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 Apr 8, 2021 at 08:03:47 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 8 Apr 2021 à 08:03:47 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 Dividend LP ON InvFund ------

1832 AM Canadian Growth LP ON InvFund ------

1832 AM Global Completion LP ON InvFund ------

1832 AM Global Low Volatility Equity LP Scotia Global Low Volatility ON InvFund ------Equity LP

1832 AM International Equity LP ON InvFund ------

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 ON InvFund ------LP

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 ON 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

389590 Alberta Ltd. -- Non- -- -- Yes/Oui 1989/09/20 InvFund

389593 Alberta Ltd. -- Non- -- -- Yes/Oui 1989/09/20 InvFund

3iQ Bitcoin ETF ON InvFund ------

3MV Energy Corp. Noravena Capital AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/10 Corporation 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)

407 International Inc. ON Non------InvFund

4504020 Canada Inc. Railpower Technologies QC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/07/21 Corp. InvFund 1e, 3

48North Cannabis Corp. Kramer Capital Corp. ON Non------InvFund

49 North Resources Inc. 49 North Resource Fund SK Non------Inc. InvFund

4Front Ventures Corp. ON Non------InvFund

5N Plus Inc. QC Non------InvFund

700459 Ontario Limited ON Non------InvFund

79 Resources Ltd. BC Non------InvFund

79North Inc. 12 Exploration Inc. ON Non------InvFund

800 Kennedy Road Limited -- Non- -- -- Yes/Oui 1995/01/12 InvFund

855 Burrard Capital Limited Partnership No. -- Non- -- -- Yes/Oui 1988/05/18 2 InvFund

866299 Ontario Inc. -- Non- -- -- Yes/Oui 1990/09/27 InvFund

9 Capital Corp. ON Non------InvFund

9342-8530 Québec Inc. Diagnocure Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/03/07 InvFund @

@rgentum Canadian Equity Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

@rgentum Canadian L/S Equity Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

@rgentum Canadian Performance Portfolio @rgentum Canadian Small QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- -- Company Portfolio

@rgentum Discovery Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

@rgentum Income Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

@rgentum International Master Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

@rgentum Short Term Asset Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

@rgentum U.S. Market Neutral Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

@rgentum U.S. Master Portfolio QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- -- A

A-Labs Capital V Corp. ON Non------InvFund

A Man Called Intrepid QC Non- -- -- Yes/Oui 1993/07/23 InvFund

AB Svensk Exportkredit (Swedish Export ON Non------Credit Corporation) InvFund

Abacan Resource Corporation AB Non- -- -- Yes/Oui 2000/06/30 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)

Abacus Canadian Equity Fund SLCO Canadian Equity ON InvFund Yes/Oui 1a, 1b, 1d, 3 -- -- Fund

Abacus Mining & Exploration Corp. Abacus Minerals BC Non------Corporation InvFund

Abacus Software Group Inc. Abacus Accounting AB Non- -- -- Yes/Oui 1998/08/04 Systems Inc. InvFund

Abattis Bioceuticals Corp. Abattis Biologix Corporation BC Non- -- -- Yes/Oui 2019/02/01 InvFund

Abaxx Technologies Inc. New Millennium Iron Corp.; ON Non------New Millennium Capital InvFund Corp.

Abbey Exploration Inc. -- Non- -- -- Yes/Oui 1991/04/26 InvFund

ABC Technologies Holdings Inc. ON Non------InvFund

Abcourt Mines Inc. QC Non------InvFund

Aberdeen Asia-Pacific Income Investment First Australia Prime ON InvFund ------Company Limited Income Investment Company Limited

Aberdeen International Inc. ON Non------InvFund

Abigail Capital Corporation BC Non------InvFund

Abitibi Royalties Inc. QC Non------InvFund

Aboriginal Global Investment Fund BC InvFund Yes/Oui 1a, 3 -- --

AbraSilver Resource Corp. AbraPlata Resource Corp.; BC Non------Angel Bioventures Inc.; InvFund Angel Bioventures Inc.; Bella Resources Inc.; Mystique Energy, Inc.

Absolute Software Corporation BC Non------InvFund

AC Energy Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2003/12/30 InvFund 1e, 3

Acadian Core International Equity Fund Integra Europacific Fund ON InvFund ------

Acadian Energy Inc. York Ridge Lifetech Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/06 InvFund

Acadian Timber Corp. NB Non------InvFund

Acasti Pharma Inc. QC Non------InvFund

Accelerate Absolute Return Hedge Fund AB InvFund ------

Accelerate Arbitrage Fund AB InvFund ------

Accelerate Enhanced Canadian Benchmark AB InvFund ------Alternative Fund

Accelerate OneChoice Alternative Portfolio Accelerate Multi-Strategy AB InvFund ------ETF Alternative Allocation Fund

Accord Financial Corp. ON Non------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) ACE Aviation Holdings Inc. QC Non------InvFund

ACEnetx Inc. Peninsula Gold ON Non- Yes/Oui 1a, 1b Yes/Oui 2003/02/26 Explorations Ltd. InvFund

Acerus Pharmaceuticals Corporation Trimel Pharmaceuticals ON Non------Corporation; J5 Acquisition InvFund Corp.

ACE/Security Laminates Corporation Sonus Venture Capital ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2007/01/31 Corporation InvFund

ACGT DNA Technologies Corporation ARQ GRAPHITE INC. BC Non------InvFund

Ackroo Inc. ON Non------InvFund

ACME Metals Incorporated ON Non- -- -- Yes/Oui 2001/07/26 InvFund

Acorn Energy, Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Acreage Holdings, Inc. Applied Inventions ON Non------Management Corp.; Applied InvFund Inventions Management Inc.

Action Energy Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2012/10/04 InvFund

ACTIVE Resources Income Fund ACTIVEnergy Income Fund AB InvFund ------

AcuityAds Holdings Inc. Wildlaw Capital CPC 2 Inc. ON Non------InvFund

Acuma International Inc. -- Non- -- -- Yes/Oui 1996/06/18 InvFund

Adaltis Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/08/26 InvFund

Adastra Labs Holdings Ltd. BC Non------InvFund

ADCORE Inc. County Capital One Ltd. ON Non------InvFund

Adex Mining Inc. Adex Mining Corp. ON Non------InvFund

ADF Group Inc. QC Non------InvFund

ADI Technologies Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/06/04 InvFund

Admax American Performance Fund ON InvFund Yes/Oui 1a, 1d -- --

Admiral Inc. ON Non- Yes/Oui 1d Yes/Oui 2002/02/22 InvFund

Advanced Education Savings Plan ON InvFund ------

Advanced Explorations Inc. CRMnet.com Inc.; Donrand ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/05/08 Mines Limited InvFund

Advanced Micro Devices, Inc. ON Non------InvFund

Advanced New Frontier Oil & Gas Recovery BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/01/08 Inc. InvFund

Advanced Pultrusion Technologies Inc. -- Non- -- -- Yes/Oui 1996/09/18 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) Advantage Oil & Gas Ltd. AB Non------InvFund

Advantagewon Oil Corp. ON Non------InvFund

AdvantEdge International Inc. Ivy Capital Corporation ON Non- -- -- Yes/Oui 2001/02/16 InvFund

Advantex Marketing International Inc. ON Non- -- -- Yes/Oui 2019/11/01 InvFund

AdvanteXCEL.com Communications Corp. AdvanteXcel.com ON Non- Yes/Oui 1a, 1d Yes/Oui 2001/11/23 Communications Corp; InvFund Advantexcel.com Communications Corp.; San Paulo Explorations Inc.; San Paluo Explorations Inc.

ADVANZ PHARMA Corp. Limited ADVANZ PHARMA CORP.; ON Non------Concordia International InvFund Corp.; Concordia Healthcare Corp.; Mercari Acquisition Corp.

Adventure Electronics Inc. QC Non- -- -- Yes/Oui 1999/03/08 InvFund

Adventus Mining Corporation Adventus Zinc Corporation ON Non------InvFund

Advest Capital Inc. -- Non- -- -- Yes/Oui 1989/07/13 InvFund

Advocat Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

Advocate Mines Limited -- Non- -- -- Yes/Oui 1982/06/29 InvFund

ADYA INC. Telehop Communications ON Non------Inc. InvFund

Adyton Resources Corporation XIB I Capital Corp. BC Non------InvFund

Aecon Group Inc. Armbro Enterprises Inc. ON Non------InvFund

Aegis Brands Inc. The Second Cup Ltd. ON Non- Yes/Oui 3 -- -- InvFund

Aequus Pharmaceuticals Inc. BC Non------InvFund

Aerocast Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2012/08/17 InvFund

AEterna Zentaris Inc. Aeterna Laboratories Inc. ON Non------InvFund

Aether Catalyst Solutions, Inc. BC Non------InvFund

AEX Gold Inc. Alopex Gold Inc. ON Non------InvFund

AF2 Capital Corp. ON Non------InvFund

Affinor Growers Inc. Affinor Resources Inc. BC Non------InvFund

AFG Flameguard Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/13 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) Afitex Financial Services Inc. Knomex Resources Inc.; ON Non- -- -- Yes/Oui 1999/09/08 Monk Gold & Resources InvFund Limited

AFM Hospitality Corporation ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/04/08 InvFund 1e, 3

Africa Energy Corp. Horn Petroleum BC Non------Corporation; Denovo InvFund Capital Corp.

Africa Oil Corp. BC Non------InvFund

African Copper PLC ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/07/03 InvFund

African Gold Group, Inc. ON Non------InvFund

African Selection Mining Corporation Consolidated West Hill ON Non- -- -- Yes/Oui 2002/05/24 Energy Inc.; West Hill InvFund Energy Inc.

