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Template Reporting Issuer List.Xlsx Commission des valeurs mobilières du Manitoba Liste d’émetteurs assujettis – Page couverture Émetteurs assujettis Manquement Quand un émetteur assujetti est considéré comme étant en défaut, des codes normalisés (voir la légende ci-dessous) figurent dans la colonne « Nature du défaut ». Tous les efforts sont déployés pour veiller à l’exactitude de la présente liste. Si un émetteur assujetti n’y figure pas ou s’il y a été incorrectement noté comme étant en défaut, veuillez communiquer sans délai avec la Commission des valeurs mobilières du Manitoba (CVM). La liste sera corrigée au besoin. Un émetteur assujetti peut être en défaut et faire l’objet d’une ordonnance d’interdiction d’opérations visant la direction ou les initiés SANS que cette mention ne figure sur la liste. Légende 1. L’émetteur assujetti est en défaut par rapport aux exigences d’information continue prévues par les lois manitobaines en valeurs mobilières. (a) états financiers annuels; (b) états ou rapports financiers intermédiaires; (c) rapport de gestion annuel ou intermédiaire ou rapport annuel ou intermédiaire de la direction sur le rendement du fonds; (d) notice annuelle; (e) attestation relative aux documents annuels ou intermédiaires exigée en vertu de la Norme canadienne 52-109 sur l’attestation de l’information présentée dans les documents annuels et intermédiaires des émetteurs (NC 52-109); (f) documents de procuration ou circulaire de sollicitation de procurations obligatoires; (g) supplément de profil d’émetteur au moyen du Système électronique de déclaration des initiés (SEDI); (h) déclaration de changement important; (i) mise à jour écrite requise après le dépôt d’une déclaration de changement important confidentielle; (j) déclaration d’acquisition d’entreprise; (k) documents d’information annuels sur le pétrole et le gaz requis en vertu de la Norme canadienne 51-101 sur l’information concernant les activités pétrolières et gazières (NC 51-101) ou rapports techniques relatifs à un projet minier requis en vertu de la Norme canadienne 43-101 sur l’information concernant les projets miniers (NC 43-101); (l) communiqué de presse obligatoire; (m) document d’information relatif à la gouvernance d’entreprise requis en vertu de la Norme canadienne 58-101 sur l’information concernant les pratiques en matière de gouvernance (NC 58-101); (n) document d’information relatif au comité de vérification exigé en vertu de la Norme canadienne 52-110 sur le comité de vérification (NC 52-110); (o) dans un rapport de gestion de l’émetteur assujetti, information relative aux contrôles et aux mécanismes d’information et à l’efficacité de ces derniers dont il est fait mention dans une attestation déposée en vertu de la NC 52-109. 2. Lacune dans des documents d’information continue de l’émetteur assujetti. (a) les états financiers de l’émetteur assujetti ou le rapport du vérificateur s’y rapportant ne sont pas conformes aux exigences de la Norme canadienne 51-102 sur les obligations d’information continue (NC 51-102), de la Norme canadienne 81-106 sur l’information 1 de 2 continue des fonds d’investissement (NC 81-106) ou de la Norme canadienne 52-107 sur les principes comptables et normes d’audit acceptables (NC 52-107); (b) l’émetteur assujetti a reconnu que ses états financiers ou le rapport du vérificateur s’y rapportant ne sont peut-être plus fiables; (c) la notice annuelle, le rapport de gestion, le rapport de la direction sur le rendement du fonds, la circulaire de sollicitation de procurations ou la déclaration d’acquisition d’entreprise déposé par l’émetteur assujetti ne renferme pas de renseignements pour chacune des rubriques exigées en vertu de la NC 51-102 ou de la NC 81-106; ou (d) le rapport technique ou d’autres rapports de l’émetteur assujetti ne respectent pas les exigences d’information requises en vertu de la NC 43-101 ou de la NC 51-101. 3. L’émetteur assujetti a omis de verser les droits exigés en vertu des lois manitobaines en valeurs mobilières. 4. L’émetteur assujetti a omis de se conformer à toute autre obligation en matière d’information continue. Interdiction d’opérations Si un émetteur assujetti fait l’objet d’une ordonnance d’interdiction d’opérations rendue par la CVM en vertu du paragraphe 147.1(1) ou du paragraphe 148(1), l’interdiction d’opérations figure près de son nom. Les titres visés par une ordonnance d’interdiction d’opérations rendue par la CVM ne peuvent être négociés au Manitoba. Pour déterminer si une personne ou une compagnie fait l’objet d’une ordonnance d’interdiction d’opérations visant la direction ou les initiés rendue par la CVM, s’il vous plait se référer au « avis, règles et politiques, Ordonnances et exemptions » sous l’onglet « Lois et politiques » du site Web de la CVM (www.mbsecurities.ca). Pour obtenir de plus amples renseignements, vous pouvez : • consulter les documents déposés par les émetteurs assujettis sur SEDAR (www.sedar.com); • consulter les rapports déposés par les initiés des émetteurs assujettis sur SEDI (www.sedi.ca); • consulter les interdictions d’opérations sur valeurs (IOV) rendues par les commissions des valeurs mobilières provinciales dans la base de données des IOV (www.autorites-valeurs-mobilieres.ca); • communiquer directement avec l’émetteur assujetti. Tous les efforts ont été déployés pour veiller à l’exactitude de l’information contenue dans la list des émetteur assujettis. Si un émetteur assujetti ne figure pas sur la liste ou s’il a été incorrectement noté comme étant en défaut, veuillez communiquer sans délai avec la Commission des valeurs mobilières du Manitoba (CVM). La liste sera corrigée au besoin. 