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Reporting Issuer List Ontario Securities Commission Please note The default status of a reporting issuer shown on the list is as of the date of the last update indicated. More current information may be obtained by calling the Contact Centre at 416-593-8314 or 1-877-785-1555 (Toll Free). Last Updated on Jul 2, 2021 at 08:04:33 am Legend 1a. Failure to file annual financial statements. 1b. Failure to file interim financial statements. 1c. Failure to file an annual or interim management’s discussion and analysis (MD&A) or annual or interim management report of fu nd performance (MRFP). 1d. Failure to file an Annual Information Form (AIF). 1e. Failure to file a certification of annual or interim filings required by Multilateral Instrument 52 -109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109). 1f. Failure to file required proxy materials or a required information circular. 1g. Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI) . 1h. Failure to file a material change report. 1i. Failure to provide a written update after filing a confidential report of a material change. 1j. Failure to file a business acquisition report. 1k. Failure to file annual oil and gas disclosure prescribed by National Instrument 51 -101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101). 1l. Failure to file a mandatory news release. 1m. Failure to file corporate governance disclosure as required by National Instrument 58 -101 Disclosure of Corporate Governance Practices. 1n. Failure to file audit committee disclosure as required by Multilateral Instrument 52 -110 Audit Committees or BC Instrument 52-509 Audit Committees. 1o. Failure to include disclosure in an 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. 2a. Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply wi th the requirements of NI 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 . 2b. The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financia l statements, may no longer be relied upon. 2c. 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. 2d. 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 the Act or the regulations. 4. Failure to comply with any other requirement related to continuous disclosure. Commission des valeurs mobilières de l’Ontario Veuillez noter La qualité d'un émetteur assujetti en défaut figurant sur la liste s'applique à la date de la dernière mise à jour indiquée. Vous pouvez obtenir de plus amples renseignements en communiquant avec l'InfoCentre au 416-593-8314 ou au 1 877 785-1555 (sans frais). Dernière mise à jour 2 Jul 2021 à 08:04:33 am Légende 1a. Omission de déposer les états financiers annuels. 1b. Omission de déposer les états financiers périodiques. 1c. Omission de déposer un rapport de gestion annuel ou périodique ou un rapport annuel ou périodique de la direction sur le rendement du fonds. 1d. Omission de déposer les notices annuelles. 1e. Omission de déposer une attestation relative aux documents annuels ou périodiques exigée en vertu du Règlement 52-109 sur l'attestation de l'information présentée dans les documents annuels et intermédiaires des émetteurs. 1f. Omission de déposer les documents de procuration ou la circulaire d'information exigés. 1g. Omission de déposer un supplément de profil d'émetteur sur le Système électronique de déclaration des initiés (SEDI) . 1h. Omission de déposer un rapport de modification importante. 1i. Omission de fournir une mise à jour écrite après le dépôt d'un rapport confidentiel de modification importante. 1j. Omission de déposer une déclaration d'acquisition d'entreprise. 1k. Omission de déposer les documents d'information annuels sur le pétrole et le gaz exigés en vertu du Règlement 51 -101 sur l'information concernant les activités pétrolières et gazières ou les rapports techniques relatifs à un projet minier exigés en vertu du Règlement 43-101 – Information concernant les projets miniers. 1l. Omission de déposer un communiqué obligatoire. 1m. Omission de déposer le document d'information sur la gouvernance d'entreprise exigé en vertu du Règlement 58-101 sur l'information concernant les pratiques en matière de gouvernance d'entreprise. 1n. Omission de déposer le document d'information relatif au comité de vérification exigé en vertu du Règlement 52-110 ou du Règlement de la Colombie- Britannique 52-509 sur les comités de vérification. 1o. Omission de présenter dans le rapport de gestion d'un émetteur l'information relative aux contrôles et aux mécanismes d'infor mation et à l'efficacité de ces derniers dont il est fait mention dans une attestation déposée en vertu du Règlement 52-109. 