Ag Growth International Inc. MB Non------InvFund

Agassiz Resources Ltd. -- Non- -- -- Yes/Oui 1991/07/11 InvFund

Agate Venture (Northern and Eastern) Inc. -- Non- -- -- Yes/Oui 1990/07/20 InvFund

Agency -- Non- -- -- Yes/Oui 1986/07/04 InvFund

AGF American Growth Class ON InvFund ------

AGF American Growth Fund AGF Special U.S. Fund ON InvFund ------

AGF Canadian Growth Equity Class AGF Canadian Growth ON InvFund ------Equity Fund Limited; AGF Growth Equity Fund Limited

AGF Canadian Large Cap Dividend Class ON InvFund ------

AGF Canadian Large Cap Dividend Fund AGF Canadian Dividend ON InvFund ------Fund; AGF Dividend Fund; 20/20 Dividend Fund

AGF Canadian Money Market Fund AGF Money Market Account ON InvFund ------

AGF Canadian Small Cap Fund Global Strategy Canadian ON InvFund ------Small Cap Fund

AGF China Focus Class ON InvFund ------

AGF Diversified Income Class ON InvFund ------

AGF Diversified Income Fund Acuity Diversified Income ON InvFund ------Fund; Acuity Global Dividend Class; Acuity Diversified Income Fund; Acuity Income Trust Fund

AGF Elements Balanced Portfolio ON InvFund ------

AGF Elements Balanced Portfolio Class ON InvFund ------

AGF Elements Conservative Portfolio ON InvFund ------

AGF Elements Conservative Portfolio Class ON InvFund ------

AGF Elements Global Portfolio ON InvFund ------

AGF Elements Global Portfolio Class ON InvFund ------

AGF Elements Growth Portfolio ON 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)

AGF Elements Growth Portfolio Class ON InvFund ------

AGF Elements Yield Portfolio ON InvFund ------

AGF Elements Yield Portfolio Class ON InvFund ------

AGF Emerging Markets Bond Fund ON InvFund ------

AGF Emerging Markets Class ON InvFund ------

AGF Emerging Markets Fund AGF Emerging Markets ON InvFund ------Value Fund; AGF 20/20 Emerging Markets Value Fund; 20/20 Emerging Markets Value Fund; 20/20 Multimanager Emerging Markets Fund

AGF Equity Income Fund AGF Equity Income Focus ON InvFund ------Fund

AGF European Equity Class ON InvFund ------

AGF European Equity Fund ON InvFund ------

AGF Fixed Income Plus Class ON InvFund ------

AGF Fixed Income Plus Fund Acuity Fixed Income Fund; ON InvFund ------Acuity Bond Fund

AGF Floating Rate Income Fund ON InvFund ------

AGF Global Convertible Bond Fund ON InvFund ------

AGF Global Dividend Class ON InvFund ------

AGF Global Dividend Fund ON InvFund ------

AGF Global Equity Class ON InvFund ------

AGF Global Equity Fund AGF World Companies ON InvFund ------Fund; Global Strategy World Companies Fund; Global Strategy World Emerging Companies Fund

AGF Global Growth Balanced Fund AGF Global Growth ON InvFund ------Balanced Fund; AGF Global Strategic Balanced Fund; AGF Glboal Balanced Fund; AGF World Balanced Fund; 20/20 World Fund

AGF Global Opportunities Bond ETF ON InvFund ------

AGF Global Real Assets Class AGF Global Resources ON InvFund ------Class

AGF Global Real Assets Fund AGF Precious Metals Fund; ON InvFund ------Global Strategy Gold Plus Fund; Global Strategy Diversified Gold Plus Fund

AGF Global Select Fund AGF Aggressive Global ON InvFund ------Stock Fund; AGF 20/20 Aggressive Global Stock Fund; 20/20 Aggressive Global Stock Fund; 20/20 Aggressive Global Fund

AGF Global Sustainable Growth Equity ETF ON InvFund ------

AGF Global Sustainable Growth Equity Fund AGF Clean Environment ON InvFund ------Equity Fund; Acuity Clean Environment Equity Fund; Clean Environment Equity Fund 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)

AGF High Yield Bond Fund AGF Canadian High Yield ON InvFund ------Bond Fund; AGF Canadian Total Return Bond Fund; Global Strategy Bond Fund

AGF Management Limited ON Non------InvFund

AGF Short-Term Income Class ON InvFund ------

AGF Strategic Income Fund AGF Canadian Asset ON InvFund ------Allocation Fund; AGF Canadian Balanced Fund; AGF Canadian Growth & Income Fund; AGF Growth & Income Fund

AGF Tactical Fund ON InvFund ------

AGF Total Return Bond Class ON InvFund ------

AGF Total Return Bond Fund AGF Global High Yield Bond ON InvFund ------Fund; AGF Global Total Return Bond Fund; AGF U.S. Short-Term High Yield Fund; 20/20 U.S. Short-Term High Yield Fund

AGF U.S. Small-Mid Cap Fund AGF Aggressive U.S. ON InvFund ------Growth Fund; AGF Aggressive Growth Fund; AGF 20/20 Aggressive Growth Fund; 20/20 Aggressive Growth Fund

AGFiQ Canadian Equity ETF AGFiQ Enhanced Core ON InvFund ------Canadian Equity ETF; QuantShares Enhanced Core Canadian Equity ETF

AGFiQ Dividend Income Fund AGF Dividend Income Fund; ON InvFund ------ING Canadian Dividend Income Fund

AGFiQ Emerging Markets Equity ETF AGFiQ Enhanced Core ON InvFund ------Emerging Markets Equity ETF; QuantShares Enhanced Core Emerging Markets Equity ETF

AGFiQ Global Balanced ETF Portfolio AGFiQ Global Balanced ON InvFund ------ETF; AGFiQ MultiAsset Allocation ETF; QuantShares MultiAsset Allocation ETF

AGFiQ Global Balanced ETF Portfolio Fund ON InvFund ------

AGFiQ Global ESG Factors ETF AGFiQ Enhanced Global ON InvFund ------ESG Factors ETF

AGFiQ Global Income ETF Portfolio AGFiQ MultiAsset Income ON InvFund ------Allocation ETF; QuantShares MultiAsset Income Allocation ETF

AGFiQ Global Income ETF Portfolio Fund ON InvFund ------

AGFiQ Global Infrastructure ETF AGFiQ Enhanced Global ON InvFund ------Infrastructure ETF

AGFiQ Global Multi-Sector Bond ETF AGFiQ Enhanced Core ON InvFund ------Global Multi-Sector Bond ETF 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) AGFiQ International Equity ETF AGFiQ Enhanced Core ON InvFund ------International Equity ETF; QuantShares Enhanced Core International Equity ETF

AGFiQ US Equity ETF AGFiQ Enhanced Core US ON InvFund ------Equity ETF; QuantShares Enhanced Core US Equity ETF

AGFiQ US Market Neutral Anti-Beta ON InvFund ------CAD-Hedged ETF

AGFiQ U.S. Sector Class AGF U.S. Sector Class; AGF ON InvFund ------U.S. AlphaSector Class

Agility Health, Inc. Thornapple Capital, Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

AgJunction Inc. Hemisphere GPS Inc.; CSI AB Non- Yes/Oui 3 -- -- Wireless Inc.; InvFund Communication Systems International Inc.

Agnico Eagle Mines Limited Agnico-Eagle Mines Limited ON Non------InvFund

Agora Government Securities Fund ON InvFund -- -- Yes/Oui 1989/10/31

Agora U.S. Growth Stock Fund ON InvFund -- -- Yes/Oui 1989/10/31

Agora U.S. Increasing Dividend Fund ON InvFund -- -- Yes/Oui 1989/10/31

Agraflora Organics International Inc. PUF Ventures Inc.; BC Non------CHLORMET InvFund TECNHOLOGIES INC.; Newton Gold Corp.; New High Ridge Resources Inc.; High Ridge Resources Inc.

AgriMinco Corp. Ethiopian Potash Corp.; ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2016/02/03 Panorama Resources Ltd. InvFund

Agrios Global Holdings Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/10/20 InvFund

Aguia Resources Limited ON Non------InvFund

AH Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/09/04 InvFund

AIC Mines Limited Intrepid Mines Limited ON Non------InvFund

AIM5 Ventures Inc. ON Non------InvFund

AIM6 Ventures Inc. ON Non------InvFund

AimGlobal Technologies Company Inc. Aim Safety Company Inc. BC Non- Yes/Oui 1b Yes/Oui 2002/12/20 InvFund

Aimia Inc. Groupe Aeroplan Inc. QC Non------InvFund

AION THERAPEUTIC INC. Osoyoos Cannabis Inc.; BC Non- Yes/Oui 3 -- -- LKP Solutions Inc.; AD InvFund Neuropharma Inc.; Red Ore Gold Inc.

