Decisions
>
Orders and Exemptions
>
Date: 2019
Decisions
>
Orders and Exemptions
>
Date: 2019
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Orders and Exemptions
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21 result(s)
1.
Blackrock Asset Management Canada Limited and Blackrock Financial Management, Inc.
-
2019-12-18
Orders and Exemptions
-
Local Order
2.
Marex North America LLC
-
2019-12-18
Orders and Exemptions
-
Local Order
3.
R.J. O'Brien & Associates Canada Inc.
-
2019-12-18
Orders and Exemptions
-
Local Order
4.
Sokal, Wayne and ESP Software Inc.
-
Sokal - 001
-
2019-12-03
Orders and Exemptions
-
Enforcement Order
5.
Hensall District Co-operative, Incorporated
-
2019-11-27
Orders and Exemptions
-
Local Order
6.
RBC Capital Markets, LLC
-
2019-10-22
Orders and Exemptions
-
Local Order
7.
The Mosport Park Entertainment Corporation
-
2019-09-04
Orders and Exemptions
-
Local Order
8.
Connacher Oil & Gas Limited
-
2019-07-30
Orders and Exemptions
-
Coordinated Review Application
9.
Nasdaq CXC Limited
-
2019-07-19
Orders and Exemptions
-
Coordinated Review Application
10.
Canadian Conference of the Mennonite Brethren Church of North America
-
2019-07-17
Orders and Exemptions
-
Passport Application
11.
SG Americas Securities, LLC
-
2019-06-27
Orders and Exemptions
-
Local Order
12.
TD Securities Inc.
-
2019-06-27
Orders and Exemptions
-
Local Order
13.
I.G. Investment Management, Ltd.
-
2019-06-21
Orders and Exemptions
-
Dual Application
14.
WEQ Holdings Inc. (formerly WesternOne Inc.)
-
2019-03-29
Orders and Exemptions
-
Coordinated Review Application
15.
Madison Street Limited Partnership, 5218838 Manitoba Ltd. and Brenda Andre
-
Madison Street - 001
-
2019-03-13
Orders and Exemptions
-
Enforcement Order
16.
Great-West Lifeco Inc.
-
2019-03-01
Orders and Exemptions
-
Coordinated Review Application
17.
Setka, Thomas Peter
-
Setka - 001
-
2019-02-27
Orders and Exemptions
-
Settlement Agreement
18.
Thomas Peter Setka
-
2019-02-27
Orders and Exemptions
-
Enforcement Order
19.
Macquarie Capital Markets Canada Ltd.
-
2019-02-06
Orders and Exemptions
-
Local Order
20.
Madison Street Limited Partnership, 5218838 Manitoba Ltd. and Brenda Andre
-
Madison Street - 001
-
2019-01-15
Orders and Exemptions
-
Enforcement Order
21.
Perimeter Markets Inc.
-
2019-01-15
Orders and Exemptions
-
Coordinated Review Application