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, Manitoba, Saskatchewan and British Columbia, certain orders issued in other provinces or territories automatically take effect in Alberta, Québec, Nova Scotia, New Brunswick, Manitoba, Saskatchewan and British Columbia. 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|
|2021/05/11||All Securities||AB||Issued||None||Yes||Ban Securities Trading BY|
|FELGATE, Nicholas John|
|2021/05/07||Emergia Inc.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||SRAI Capital Corp.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||Sunstone Opportunity Fund (2005) Limited Partnership||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||YDX Innovation Corp.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||Greenbank Ventures Inc.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||Nextraction Energy Corp.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||Deserving Health International Corp.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||Altan Rio Minerals Limited||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||AZN Capital Corp.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||Nura Lyfe Sciences Corp.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/07||Yaletown Energy Capital Corp.||BC||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||Logica Ventures Corp.||ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||Imaging Dynamics Company Ltd.||ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||LSC Communications, Inc.||ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||Ikänik Farms Inc.||ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||Paleo Resources, Inc.||AB||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||Radiko Holdings Corp.||AB-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||Westcore Energy Ltd.||AB-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||EnerSpar Corp.||AB-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/06||NetCents Technology Inc.||BC-ON||Issued||None||No||Yes||Ban Securities Trading OF|
|2021/05/05||Nass Valley Gateway Ltd.||ON||Issued||None||No||Ban Securities Trading BY|
|2021/05/05||GENERAL||BC||Issued||None||Yes||Ban Securities Trading BY|
|ZHU, Shijun "Clark"|
|2021/05/05||Reservoir Capital Corp.||ON||Issued||None||No||Ban Securities Trading BY|
|Gonzalez, Omar; Reford, Lewis Tewksbury|
|2021/05/05||Hanfeng Evergreen Inc.||ON||Amended||None||No||Ban Securities Trading OF|