Air Canada QC Non------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) Air Niagara Express Inc. -- Non- -- -- Yes/Oui 1999/12/10 InvFund

AirBoss of America Corp. ON Non------InvFund

Airgen Corporation -- Non- -- -- Yes/Oui 1998/09/15 InvFund

AirIQ Inc. eDispatch.com Wireless ON Non------Data Inc. InvFund

Airline Training International Ltd. -- Non- Yes/Oui 1a, 3 Yes/Oui 2003/11/20 InvFund

AI/ML Innovations Inc. BC Non------InvFund

AJ Perron Gold Corp. -- Non- -- -- Yes/Oui 1996/12/20 InvFund

AJN Resources Inc. BC Non------InvFund

Akela Pharma Inc. LAB International Inc.; T & H BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2012/11/26 Resources Ltd. InvFund

Akita Drilling Ltd. AB Non------InvFund

Akrokeri-Ashanti Gold Mines Inc. ON Non- Yes/Oui 1a, 3 Yes/Oui 2004/05/27 InvFund

Akumin Inc. ON Non------InvFund

Aladin International Inc. -- Non- -- -- Yes/Oui 1990/05/31 InvFund

Alamos Gold Inc. ON Non------InvFund

Alaris Equity Partners Income Trust AB Non------InvFund

Alaris Equity Partners Inc. Alaris Royalty Corp.; AB Non------6550568 Canada Inc. InvFund

Alaska Hydro Corporation Project Finance Corp. BC Non------InvFund

Alcanna Inc. Liquor Stores N.A. Ltd. AB Non------InvFund

Alchemist Mining Incorporated BC Non------InvFund

Alderon Iron Ore Corp. BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2020/05/20 InvFund

Aleafia Health Inc. ON Non------InvFund

Alert Care 87-1 Limited Partnership -- Non- -- -- Yes/Oui 1993/06/06 InvFund

Alexco Resource Corp. BC Non------InvFund

Algae Biosciences Corporation Triwood Capital Corp AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/02/07 InvFund

Algernon Pharmaceuticals Inc. Breathtec BioMedical, Inc. BC Non------InvFund

Algo Group Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/04/03 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)

Algold Resources Ltd. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/22 InvFund

Algoma Central Corporation ON Non------InvFund

Algoma Finance Corp. ON Non------InvFund

Algonquin Fixed Income 2.0 Fund ON InvFund ------

Algonquin Power & Utilities Corp. Hydrogenics Corporation ON Non------InvFund

Alianza Minerals Ltd. Tarsis Resources Ltd.; BC Non------Tarsis Capital Corp. InvFund

Alimentation Couche-Tard Inc. QC Non------InvFund

Alithya Group inc. QC Non------InvFund

All-Canadian Compound Fund ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

All-Canadian ConsumerFund ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

All-Canadian Resources Corporation ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

All Equity Fund Global Growth 100 Fund; ON InvFund ------Global Equity Fund

All in West! Capital Corporation MB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/11 InvFund

Allbanc Split Corp. II ON InvFund ------

Allegiant Gold Ltd. BC Non------InvFund

Alliance Growers Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/01/07 InvFund

Alliance Mining Corp. BC Non------InvFund

Alliance Pipeline Limited Partnership AB Non------InvFund

Alliance Resources plc ON Non- Yes/Oui 1a, 1b, 3 -- -- InvFund

Allican Resources Inc. Procoloro Resources Inc. QC Non- Yes/Oui 1a, 3 Yes/Oui 2004/06/01 InvFund

Allied Canadian Limited Partnership (91-1) -- Non- -- -- Yes/Oui 1997/10/02 InvFund

Allied Properties Real Estate Investment ON Non------Trust InvFund

Allnet Secom Inc. Brears Trucking Ltd. ON Non- -- -- Yes/Oui 2003/02/19 InvFund

Allont Limited -- Non- -- -- Yes/Oui 1983/05/31 InvFund

Alma Gold Inc. BC Non------InvFund

Almaden Minerals Ltd. Fairfield Minerals Ltd. BC Non------InvFund

Almadex Minerals Ltd. BC Non------InvFund

Almonty Industries Inc. ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 -- -- 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)

Aloro Mining Corp. Wolverine Minerals Corp. BC Non------InvFund

Alpha Group Industries Inc. Skygame Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/05/06 InvFund

Alpha Lithium Corporation BC Non------InvFund

AlphaDelta Canadian Growth of Dividend BC InvFund ------Income Class

AlphaDelta Canadian Momentum Equity AlphaDelta Canadian BC InvFund ------Class Focused Equity Class; AlphaDelta Canadian Prosperity Class

AlphaDelta Growth of Dividend Income BC InvFund ------Class

AlphaDelta Tactical Growth Class AlphaDelta Global Value BC InvFund ------Class

Alphanco Venture Corp. BC Non------InvFund

AlphaNet Telecom Inc. Alphanet Telecom Inc. -- Non- -- -- Yes/Oui 1999/06/25 InvFund

Alset Capital Inc. ProSmart Enterprises Inc.; BC Non------Sora Capital Corp.; Jager InvFund Resources Inc.; Black Smoker Ventures Inc.; Worldwide Promotional Management Inc.

ALSTOM QC Non------InvFund

AltaGas Ltd. AltaGas Services Inc. AB Non------InvFund

Altai Resources Inc. ON Non------InvFund

Altair Resources Inc. Altair Gold Inc.; Altair BC Non------Ventures Incorporated InvFund

Altalink, L.P. AB Non------InvFund

Altaur Gold Explorations Inc. Lucas Gold Resources -- Non- -- -- Yes/Oui 2001/02/06 Corp. InvFund

Alternate Health Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/22 InvFund

Alterra Resources Inc. Medyx Inc. -- Non- Yes/Oui 1a Yes/Oui 1999/10/01 InvFund

Alterrus Systems Inc. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/03/13 InvFund

Altina Capital Corp. BC Non------InvFund

Altiplano Metals Inc. Altiplano Minerals Ltd. AB Non------InvFund

Altius Minerals Corporation ON Non------InvFund

Altius Renewable Royalties Corp. ON Non------InvFund

Altruista Fund Inc. ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- -- 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)

Altura Energy Inc. Northern Spirit Resources AB Non------Inc. InvFund

Alturas Minerals Corp. ON Non------InvFund

Altus Group Limited ON Non------InvFund

Altus Strategies Plc BC Non------InvFund

Aludra Inc. -- Non- Yes/Oui 1a, 1d, 3 Yes/Oui 2003/03/03 InvFund

Alvopetro Energy Ltd. AB Non------InvFund

Amarillo Gold Corporation ON Non------InvFund

Ambrilia Biopharma Inc. Procyon BioPharma Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2011/07/06 InvFund 1e, 3

Amcan Industries Corporation -- Non- -- -- Yes/Oui 1982/04/22 InvFund

Amercoeur Energy (Canada) Limited -- Non- -- -- Yes/Oui 1988/06/22 InvFund

American Aires Inc. ON Non------InvFund

American Creek Resources Ltd. AB Non------InvFund

American Eco Corporation -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2004/02/12 InvFund

American Ethanol (International) -- Non- -- -- Yes/Oui 1997/10/09 Corporation InvFund

American Express Company ON Non------InvFund

American Health Services Corp. -- Non- -- -- Yes/Oui 1997/10/09 InvFund

American Hotel Income Properties REIT LP BC Non------InvFund

American Manganese Inc. BC Non------InvFund

American Natural Energy Corporation BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/22 InvFund

American Pacific Minerals Ltd. -- Non- -- -- Yes/Oui 1997/10/02 InvFund

American Pacific Mining Corp. BC Non------InvFund

American Quasar Petroleum Co. -- Non- -- -- Yes/Oui 1985/09/06 InvFund

American Sensors Inc. -- Non- -- -- Yes/Oui 1998/01/15 InvFund

American Transportation Television -- Non- -- -- Yes/Oui 1994/01/24 Network, Inc. InvFund

Americas Gold and Silver Corporation Americas Silver ON Non------Corporation; Scorpio Mining InvFund Corporation 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) Amerigo Resources Ltd. BC Non------InvFund

AMG Bioenergy Resources Holdings Ltd. Blandings Capital Limited AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/10/07 InvFund

Amilot Capital Inc. Tolima Gold Inc.; FMX ON Non------Ventures Inc.; Footmaxx InvFund Holdings Inc.

AML International Limited -- Non- -- -- Yes/Oui 1990/01/12 InvFund

Amnicon Corporation -- Non- -- -- Yes/Oui 1989/09/08 InvFund

AMP Alternative Medical Products Inc. AMP German Cannabis BC Non------Group Inc.; Chinook Tyee InvFund Industry Limited; Global Railway Industries Ltd.; RMN Technologies Inc.

Ampal-American Israel Corporation ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 -- -- InvFund

AMPD Ventures Inc. BC Non------InvFund

Amstock Fund BC InvFund -- -- Yes/Oui 1986/09/11

AMT International Mining Corporation -- Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2002/05/24 InvFund

AMV Capital Corporation BC Non------InvFund

Anaconda Mining Inc. Anaconda Gold Corp. ON Non------InvFund

ANB Canada Inc. Griffin Skye Corporation; ON Non------NorRock Realty Finance InvFund Corporation; C.A. Bancorp Canadian Realty Finance Corporation

ANC Capital Ventures Inc. BC Non------InvFund

Andean Precious Metals Corp. Buckhaven Capital Corp. BC Non------InvFund

AndeanGold Ltd. EcuaGold Resources Ltd. BC Non- -- -- Yes/Oui 2015/10/05 InvFund

Andlauer Healthcare Group Inc. ON Non------InvFund

Andrew Peller Limited Andrés Wines Ltd. ON Non------InvFund

Anglo Canadian Mining Corporation -- Non- -- -- Yes/Oui 1992/01/16 InvFund

Anglo Pacific Group PLC ON Non------InvFund

Angold Resources Ltd. ZTR Acquisition Corp.; BC Non------Oyster Oil and Gas Ltd.; InvFund Clemson Resources Corp.; MetroBridge Networks International Inc.; Huntingdon Capital Inc.

Angus Gold Inc. Angus Ventures Inc. ON Non------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) Angus Mining Inc. Angus Mining (Namibia) ON Non------Inc.; Golconda Capital Corp. InvFund

ANI Pharmaceuticals, Inc. BioSante Pharmaceuticals, ON Non------Inc.; Ben-Abraham InvFund Technologies Inc.; Structured Biologicals Inc.