2 de 2 Rapport creé 2021-09-24 Manitoba Securities Commission Report created 2021-09-24 Rapport en date 2021-09-23 Reporting Issuer List Report as of 2021-09-23 Issuer Name Nature of Default Nom d'emetteur Nature du défaut 01 Communique Laboratory Inc. 1608557 Ontario Inc. Cease Traded 1832 AM Canadian All Cap Equity Pool 1832 AM Emerging Markets Equity Pool 1832 AM Fundamental Canadian Equity Pool 1832 AM Global Credit Pool 1832 AM International Growth Equity Pool 1832 AM Investment Grade Canadian Corporate Bond Pool 1832 AM U.S. $ Investment Grade U.S. Corporate Bond Pool 1911 Gold Corporation 2055 McPhillips Street Cease Traded 2242749 Ontario Limited Cease Traded 2980304 Canada Inc. (Jazz Golf Equipment Inc.) Cease Traded 360networks Inc. Cease Traded 3iQ CoinShares Bitcoin ETF 3iQ CoinShares Ether ETF 407 International Inc. 4504020 Canada Inc. Cease Traded 48North Cannabis Corp. 49 North Resources Inc. 4Front Ventures Corp. 55 North Mining Inc. 5813906 Manitoba Ltd. (San Gold Corporation) Cease Traded 5N Plus Inc. 9342-8530 Québec Inc. Cease Traded @rgentum Canadian Equity Portfolio 1a, 1b, 1c @rgentum Canadian L/S Equity Portfolio 1a, 1b, 1c @rgentum Canadian Performance Portfolio 1a, 1b, 1c @rgentum Income Porfolio 1a, 1b, 1c @rgentum International Master Portfolio 1a, 1b, 1c @rgentum Short Term Asset Portfolio 1a, 1b, 1c @rgentum U.S. Market Neutral Portfolio 1a, 1b, 1c @rgentum U.S. Master Portfolio 1a, 1b, 1c A&W Revenue Royalties Income Fund A.H.A. Automotive Technologies Corporation Cease Traded Aavangen Industries Inc. Cease Traded Abacus Mining & Exploration Corp Abaxx Technologies Inc. ABC Technologies Holdings Inc. Aberdeen Asia-Pacific Income Investment Company Limited Aboriginal Global Investment Fund Cease Traded Absolute Software Corporation Acadian Core International Equity Fund Acadian Timber Corp. Acasti Pharma Inc. Accelerate Absolute Return Hedge Fund Accelerate Arbitrage Fund Accelerate Carbon-Negative Bitcoin ETF Accelerate Enhanced Canadian Benchmark Alternative Fund Accelerate OneChoice Alternative Portfolio ETF Accord Financial Corp. 1 de 120 1 of 120 Rapport creé 2021-09-24 Manitoba Securities Commission Report created 2021-09-24 Rapport en date 2021-09-23 Reporting Issuer List Report as of 2021-09-23 Issuer Name Nature of Default Nom d'emetteur Nature du défaut ACE Aviation Holdings Inc. Acerus Pharmaceuticals Corporation Acme Metals Incorporated Cease Traded Acorn Energy, Inc. 1a, 1b, 1c, 1e Acreage Holdings, Inc. Action Energy Inc. Cease Traded AcuityAds Holdings Inc. Adagio Investments Inc. Cease Traded Adaltis Inc. Cease Traded ADCORE Inc. ADF Group Inc. Admiral Inc. Cease Traded Advanced Education Savings Plan Advanced Micro Devices, Inc. Advantage Energy Ltd. Advantage Entertainment, Inc. Cease Traded ADVANZ PHARMA Corp. Limited Aecon Group Inc. Aegis Brands Inc. Aequus Pharmaceuticals Inc. AEterna Zentaris Inc. AEX Gold Inc. AFM Hospitality Corporation Cease Traded African Copper PLC Ag Growth International Inc. Agassiz Resources Ltd. Cease Traded AGF American Growth Class AGF American Growth Fund AGF Canadian Growth Equity Class AGF Canadian Money Market Fund AGF Canadian Small Cap Fund AGF China Focus Class AGF Elements Balanced Portfolio AGF Elements Balanced Portfolio Class AGF Elements Conservative Portfolio AGF Elements Conservative Portfolio Class AGF Elements Global Portfolio AGF Elements Global Portfolio Class AGF Elements Growth Portfolio AGF Elements Growth Portfolio Class AGF Elements Yield Portfolio AGF Elements Yield Portfolio Class AGF Emerging Markets Bond Fund AGF Emerging Markets Class AGF Emerging Markets Fund AGF Equity Income Fund AGF European Equity Class AGF European Equity Fund AGF Fixed Income Plus Class AGF Fixed Income Plus Fund AGF Floating Rate Income Fund 2 de 120 2 of 120 Rapport creé 2021-09-24 Manitoba Securities Commission Report created 2021-09-24 Rapport en date 2021-09-23 Reporting Issuer List Report as of 2021-09-23 Issuer Name Nature of Default Nom d'emetteur Nature du défaut AGF Global Convertible Bond Fund AGF Global Corporate Bond Fund AGF Global Dividend Class AGF Global Dividend Fund AGF Global Equity Class AGF Global Equity Fund AGF Global Growth Balanced Fund AGF Global Opportunities Bond ETF AGF Global Real Assets Class AGF Global Real Assets Fund AGF Global Select Fund AGF Global Sustainable Balanced Class AGF Global Sustainable Balanced Fund AGF Global Sustainable Growth Equity ETF AGF Global Sustainable Growth Equity Fund AGF Management Limited AGF Short-Term Income Class AGF Strategic Income Fund AGF Total Return Bond Class AGF Total Return Bond Fund AGF U.S.
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