2a. Les états financiers de l'émetteur assujetti ou le rapport du vérificateur joint aux états financiers ne sont pas conformes a ux exigences du Règlement 51- 102 sur les obligations d'information continue, du Règlement 81-106 sur l'information continue des fonds d'investissement ou du Règlement 52 -107 sur les principes comptables, les normes de vérification et les monnaies de présentation acceptables. 2b. L'émetteur assujetti a reconnu que ses états financiers ou le rapport du vérificateur qui y est joint ne sont peut -être plus fiables. 2c. La notice annuelle, le rapport de gestion, le rapport de la direction sur le rendement du fonds, la circulaire d'information ou les déclarations d'acquisition d'entreprise déposés par l'émetteur assujetti ne renferment pas de renseignements pour chacun des points exigés en vertu des Règlements 51-102 ou 81- 106. 2d. Le document d'information technique ou d'autres rapports de l'émetteur assujetti ne sont pas conformes aux exigences d'information des Règlements 43 - 101 ou 51-101. 3. Omission de verser les droits exigés par la Loi ou les règlements d'application. 4. Omission de se conformer à toute autre exigence en matière d'information continue. Ontario Securities Commission Commission des valeurs mobilières de l’Ontario Issuer Name Previous Name Principal Category In Default Nature of Default Cease Traded Order Date Jurisdiction Nom d'émetteur assujetti Nom précédent Autorité Catégorie En défaut Nature du défaut Ordonnance Date de principale d'interdiction l'ordonnance d'opérations (YYYY/MM/DD) # 01 Communique Laboratory Inc. ON Non- -- -- -- -- InvFund 1080854 Ontario Limited Inverpower Controls Ltd. -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/01/03 InvFund 1608557 Ontario Inc. Hemosol Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/12/10 InvFund 161671 Canada Inc. QC Non- -- -- Yes/Oui 1991/10/28 InvFund 1832 AM Canadian All Cap Equity Pool Scotia Private Canadian All ON InvFund -- -- -- -- Cap Equity Pool 1832 AM Canadian Dividend LP ON InvFund -- -- -- -- 1832 AM Canadian Growth LP ON InvFund -- -- -- -- 1832 AM Emerging Markets Equity Pool Scotia Emerging Markets ON InvFund -- -- -- -- Equity Fund 1832 AM Fundamental Canadian Equity Pool Scotia Private Fundamental ON InvFund -- -- -- -- Canadian Equity Pool 1832 AM Global Completion LP ON InvFund -- -- -- -- 1832 AM Global Credit Pool Scotia Private Global Credit ON InvFund -- -- -- -- Pool 1832 AM Global Low Volatility Equity LP Scotia Global Low Volatility ON InvFund -- -- -- -- Equity LP 1832 AM International Equity LP ON InvFund -- -- -- -- 1832 AM International Growth Equity Pool Scotia Private International ON InvFund -- -- -- -- Growth Equity Pool 1832 AM Investment Grade Canadian ON InvFund -- -- -- -- Corporate Bond Pool 1832 AM Tactical Asset Allocation LP ON InvFund -- -- -- -- 1832 AM Total Return Bond LP Scotia Total Return Bond LP ON InvFund -- -- -- -- 1832 AM U.S. Dividend Growers LP Scotia U.S. Dividend ON InvFund -- -- -- -- Growers LP 1832 AM U.S. Low Volatility Equity LP Scotia U.S. Low Volatility ON InvFund -- -- -- -- Equity LP 1832 AM U.S. $ Investment Grade U.S. 1832 AM Investment Grade ON InvFund -- -- -- -- Corporate Bond Pool U.S. Corporate Bond Pool 1911 Gold Corporation Havilah Mining Corporation BC Non- -- -- -- -- InvFund 1933 Industries Inc Friday Night Inc.; QuikFlo BC Non- -- -- -- -- Health Inc.; Viper Gold Ltd.; InvFund LeBoldus Capital Inc. 2242749 Ontario Limited Armtec Infrastructure Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/09/08 InvFund 3 Sixty Risk Solutions Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/07/15 InvFund 360networks Inc. BC Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/07/19 InvFund 37 Capital Inc. High 5 Ventures Inc.; BC Non- -- -- -- -- Kokomo Enterprises Inc.; InvFund Zab Resources Inc. 389575 Alberta Ltd. -- Non- -- -- Yes/Oui 1989/09/19 InvFund 389585 Alberta Ltd. -- Non- -- -- Yes/Oui 1989/09/20 InvFund Ontario Securities Commission Commission des valeurs mobilières de l’Ontario Issuer Name Previous Name Principal Category In Default Nature of Default Cease Traded Order Date Jurisdiction Nom d'émetteur assujetti Nom précédent Autorité Catégorie En défaut Nature du défaut Ordonnance Date de principale d'interdiction l'ordonnance d'opérations (YYYY/MM/DD) 389590 Alberta Ltd. -- Non- -- -- Yes/Oui 1989/09/20 InvFund 389593 Alberta Ltd. -- Non- -- -- Yes/Oui 1989/09/20 InvFund 3iQ CoinShares Bitcoin ETF 3iQ Bitcoin ETF ON InvFund -- -- -- -- 3iQ CoinShares Ether ETF 3iQ Ether ETF ON InvFund -- -- -- -- 3MV Energy Corp.
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