Anjamin Mines Limited -- Non- -- -- Yes/Oui 1975/01/27 InvFund

Annidis Corporation Aumento Capital ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/04 Corporation InvFund

Ansar Financial and Development ON Non------Corporation InvFund

Antalis Ventures Corp. BC Non------InvFund

Antares Small Business Development -- Non- -- -- Yes/Oui 1981/05/06 Limited InvFund

Antelope Resources Inc. -- Non- -- -- Yes/Oui 1991/01/31 InvFund

Anterra Energy Inc. AB Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2017/06/05 InvFund

Antibe Therapeutics Inc. ON Non------InvFund

Antioquia Gold Inc. High American Gold Inc.; ON Non------Intex Mining Company InvFund Limited

Antler Gold Inc. Northwest Arm Capital Inc. NS Non------InvFund

Anvil Range Mining Corporation -- Non- -- -- Yes/Oui 1998/05/25 InvFund

Anyox Metals Limited -- Non- -- -- Yes/Oui 1992/06/17 InvFund

Aon plc AON Corporation ON Non------InvFund

Aphelion Capital Corp. BC Non------InvFund

Aphria Inc. Black Sparrow Capital ON Non------Corp. InvFund

Apiva Ventures Limited Apiva.com Web -- Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/06/23 Corporation; International InvFund Capri Resources Ltd.

Apollo Healthcare Corp. Acasta Enterprises Inc. ON Non------InvFund

Apolo III Acquisition Corp. ON Non------InvFund

Apolo IV Acquisition Corp. ON Non------InvFund

Appia Energy Corp. ON Non------InvFund

Appili Therapeutics Inc. NS Non------InvFund

Applause Corporation Home Ticket Network -- Non- Yes/Oui 1b Yes/Oui 2002/03/08 Corporation; Lex InvFund Corporation 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) Appreciated Media Holdings Inc. The Wonderfilm Media BC Non- -- -- Yes/Oui 2020/11/04 Corporation; Westshire InvFund Capital II Corp.

Aptose Biosciences Inc. Lorus Therapeutics Inc. ON Non------InvFund

Aqua-Pure Ventures Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/13 InvFund

Aquarius Surgical Technologies Inc. Aquarius Coatings Inc. ON Non------InvFund

Aquila Resources Inc. JML Resources Ltd. ON Non------InvFund

Aquitaine Shores Apartment Project - Phase -- Non- -- -- Yes/Oui 1993/10/13 I InvFund

Aquitane Shores Apartment Project - Phase -- Non- -- -- Yes/Oui 1994/03/02 II InvFund

Aranjin Resources Ltd. Five Star Diamonds ON Non------Limited; TURQUOISE InvFund CAPITAL CORP

Arbor Metals Corp. Vela Minerals Ltd. BC Non------InvFund

Arborscience Inc. Phenex Refrigeration Inc. ON Non- -- -- Yes/Oui 2001/07/30 InvFund

Arbour Energy Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/05/10 InvFund

Arbutus Biopharma Corporation Tekmira Pharmaceuticals BC Non------Corporation InvFund

ARC International Corporation -- Non- -- -- Yes/Oui 2000/12/12 InvFund

ARC Resources Ltd. AB Non------InvFund

Arcamatrix Corporation Pinewest Resources Inc. ON Non- Yes/Oui 1a, 3 Yes/Oui 2004/05/28 InvFund

Arch Biopartners Inc. Foccini International Inc.; ON Non------WebEngine Corporation; InvFund Noble House Communications Inc.; Delicorp Foodservice Inc.

Archer Exploration Corp. BC Non------InvFund

ArcPacific Resources Corp. Plate Resources Inc. BC Non------InvFund

Arctic Glacier Income Fund MB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Arctic Star Exploration Corp. Arctic Star Diamond Corp. BC Non------InvFund

Arcus Development Group Inc. BC Non------InvFund

ArcWest Exploration Inc. Sojourn Exploration Inc.; BC Non------Sojourn Ventures Inc. InvFund

Arehada Mining Limited Dragon Capital Corporation ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2011/04/06 InvFund

Ares Strategic Mining Inc. Lithium Energy Products BC Non------Inc.; Northern Iron Corp. 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) AREV NanoTec Brands Inc. AREV Brands International BC Non- Yes/Oui 3 -- -- Ltd.; AREV Nutrition InvFund Sciences Inc.; Immunall Science Inc.

Argent Energy Trust AB Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2016/04/19 InvFund

Argentum Silver Corp. Silex Ventures Ltd. ON Non------InvFund

Argex Titanium Inc. Argex Mining Inc.; Argex QC Non- Yes/Oui 1b, 1c, 1e, 3 -- -- Silver Capital Inc. InvFund

Argo Gold Inc. Arbitrage Exploration Inc.; ON Non------Blue Vista Technologies InvFund Inc.; Plasma Environmental Technologies Inc.; Midrim Mining Company Limited

Argonaut Exploration Inc. CNR Capital Corporation AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/11/05 InvFund

Argonaut Gold Inc. Argonaut Gold Ltd.; Intuitivo ON Non------Capital Corporation InvFund

Argosy Energy Inc. AB Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2013/04/10 InvFund

Argosy Minerals Limited Argosy Minerals Inc.; BC Non- Yes/Oui 1a, 3 Yes/Oui 2012/05/04 Calliope Metals Corporation InvFund

Argus Corporation Limited ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2008/07/23 InvFund 1e, 3

ARHT Media Inc. Vast Exploration Inc. ON Non------InvFund

Ariel Resources Ltd. -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/04/14 InvFund

Arimetco International Inc. -- Non- -- -- Yes/Oui 1997/05/29 InvFund

Aris Canada Ltd. Gimbel Vision International -- Non- Yes/Oui 1a, 1d Yes/Oui 2003/10/15 Inc. InvFund

Aris Gold Corporation Caldas Gold Corp. BC Non------InvFund

ARISE Technologies Corporation ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/11/23 InvFund

Aristotle - IG U.S. Small Cap Equity Pool MB InvFund ------

Aritzia Inc. BC Non------InvFund

Arius3D Corp. Rebecca Capital Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2012/08/09 InvFund

Arizona Gold Corp. Kerr Mines Inc.; Armistice ON Non------Resources Corp.; Armistice InvFund Resources Ltd.

Arizona Metals Corp. Ring the Bell Capital Corp. ON Non------InvFund

Arizona Silver Exploration Inc. Damon Capital Corp. BC Non------InvFund

Arlington Resources Inc. ON Non- Yes/Oui 1a, 3 Yes/Oui 2003/11/20 InvFund

Armac Capital Corp. 1370727 Ontario Inc. -- Non- Yes/Oui 1b Yes/Oui 2002/02/21 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) Armada Data Corporation CCC Internet Solutions Inc. ON Non------InvFund

Armada Gold Corporation -- Non- -- -- Yes/Oui 1999/06/30 InvFund

Armada Mercantile Ltd. BC Non------InvFund

Armadillo Resources Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/11/07 InvFund

Armor Minerals Inc. Rio Cristal Resources BC Non------Corporation; Rio Cristal InvFund Zinc Corporation

Armstrong Corporation Root Industries Inc. ON Non- Yes/Oui 1a, 1b Yes/Oui 2003/06/02 InvFund

Arrow Canadian Advantage Alternative Exemplar Canadian Focus ON InvFund ------Class Portfolio

Arrow EC Income Advantage Alternative ON InvFund ------Fund

Arrow Exploration Corp. Front Range Resources AB Non------Ltd.; Stonehaven InvFund Exploration Ltd.; Donnybrook Energy Inc.

Arrow Global Advantage Alternative Class ON InvFund ------

Art Vault International Limited, The Three Bear Ventures Ltd. ON Non- -- -- Yes/Oui 2001/03/22 InvFund

Artemis Gold Inc. BC Non------InvFund

Artis Real Estate Investment Trust Westfield Real Estate MB Non------Investment Trust InvFund

Arura Pharma Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/06/20 InvFund

Asante Gold Corporation BC Non------InvFund

Asbestos Corporation Limited QC Non------InvFund

Ascalade Communications Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/08/30 InvFund 1e, 3

Ascendant Resources Inc. ON Non------InvFund

Ascot Resources Ltd. BC Non------InvFund

Ashurst Technology Ltd. Emtech Ltd. -- Non- -- -- Yes/Oui 1998/06/23 InvFund

Asia Bio-Chem Group Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/05/05 InvFund

Asia Green Biotechnology Corp. Asia Cannabis Corp. AB Non------InvFund

Asia Media Group Corporation ON Non- Yes/Oui 1a Yes/Oui 2002/11/25 InvFund

Asia Now Resources Corp. Phoenician Holdings Corp. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2015/09/11 InvFund

Asian Television Network International ON Non------Limited 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) Aspen Group Resources Corporation Cotton Valley Resources AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/05/10 Corporation; Arjon InvFund Enterprises Inc.; Arjon Gold Mines Limited

Aspen Manufacturing Industries Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 1991/06/11 InvFund

Assaly Capital Corporation -- Non- -- -- Yes/Oui 1994/03/02 InvFund

Asset Management Software Systems Corp. Moss Resources Inc. ON Non- Yes/Oui 1a, 1b, 3 Yes/Oui 2002/09/18 InvFund

Astaware Technologies Inc. Innotech Multimedia -- Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2004/06/25 Corporation InvFund 1e, 3

Aston Bay Holdings Ltd. Escudo Capital Corporation ON Non------InvFund

Atalaya Mining plc EMED Mining Public ON Non------Limited InvFund

ATC Technologies Corporation -- Non- Yes/Oui 1a, 1b Yes/Oui 2001/11/30 InvFund

ATCO Ltd. AB Non------InvFund

Athabasca Minerals Inc. AB Non------InvFund

Athabasca Oil Corporation Athabasca Oil Sands Corp. AB Non------InvFund

Athabaska Gold Resources Ltd. BC Non- -- -- Yes/Oui 2001/05/09 InvFund

Atico Mining Corporation BC Non------InvFund

Atikwa Resources Inc. Atikwa Minerals Corporation AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/08/25 InvFund

Atlanta Gold Inc. Twin Mining Corporation; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 Twin Gold Corporation; InvFund Atlanta Gold Corporation

Atlantic Industrial Minerals Incorporated NS Non------InvFund

Atlantic Power Corporation ON Non------InvFund

Atlantic Power Limited Partnership Capital Power Income L.P.; ON Non------EPCOR Power L.P.; InvFund TransCanada Power, L.P.

