert|
|2019/07/04||CPFS Professional Financial Services Inc.||BC||Issued||2020/07/04||No||Ban Securities Trading BY|
|2019/07/04||NuWealth Financial Group Inc.||BC||Issued||2021/07/04||No||Ban Securities Trading BY|
|2019/07/04||GENERAL||BC||Issued||2021/07/04||Yes||Ban Securities Trading BY|
|LIU, Chien-Hua (also known as William Liu)|
|2019/07/04||Peeks Social Ltd.||ON||Issued||None||No||Ban Securities Trading BY|
|Di Pietro, Gaetano; Itwaru, Mark Irfan|
|2019/07/03||Future Farm Technologies Inc.||BC||Issued||None||No||Ban Securities Trading BY|
|GILDEA, William; STANLEY, Craig|
|2019/07/02||Eyecarrot Innovations Corp.||BC||Issued||None||No||Ban Securities Trading BY|
|CEGIELSKI, Adam; MALHTRA, Rakesh|
|2019/06/25||All Securities||ON||Issued||None||No||Ban Securities Trading BY|
|MICHAELS, David Michael|
|2019/06/25||MGM Resources Corp.||AB||Amended||None||No||Ban Securities Trading OF|
|2019/06/25||MGM Resources Corp.||BC||Amended||None||No||Ban Securities Trading OF|
|2019/06/24||ALL SECURITIES||AB||Issued||None||No||Ban Securities Trading BY|
|FAUTH, Vernon Ray|
|2019/06/10||GENERAL||BC||Issued||None||No||Ban Securities Trading BY|
|FURMAN, William Wade|
|2019/06/05||KMT-Hansa Corp.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/06/05||Lightstone Technologies Ltd.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/06/05||Montego Resources Inc.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/06/05||Eight Solutions Inc.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2019/06/04||Générale||QC||Issued||None||No||Ban Securities Trading BY|
|PHARAND, Louis;; STELLA, Leonardo (Leonard)|
|2019/06/03||AllyMe Group, Inc.||BC||Issued||None||No||Ban Securities Trading OF|