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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.

By default all searches will show all CTOs issued that remain outstanding (active). To view CTOs that have been revoked or have expired, use Advanced Search . You can also browse by company name.

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Search Results Page of 566 (14129)
Issued
Date
NameIssuing Jurisdiction(s)StatusExpiry DateExcpFFCTOType
2018/05/22GENERALBCAmended2018/10/05Yes Ban Securities Trading BY
WONG, Chi Kay; WONG, Dixon
2018/05/22GENERALBCAmended2018/10/05Yes Ban Securities Trading BY
PAN, Chun Ying; PAN, Jim
2018/05/22GENERALBCAmended2018/10/05No Ban Securities Trading BY
TSAI, Meng Cher; TSAI, Philip
2018/05/22FS Financial Systems Inc.BCAmended2018/10/05No Ban Securities Trading BY
2018/05/22FS Financial Systems Inc.BCAmended2018/10/05No Ban Securities Trading OF
2018/05/22GENERALBCAmended2018/10/05No Ban Securities Trading BY
BACHRA, Gagan Deep
2018/05/22Verico FS Capital Inc.BCAmended2018/10/05No Ban Securities Trading OF
2018/05/22Verico FS Capital Inc.BCAmended2018/10/05No Ban Securities Trading BY
2018/05/22GENERALBCAmended2018/10/05No Ban Securities Trading BY
LIM, Aike Joo
2018/05/22GENERALBCAmended2018/10/05No Ban Securities Trading BY
CHIN, Lydia; CHIN, Nyit Foon
2018/05/22FS Stellar Insurance Services Inc.BCAmended2018/10/05No Ban Securities Trading BY
2018/05/22FS Stellar Insurance Services Inc.BCAmended2018/10/05No Ban Securities Trading OF
2018/05/22GENERALBCAmended2018/10/05Yes Ban Securities Trading BY
WANG, Hunter Wei Shun; WANG, Hunter Wei-Shun
2018/05/22GENERALBCAmended2018/10/05Yes Ban Securities Trading BY
LAY, George
2018/05/22WL Strategic Capital Partners Inc.BCAmended2018/10/05No Ban Securities Trading OF
2018/05/22WL Strategic Capital Partners Inc.BCAmended2018/10/05No Ban Securities Trading BY
2018/05/22GENERALBCAmended2018/10/05Yes Ban Securities Trading BY
ARDALAN, Afshin
2018/05/22CC Cornerstone Credit Ltd.BCAmended2018/10/05No Ban Securities Trading OF
2018/05/22CC Cornerstone Credit Ltd.BCAmended2018/10/05No Ban Securities Trading BY
2018/05/22GENERALBCAmended2018/10/05No Ban Securities Trading BY
KAO, Chung-Sheng; KAO, Johnson
2018/05/22GENERALBCAmended2018/10/05No Ban Securities Trading BY
WIEBE, Darrell
2018/05/22FS Financial Services (Alberta) Inc.BCAmended2018/10/05No Ban Securities Trading BY
2018/05/22FS Financial Services (Alberta) Inc.BCAmended2018/10/05No Ban Securities Trading OF
2018/05/22FS Financial Strategies Services Inc.BCAmended2018/10/05No Ban Securities Trading BY
2018/05/22FS Financial Strategies Services Inc.BCAmended2018/10/05No Ban Securities Trading OF
Search Results Page of 566 (14129)