Atlantic Power Preferred Equity Ltd. CPI Preferred Equity Ltd.; ON Non------EPCOR Power Equity Ltd. InvFund

Atlantic Systems Group Inc. ON Non- Yes/Oui 1b Yes/Oui 2002/10/28 InvFund

Atlantis Submarines (International BC Non------Holdings), Inc. InvFund

Atna Resources Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2017/05/18 InvFund

Aton Resources Inc. Alexander Nubia BC Non------International Inc.; Chrysalis InvFund Capital VII Corporation

Atrium Mortgage Investment Corporation ON Non------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) ATS Automation Tooling Systems Inc. ON Non------InvFund

Au Gold Corp. Schooner Capital Corp. BC Non------InvFund

Augdome Corporation Limited -- Non- -- -- Yes/Oui 1992/05/21 InvFund

Augusta Gold Corp. Bullfrog Gold Corp. BC Non------InvFund

Aumento Capital VIII Corp. ON Non------InvFund

Aupan Red Lake Resources Ltd. -- Non- -- -- Yes/Oui 1995/06/27 InvFund

Aura Minerals Inc. Aura Minerals Inc.; Aura ON Non------Gold Inc.; Canadian InvFund Baldwin Resources Limited; Canadian Baldwin Holdings Limited

Aurado Energy Inc. Aurado Exploration Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2007/05/03 InvFund

Aurania Resources Ltd. ON Non------InvFund

Aurcana Silver Corporation Aurcana Corporation BC Non------InvFund

AurCrest Gold Inc. Tribute Minerals Inc.; ON Non------Goldhunter Explorations InvFund Inc.

Aurelian Developers Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2002/11/25 InvFund

Aurelius Minerals Inc. (formerly Galena Galena International BC Non------International Resources Ltd.) Resources Ltd. InvFund

Aurinia Pharmaceuticals Inc. Isotechnika Pharma Inc. BC Non------InvFund

Aurion Resources Ltd. BC Non------InvFund

Aurora Cannabis Inc. Prescient Mining Corp.; Milk AB Non------Capital Corp. InvFund

Aurora Corporation -- Non- -- -- Yes/Oui 1989/07/13 InvFund

Aurora Spine Corporation ON Non------InvFund

AURWEST RESOURCES CORPORATION Shamrock Enterprises Inc. BC Non------InvFund

Austin Resources Ltd. Azul Ventures Inc.; ON Non------Himalayan Capital Corp. InvFund

Auston Capital Corp. BC Non------InvFund

Austral Gold Limited ON Non------InvFund

Australian Goldfields Limited Graphite Energy Corp. BC Non------InvFund

Australian REIT Income Fund ON InvFund ------

Australis Capital Inc. BC Non------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)

Auto Group International Ltd. -- Non- -- -- Yes/Oui 1989/02/01 InvFund

AutoCanada Inc. AB Non------InvFund

Automotive Finco Corp. ON Non------InvFund

Automotive Properties Real Estate ON Non------Investment Trust InvFund

Auxico Resources Canada Inc. QC Non------InvFund

Auxly Cannabis Group Inc. Cannabis Wheaton Income ON Non------Corp.; Knightswood InvFund Financial Corp.

Avalon Advanced Materials Inc. Avalon Rare Metals Inc.; ON Non------Avalon Ventures Ltd InvFund

Avante Logixx Inc. Avante Security Corp.; ON Non------Matiadeka Ventures Inc. InvFund

Avanti Energy Inc. Overlord Capital Ltd. BC Non------InvFund

Avarone Metals Inc. BC Non------InvFund

Avcorp Industries Inc. BC Non------InvFund

Avenza Global Technologies Corp. Hardiman Bay Resources -- Non- -- -- Yes/Oui 2001/07/30 Inc. InvFund

Avicanna Inc. ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 -- -- InvFund

Avidian Gold Corp. ON Non------InvFund

Avino Silver & Gold Mines Ltd. BC Non------InvFund

Avivagen Inc. Chemaphor Inc.; Triumph ON Non------Acquisition Corporation Inc. InvFund

AVL Ventures Inc. AVL Information Systems ON Non- Yes/Oui 1a Yes/Oui 2004/05/25 Ltd.; AVL Information InvFund Systems Inc.

Avoca Mines Canada Ltd. -- Non- -- -- Yes/Oui 1977/10/21 InvFund

Avonhurst Capital Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/05/07 InvFund

Axiom All Equity Portfolio ON InvFund ------

Axiom Balanced Growth Portfolio ON InvFund ------

Axiom Balanced Income Portfolio ON InvFund ------

Axiom Canadian Growth Portfolio ON InvFund ------

Axiom Capital Advisors Inc. AB Non------InvFund

Axiom Diversified Monthly Income Portfolio ON InvFund ------

Axiom Foreign Growth Portfolio ON InvFund ------

Axiom Global Growth Portfolio ON InvFund ------

Axiom Long-Term Growth Portfolio ON 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)

Axios Mobile Assets Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

Axiotron Corp. Vendome Capital Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/06/11 InvFund

Axis Auto Finance Inc. Verdant Financial Partners I ON Non------Inc. InvFund

AXMIN Inc. Asquith Resources Inc. BC Non------InvFund

Axolotl Capital Corp. ON Non------InvFund

Axxent Inc. OCI Communications Inc. ON Non- Yes/Oui 1b Yes/Oui 2001/11/16 InvFund

AYA GOLD & SILVER INC. Maya Gold & Silver Inc. QC Non------InvFund

Ayr Wellness Inc. Ayr Strategies Inc.; ON Non------Cannabis Strategies InvFund Acquisition Corp.

Ayurcann Holdings Corp. Canada Coal Inc.; Mercury ON Non------Capital Limited InvFund

Azabache Energy Inc. Argenta Oil & Gas Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/11/09 InvFund

Azarga Metals Corp. European Uranium BC Non------Resources Ltd.; Tournigan InvFund Energy Ltd.; Tournigan Gold Corporation

Azarga Uranium Corp. Powertech Uranium Corp. BC Non------InvFund

AZCAR Technologies Incorporated ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/05/11 InvFund

Azema Sciences Inc. Go Green Capital Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/01/07 InvFund

AZL Resources, Inc. -- Non- -- -- Yes/Oui 1983/06/28 InvFund

Azoico Ltd ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/02/02 InvFund 1e, 3

Aztec Minerals Corp. BC Non------InvFund

Aztech Innovations Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/05/06 InvFund

Aztek Resource Development Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/11/03 InvFund

Azucar Minerals Ltd. Almadex Minerals Limited BC Non------InvFund

Azure Dynamics Corporation Wild Horse Resources Ltd. ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2012/04/13 InvFund

A&W Revenue Royalties Income Fund BC Non------InvFund B

B2Gold Corp. BC Non------InvFund

BAA PLC ON Non- Yes/Oui 1a, 1b, 3 -- -- 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)

BAC Canada Finance Company Merrill Lynch Canada ON Non------Finance Company InvFund

Backstageplay Inc. Oramericas Corp.; Parlay BC Non------Entertainment Inc. InvFund

BacTech Environmental Corporation ON Non------InvFund

Badger Daylighting Ltd. AB Non------InvFund

Balanced 60/40 Fund Core Balanced Fund ON InvFund ------

Balanced Growth Fund Growth Fund (formerly, ON InvFund ------Growth 70/30 Fund); Growth 70/30 Fund; Balanced Growth Fund

Balanced Income Portfolio ON InvFund ------

Balanced Monthly Income Fund ON InvFund ------

Bald Eagle Gold Corp. Wolf Acquisition Corp. ON Non------InvFund

Ballard Power Systems Inc. BC Non------InvFund

Balmoral Club Limited Partnership, The -- Non- -- -- Yes/Oui 1993/06/15 InvFund

Baltic I Acquisition Corp. BC Non------InvFund

Bam Bam Resources Corp. KOPR Point Ventures Inc.; BC Non------New Point Exploration Corp. InvFund

Bank of America Corporation ON Non------InvFund

Bank of Montreal ON Non------InvFund

Bank of Nova Scotia, The Bank of Nova Scotia ON Non------InvFund

Banyan Gold Corp. Banyan Coast Capital Corp. AB Non------InvFund

Barclays Bank Plc ON Non------InvFund

Bargnesi Mines Limited -- Non- -- -- Yes/Oui 1975/01/27 InvFund

Barker Minerals Ltd. BC Non- Yes/Oui 3 Yes/Oui 2019/04/05 InvFund

Barney's Food Enterprises Inc. ON Non- -- -- Yes/Oui 2000/06/01 InvFund

Barometer Disciplined Leadership ON InvFund ------Balanced Fund

Barometer Disciplined Leadership Equity ON InvFund ------Fund

Barometer Disciplined Leadership Tactical Barometer Disciplined ON InvFund ------Income Growth Fund Leadership High Income Fund; Barometer Income Advantage Fund

