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Alberta Securities Commission
Page 1 of 2
Reporting Issuer List - Cover Page
Reporting Issuers
Default
Legend
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 and Insider Cease Trade Order, but that
order will NOT be shown on the list.
When a reporting issuer is noted as in default, standardized code symbols (disclosed in the legend below) will be appear
in the column 'Nature of Default'.
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 Multilateral Instrument 52-109 Certification of
Disclosure in Issuers' Annual and Interim Filings (MI 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 Multilateral Instrument 52-110 Audit Committees; or
(o) disclosure in a reporting issuer's MD&A relating to disclosure controls and procedures
and their effectiveness that is referred to in a certificate filed under MI 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, Auditing
Standards and Reporting Currency;
(b) the reporting issuer has acknowledged that its financial statements, or the auditors' report
accompanying the financial statements, may no longer be relied upon;
(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 re
p
ortin
g
issuer has failed to com
p
l
y
with an
y
other re
q
uirement related to continuous disclosure.
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.
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Résumé du contenu

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