Barrantagh Small Cap Canadian Equity ON InvFund ------Fund 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) Barrick Gold Corporation ON Non------InvFund

Barrick Gold Finance Company ON Non------InvFund

Barrick Gold Finance Inc. ON Non------InvFund

Barrick North America Finance LLC ON Non------InvFund

Barron Hunter Hargrave Strategic -- Non- -- -- Yes/Oui 1990/07/31 Resources Inc. InvFund

Barsele Minerals Corp. BC Non------InvFund

Barton Bay Resources Inc. -- Non- -- -- Yes/Oui 2002/08/26 InvFund

Barymin Explorations Limited -- Non- -- -- Yes/Oui 1985/10/10 InvFund

Basic U.S. Reit, Inc. -- Non- -- -- Yes/Oui 1997/09/30 InvFund

Basin Jib Mines Ltd. -- Non- -- -- Yes/Oui 1974/12/23 InvFund

Bassett Media Group Corp. Media Ventures Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/06/15 InvFund

Bateman Bay Mining Company Inc. -- Non- -- -- Yes/Oui 1991/10/29 InvFund

Batero Gold Corp. BC Non------InvFund

Battery Road Capital Corp. NS Non------InvFund

Battery Technologies Inc. ON Non- Yes/Oui 1a, 1b, 3 Yes/Oui 2003/05/30 InvFund

Battle North Gold Corporation Rubicon Minerals ON Non------Corporation InvFund

Bausch Health Companies Inc. Valeant Pharmaceuticals QC Non------International, Inc.; Biovail InvFund Corporation; Biovail Corporation International

Bayard Resources Limited -- Non- -- -- Yes/Oui 1978/07/26 InvFund

Bayhorse Silver Inc. Kent Exploration Inc. BC Non------InvFund

Baylin Technologies Inc. ON Non------InvFund

Baymount Incorporated Academy Capital Corp. ON Non- Yes/Oui 3 -- -- InvFund

Baytex Energy Corp. AB Non------InvFund

BBTV Holdings Inc. BC Non------InvFund

BC Craft Supply Co. Ltd. Pasha Brands Ltd. BC Non------InvFund

BCE Inc. QC Non------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) BCE Place Finance Corporation -- Non- -- -- Yes/Oui 1994/06/15 InvFund

BCU Industries Inc. -- Non- -- -- Yes/Oui 1991/06/14 InvFund

BE Resources Inc. ON Non------InvFund

Beacon Acquisition Partners Inc. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2013/09/11 InvFund

Beamscope Canada Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2001/11/15 InvFund

Bear Creek Mining Corporation BC Non------InvFund

Bear Creek Resources Limited -- Non- -- -- Yes/Oui 1986/09/26 InvFund

Bearcat Explorations Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/04/06 InvFund 1e, 3

Beaver Resources Inc. -- Non- -- -- Yes/Oui 1991/07/16 InvFund

Beckett Technologies Corp. ON Non- -- -- Yes/Oui 1997/12/01 InvFund

Bee Vectoring Technologies International ON Non------Inc. InvFund

Bekeen Computer Corp -- Non- -- -- Yes/Oui 1991/06/11 InvFund

Beleave Inc. Stream Ventures Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/08/05 Alliance Financing Group InvFund Inc.; Golden Hill Mining Corp.; Genus Equity Corporation

Belgravia Hartford Capital Inc. Belgravia Capital BC Non------International Inc.; IC Potash InvFund Corp.; Trigon Uranium Corp.; Trigon Exploration Canada Ltd.

Bell Canada QC Non------InvFund

Bell Earth Sciences Inc. Bell Molybdenum Mines Inc. -- Non- -- -- Yes/Oui 1998/06/22 InvFund

Bellatrix Exploration Ltd. True Energy Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2020/07/22 InvFund

BellRock Brands Inc. Dixie Brands Inc.; Academy BC Non------Explorations Limited InvFund

Bells and Utilities -- Non- -- -- Yes/Oui 1992/04/07 InvFund

BELLUS Health Inc. QC Non------InvFund

Belo Sun Mining Corp. Verena Minerals ON Non------Corporation; Vega InvFund Explorations Limited

Belteco Holdings Inc. -- Non- -- -- Yes/Oui 1993/06/21 InvFund

Belvedere Heights Apartments Limited -- Non- -- -- Yes/Oui 1995/06/02 Partnership 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) Benchmark Botanics Inc. BC Non------InvFund

Bengal Energy Ltd. Avery Resources Inc.; AB Non------Canop Worldwide Corp. InvFund

Benton Resources Inc. ON Non------InvFund

Benz Energy Inc. Benz Energy Ltd. -- Non- -- -- Yes/Oui 2001/08/03 InvFund

Beretta Ventures Ltd. Folkstone Capital Corp. BC Non------InvFund

Berkley Renewables Inc. Berkley Resources Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

Bespoke Capital Acquisition Corp. ON Non------InvFund

Besra Gold Inc. Olympus Pacific Minerals ON Non------Inc.; Olympus Holdings Ltd. InvFund

Betacom Corporation Inc. Control Advancements Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/08/08 InvFund 1e, 3

BetaPro Bitcoin ETF ON InvFund ------

BetaPro Canadian Gold Miners -2x Daily Horizons BetaPro S&P/TSX ON InvFund ------Bear ETF Global Gold Bear Plus ETF

BetaPro Canadian Gold Miners 2x Daily Bull Horizons BetaPro S&P/TSX ON InvFund ------ETF Global Gold Bull Plus ETF

BetaPro Crude Oil Inverse Leveraged Daily BetaPro Crude Oil -1x Daily ON InvFund ------Bear ETF Bear ETF; BetaPro Crude Oil -2x Daily Bear ETF; Horizons BetaPro NYMEX® Crude Oil Bear Plus ETF

BetaPro Crude Oil Leveraged Daily Bull ETF BetaPro Crude Oil Daily Bull ON InvFund ------ETF; BetaPro Crude Oil 2x Daily Bull ETF; Horizons BetaPro NYMEX® Crude Oil Bull Plus ETF

BetaPro Gold Bullion -2x Daily Bear ETF Horizons BetaPro COMEX® ON InvFund ------Gold Bullion Bear Plus ETF

BetaPro Gold Bullion 2x Daily Bull ETF Horizons BetaPro COMEX® ON InvFund ------Gold Bullion Bull Plus ETF

BetaPro Inverse Bitcoin ETF ON InvFund ------

BetaPro Marijuana Companies 2x Daily Bull ON InvFund ------ETF

BetaPro Marijuana Companies Inverse ETF ON InvFund ------

BetaPro NASDAQ-100® -2x Daily Bear ETF Horizons BetaPro ON InvFund ------NASDAQ-100® Bear Plus ETF

BetaPro NASDAQ-100® 2x Daily Bull ETF Horizons BetaPro ON InvFund ------NASDAQ-100® Bull Plus ETF

BetaPro Natural Gas Inverse Leveraged BetaPro Natural Gas -2x ON InvFund ------Daily Bear ETF Daily Bear ETF; Horizons BetaPro NYMEX® Natural Gas Bear Plus ETF

BetaPro Natural Gas Leveraged Daily Bull BetaPro Natural Gas 2x ON InvFund ------ETF Daily Bull ETF; Horizons BetaPro NYMEX® Natural Gas Bull Plus ETF 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)

BetaPro Silver -2x Daily Bear ETF Horizons BetaPro COMEX® ON InvFund ------Silver Bear Plus ETF

BetaPro Silver 2x Daily Bull ETF Horizons BetaPro COMEX® ON InvFund ------Silver Bull Plus ETF

BetaPro S&P 500 VIX Short-Term Futures Horizons BetaPro S&P 500 ON InvFund ------ETF VIX Short-Term Futures ETF

BetaPro S&P 500® -2x Daily Bear ETF Horizons BetaPro S&P ON InvFund ------500® Bear Plus ETF

BetaPro S&P 500® 2x Daily Bull ETF Horizons BetaPro S&P ON InvFund ------500® Bull Plus ETF

BetaPro S&P 500® Daily Inverse ETF Horizons BetaPro S&P ON InvFund ------500® Inverse ETF

BetaPro S&P/TSX 60 -2x Daily Bear ETF Horizons BetaPro S&P/TSX ON InvFund ------60® Bear Plus ETF

BetaPro S&P/TSX 60 2x Daily Bull ETF Horizons BetaPro S&P/TSX ON InvFund ------60® Bull Plus ETF

BetaPro S&P/TSX 60 Daily Inverse ETF Horizons BetaPro S&P/TSX ON InvFund ------60 Inverse ETF

BetaPro S&P/TSX Capped Energy -2x Daily Horizons BetaPro S&P/TSX ON InvFund ------Bear ETF Capped Energy Bear Plus ETF

BetaPro S&P/TSX Capped Energy 2x Daily Horizons BetaPro S&P/TSX ON InvFund ------Bull ETF Capped Energy Bull Plus ETF

BetaPro S&P/TSX Capped Financials -2x Horizons BetaPro S&P/TSX ON InvFund ------Daily Bear ETF Capped Financials Bear Plus ETF

BetaPro S&P/TSX Capped Financials 2x Horizons BetaPro S&P/TSX ON InvFund ------Daily Bull ETF Capped Financials Bull Plus ETF

Better Plant Sciences Inc. The Yield Growth Corp. BC Non------InvFund

BetterLife Pharma Inc. Pivot Pharmaceuticals Inc. BC Non------InvFund

BetterU Education Corp. ON Non- -- -- Yes/Oui 2020/09/18 InvFund

Betts Cove Minerals Limited -- Non- -- -- Yes/Oui 1994/08/22 InvFund

Beutel Goodman American Equity Fund ON InvFund ------

Beutel Goodman Balanced Fund Beutel Goodman Balanced ON InvFund ------Fund

Beutel Goodman Canadian Dividend Fund ON InvFund ------

Beutel Goodman Canadian Equity Fund Beutel Goodman Canadian ON InvFund ------Equity Fund

Beutel Goodman Core Plus Bond Fund Beutel Goodman ON InvFund ------Corporate/Provincial Active Bond Fund

Beutel Goodman Fundamental Canadian ON InvFund ------Equity Fund

Beutel Goodman Global Dividend Fund ON InvFund ------

Beutel Goodman Global Equity Fund ON InvFund ------

Beutel Goodman Income Fund ON 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)

Beutel Goodman International Equity Fund ON InvFund ------

Beutel Goodman Long Term Bond Fund ON InvFund ------

Beutel Goodman Money Market Fund ON InvFund ------

Beutel Goodman North American Focused Beutel Goodman Canadian ON InvFund ------Equity Fund Intrinsic Fund

Beutel Goodman Short Term Bond Fund ON InvFund ------

Beutel Goodman Small Cap Fund Beutel Goodman Small ON InvFund ------Cap Fund

Beutel Goodman Total World Equity Fund Beutel Goodman Canadian ON InvFund ------Equity Plus Fund

Beutel Goodman World Focus Equity Fund ON InvFund ------

BevCanna Enterprises Inc. BC Non------InvFund

Beverly Development Inc. -- Non- -- -- Yes/Oui 1989/08/30 InvFund

BeWhere Holdings Inc. Greenock Resources Inc.; ON Non------Simberi Mining Corporation; InvFund Simberi Gold Corporation; Alive International Inc.

Bexar Ventures Inc. BC Non------InvFund

Beyond Medical Technologies Inc. Micron Waste Technologies BC Non------Inc.; Finore Mining Inc.; InvFund Otterburn Ventures Inc.

BF Realty Holdings Limited -- Non- -- -- Yes/Oui 1994/05/30 InvFund

BFS Entertainment & Multimedia Limited ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/09/18 InvFund

BGP Acquisition Corp. ON Non------InvFund

Bhang Inc. Pele Mountain Resources ON Non------Inc.; Unique Capital InvFund Corporation; Blue Regal Resources Ltd.

BHK Mining Corp. BHK Resources Inc. BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2017/09/05 InvFund

Bicentic Sires Limited Partnership -- Non- -- -- Yes/Oui 1995/09/19 InvFund

Big Banc Split Corp. ON InvFund ------

Big Bay Point Resorts Inc. -- Non- -- -- Yes/Oui 1990/12/10 InvFund

Big Hammer Group Inc. Bestquipt Sports Inc. -- Non- Yes/Oui 1b Yes/Oui 2001/12/07 InvFund

Big Pharma Split Corp. ON InvFund ------

Big Rock Brewery Inc. AB Non------InvFund

BIGG Digital Assets Inc. BIG Blockchain Intelligence BC Non------Group Inc.; Acana Capital InvFund Corp.; Ameri-Can Agri Co. Inc.

Bigknowledge Enterprises Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/03/17 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)

BioAmber Inc. ON Non- Yes/Oui 1c, 1e -- -- InvFund

Biocure Technology Inc. Gravis Energy Corp.; Sukari BC Non------Ventures Corp. InvFund

BioEnvelop Technologies Corporation QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/10/06 InvFund

BioExx Specialty Proteins Ltd. Bio-Extraction Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/08 Lifesciences Capital Corp. InvFund

Biogenetic Technologies Inc. ON Non- -- -- Yes/Oui 1999/06/30 InvFund

BioHarvest Sciences Inc. CANNA-V-CELL SCIENCES BC Non------INC.; Midnight Star Ventures InvFund Corp.

BioHEP Technologies Ltd. BC Non------InvFund

Biomark Diagnostics Inc. BC Non------InvFund

Biomax Technologies Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/06/04 InvFund

Biome Grow Inc. Orca Touchscreen BC Non------Technologies Ltd. InvFund

BioNeutra Global Corporation AB Non------InvFund

Biorem Inc. Ontario Capital ON Non------Opportunities Inc. InvFund

Biosenta Inc. RXT 110 Inc.; Triangle ON Non------Multi-Services Corporation InvFund

Biosign Technologies Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/05/05 InvFund

BioSyent Inc. Hedley Technologies Inc. ON Non------InvFund

Biosyntech, Inc. QC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2010/07/07 InvFund

Biotanika Health Group Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/09/14 InvFund

Biovaxys Technology Corp. Lions Bay Mining Corp. BC Non------InvFund

Bioxel Pharma Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/09/03 InvFund

BIP Investment Corporation ON Non------InvFund

Birch Mountain Resources Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

Birchcliff Energy Ltd. AB Non------InvFund

Bird Construction Inc. ON Non------InvFund

Bird River Resources Inc. Bird River Mines Inc. MB Non- Yes/Oui 3 -- -- InvFund

Bitcoin ETF ON InvFund ------

Bitcoin Trust ON 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) Bitfarms Ltd. ON Non------InvFund

BitRush Corp. Streetwear Corporation, ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2016/12/02 The; Continental Conquest InvFund Capital Corp.; Tejas Petroleum Resources Ltd.

Black Creek Global Balanced Corporate ON InvFund ------Class

Black Creek Global Balanced Fund Castlerock Global Balanced ON InvFund ------Fund; Hartford Global Balanced Fund

Black Creek Global Leaders Corporate ON InvFund ------Class

Black Creek Global Leaders Fund Castlerock Global Leaders ON InvFund ------Fund; Hartford Global Leaders Fund; Hartford Global Leaders Fund, The

Black Creek International Equity Corporate ON InvFund ------Class

Black Creek International Equity Fund Castlerock International ON InvFund ------Equity Fund; Hartford International Equity Fund

Black Diamond Distressed Opportunities ON InvFund ------Fund

Black Diamond Global Enhanced Income ON InvFund ------Fund

Black Diamond Global Equity Fund ON InvFund ------

Black Diamond Group Limited AB Non------InvFund

Black Iron Inc. ON Non------InvFund

Black Mammoth Metals Corporation La Quinta Resources BC Non------Corporation InvFund

Black River Resources Inc. -- Non- -- -- Yes/Oui 1992/02/14 InvFund

Black Shield Metals Corp. BC Non------InvFund

Black Tusk Resources Inc. BC Non------InvFund

BlackBerry Limited Research In Motion Limited ON Non------InvFund

Blackhawk Growth Corp. Blackhawk Resource Corp. BC Non------InvFund

Blackheath Resources Inc. BC Non------InvFund

Blackline Safety Corp. Blackline GPS Corp.; AB Non------Picasso Inc. InvFund

BlackRock - IG Active Allocation Pool I MB InvFund ------

BlackRock - IG Active Allocation Pool II MB InvFund ------

BlackRock - IG Active Allocation Pool III MB InvFund ------

BlackRock - IG International Equity Pool MB InvFund ------

BlackRock - IG Low Volatility International MB InvFund ------Equity Pool 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)

BlackRock Healthcare Fund, Inc. Merrill Lynch Healthcare ON InvFund Yes/Oui 1a, 1b, 3 -- -- Fund, Inc.

Blackrock Silver Corp. Blackrock Gold Corp. BC Non------InvFund

Blacksteel Energy Inc. Chrome Capital Inc. AB Non------InvFund

Blake River Explorations Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/08/01 InvFund

Blende Silver Corp. Blind Creek Resources Ltd. BC Non------InvFund

Blockchain Foundry Inc. BC Non------InvFund

Blockchain Technologies ETF ON InvFund ------

BlockchainK2 Corp. Africa Hydrocarbons Inc. AB Non------InvFund

BlockMint Technologies Inc. SMC Ventures Inc.; GenSci BC Non------Regeneration Sciences InvFund Inc.; Biocoll Medical Corp.

Blocplay Entertainment Inc. Stompy Bot Corporation BC Non------InvFund

Blok Technologies Inc. Aida Minerals Corp.; Aida BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/11/04 Minerals Corp. InvFund

Bloom Select Income Fund ON InvFund ------

Bloom U.S. Income & Growth Fund Bloom U.S. Advantaged ON InvFund ------Income & Growth Fund

Blue Gold International Inc. ICV Integrated Commercial -- Non- -- -- Yes/Oui 2001/05/25 Ventures Inc. InvFund

Blue Horizon Industries Inc. MLB Industries Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/12/09 InvFund

Blue Lagoon Resources Inc. BC Non------InvFund

Blue Mountain Beverages Inc. -- Non- -- -- Yes/Oui 1996/06/13 InvFund

Blue Note Mining Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

Blue Rhino Capital Corp. BC Non------InvFund

Blue Ribbon Income Fund (formerly Citadel Citadel Diversified ON InvFund ------Diversified Investment Trust) Investment Trust

Blue River Resources Ltd. BC Non------InvFund

Blue Sky Energy Inc. Brookwater Ventures Inc.; ON Non------Meta Health Services Inc. InvFund

Blue Star Gold Corp. WPC Resources Inc. BC Non------InvFund

Blue Thunder Mining Inc. Platform Eight Capital Corp. ON Non------InvFund

Blue Zen Memorial Parks Inc. Dynasty Gaming Inc.; QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/14 Events International InvFund Holding Corporation; Golden Gram Capital Inc.; Golden Gram Resources Inc. 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)

BlueBay Emerging Markets Bond Fund ON InvFund ------(Canada)

BlueBay Emerging Markets Corporate Bond ON InvFund ------Fund

BlueBay Emerging Markets Local Currency ON InvFund ------Bond Fund (Canada)

BlueBay European High Yield Bond Fund ON InvFund ------(Canada)

BlueBay Global Alternative Bond Fund ON InvFund ------(Canada)

BlueBay Global Convertible Bond Class ON InvFund ------(Canada)

BlueBay Global Convertible Bond Fund ON InvFund ------(Canada)

BlueBay Global High Yield Bond Fund ON InvFund ------(Canada)

BlueBay Global Investment Grade ON InvFund ------Corporate Bond Fund (Canada)

BlueBay Global Monthly Income Bond Fund ON InvFund ------

BlueBay Global Sovereign Bond Fund ON InvFund ------(Canada)

BlueBay $U.S. Global Convertible Bond ON InvFund ------Class (Canada)

BlueBay $U.S. Global Convertible Bond ON InvFund ------Fund (Canada)

BlueBay $U.S. Global Investment Grade ON InvFund ------Corporate Bond Fund (Canada)

BlueBay $U.S.Global High Yield Bond Fund BlueBay Canadian ON InvFund ------(Canada)(formerly, BlueBay Canadian Institutional Global High Institutional Global High Yield Bond Fund) Yield Bond Fund

Blueberries Medical Corp. CDN MSolar Corp. BC Non------InvFund

BluePoint Data, Inc. BluePoint Data Storage, ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/04 Inc.; Storage @ccess InvFund Technologies Inc.; Bolivar Goldfields Ltd.

BlueRush Inc. BlueRush Media Group ON Non------Corp.; Soyers Capital InvFund Limited

BlueScout Technologies Ltd. Catch the Wind Ltd.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 Bayview Public Ventures InvFund Inc.

Bluesky Digital Assets Corp. Gunpowder Capital Corp.; ON Non------Silver Shield Resources InvFund Corp.; Gemini Acquisitions Inc.

Bluestone Resources Inc. BC Non------InvFund

Bluewater Acquisition Corp. AB Non------InvFund

Bluewater Park Apartment Project MB Non------InvFund

Bluma Wellness Inc. BC Non------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)

BluMetric Environmental Inc. Seprotech Systems ON Non------Incorporated InvFund

Blutip Power Technologies Ltd. Hy-Drive Technologies Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/03 InvFund

BMG BullionFund Millennium BullionFund, ON InvFund ------The

BMG Gold BullionFund ON InvFund ------

BMG Silver BullionFund ON InvFund ------

BMGB Capital Corp. BC Non------InvFund

BMO Aggregate Bond Index ETF ON InvFund ------

BMO Ascent Balanced Portfolio ON InvFund ------

BMO Ascent Conservative Portfolio ON InvFund ------

BMO Ascent Equity Growth Portfolio ON InvFund ------

BMO Ascent Growth Portfolio ON InvFund ------

BMO Ascent Income Portfolio ON InvFund ------

BMO Asian Growth and Income Class ON InvFund ------

BMO Asian Growth and Income Fund BMO Guardian Asian ON InvFund ------Growth and Income Fund; GGOF Asian Growth and Income Fund

BMO Asset Allocation Fund First Canadian Asset ON InvFund ------Allocation Fund

BMO Balanced ESG ETF ON InvFund ------

BMO Balanced ETF ON InvFund ------

BMO Balanced ETF Portfolio ON InvFund ------

BMO Balanced ETF Portfolio Class BMO Balanced ETF ON InvFund ------Portfolio

BMO BBB Corporate Bond Index ETF ON InvFund ------

BMO Bond Fund First Canadian Bond Fund ON InvFund ------

BMO Canadian Dividend ETF ON InvFund ------

BMO Canadian Equity Class ON InvFund ------

BMO Canadian Equity ETF Fund BMO Equity Index Fund; ON InvFund ------First Canadian Equity Index Fund

BMO Canadian Equity Fund BMO Equity Fund; First ON InvFund ------Canadian Equity Fund; First Canadian Growth Fund

BMO Canadian High Dividend Covered Call ON InvFund ------ETF

BMO Canadian Large Cap Equity Fund BMO Guardian Canadian ON InvFund ------Large Cap Equity Fund; GGOF Canadian Large Cap Equity Fund; GGOF Canadian Large CAP Value Fund; GGOF Canadian Large Cap Fund; GGOF Guardian Canadian Large Cap Fund; Guardian Canadian Large Cap Fund

BMO Canadian MBS Index ETF ON 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)

BMO Canadian Small Cap Equity Fund BMO Special Equity Fund; ON InvFund ------First Canadian Special Equity Fund; First Canadian Special Growth Fund

BMO Canadian Stock Selection Fund ON InvFund ------

BMO China Equity Index ETF BMO China Equity Hedged ON InvFund ------to CAD Index ETF; BMO China Equity Hedged to CAD ETF

BMO Clean Energy Index ETF ON InvFund ------

BMO Concentrated Global Balanced Fund BMO Global Diversified ON InvFund ------Fund; BMO Guardian Global Diversified Fund; GGOF Global Diversified Fund

BMO Concentrated Global Equity Fund ON InvFund ------

BMO Concentrated U.S. Equity Fund ON InvFund ------

BMO Conservative ETF ON InvFund ------

BMO Conservative ETF Portfolio ON InvFund ------

BMO Core Bond Fund ON InvFund ------

BMO Core Plus Bond Fund ON InvFund ------

BMO Corporate Bond Index ETF ON InvFund ------

BMO Covered Call Canada High Dividend ON InvFund ------ETF Fund

BMO Covered Call Canadian Banks ETF ON InvFund ------

BMO Covered Call Canadian Banks ETF ON InvFund ------Fund

BMO Covered Call Dow Jones Industrial ON InvFund ------Average Hedged to CAD ETF

BMO Covered Call Europe High Dividend ON InvFund ------ETF Fund

BMO Covered Call Technology ETF ON InvFund ------

BMO Covered Call US Banks ETF ON InvFund ------

BMO Covered Call Utilities ETF ON InvFund ------

BMO Covered Call U.S. High Dividend ETF ON InvFund ------Fund

BMO Crossover Bond Fund ON InvFund ------

BMO Discount Bond Index ETF ON InvFund ------

BMO Diversified Income Portfolio BMO Diversified Income ON InvFund ------Fund

BMO Dividend Class ON InvFund ------

BMO Dividend Fund First Canadian Dividend ON InvFund ------Fund; First Canadian Dividend Income Fund

BMO Dow Jones Industrial Average Hedged BMO Dow Jones Diamonds ON InvFund ------to CAD Index ETF Index ETF

BMO Emerging Markets Bond Fund ON InvFund ------

BMO Emerging Markets Bond Hedged to ON InvFund ------CAD Index ETF

BMO Emerging Markets Fund First Canadian Emerging ON InvFund ------Markets Fund 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)

BMO Enterprise Fund BMO Guardian Enterprise ON InvFund ------Fund; GGOF Enterprise Fund; GGOF Guardian Enterprise Fund; Guardian Enterprise Fund

BMO Equal Weight Banks Index ETF BMO S&P/TSX Equal ON InvFund ------Weight Banks Index ETF

BMO Equal Weight Global Base Metals BMO S&P/TSX Equal ON InvFund ------Hedged to CAD Index ETF Weight Global Base Metals Hedged to CAD Index ETF

BMO Equal Weight Global Gold Index ETF BMO S&P/TSX Equal ON InvFund ------Weight Global Gold Index ETF

BMO Equal Weight Industrials Index ETF BMO S&P/TSX Equal ON InvFund ------Weight Industrials Index ETF

BMO Equal Weight Oil & Gas Index ETF BMO S&P/TSX Equal ON InvFund ------Weight Oil & Gas Index ETF

BMO Equal Weight REITs Index ETF ON InvFund ------

BMO Equal Weight US Banks Hedged to ON InvFund ------CAD Index ETF

BMO Equal Weight US Banks Index ETF ON InvFund ------

BMO Equal Weight US Health Care Hedged ON InvFund ------to CAD Index ETF

BMO Equal Weight US Health Care Index ON InvFund ------ETF

BMO Equal Weight Utilities Index ETF ON InvFund ------

BMO Equity Growth ETF Portfolio ON InvFund ------

BMO Equity Growth ETF Portfolio Class BMO Aggressive Growth ON InvFund ------ETF Portfolio Class; BMO Aggressive Growth ETF Portfolio

BMO ESG Corporate Bond Index ETF ON InvFund ------

BMO ESG High Yield US Corporate Bond ON InvFund ------Index ETF

BMO ESG US Corporate Bond Hedged to ON InvFund ------CAD Index ETF

BMO Europe High Dividend Covered Call ON InvFund ------ETF

BMO Europe High Dividend Covered Call ON InvFund ------Hedged to CAD ETF

BMO European Fund First Canadian European ON InvFund ------Fund; First Canadian European Growth Fund

BMO Fixed Income ETF Portfolio ON InvFund ------

BMO Floating Rate High Yield ETF ON InvFund ------

BMO Floating Rate Income Fund BMO Guardian Floating ON InvFund ------Rate Income Fund; GGOF Floating Rate Income Fund

BMO FundSelect Balanced Portfolio ON InvFund ------

BMO FundSelect Equity Growth Portfolio BMO FundSelect ON InvFund ------Aggressive Growth Portfolio 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)

BMO FundSelect Growth Portfolio ON InvFund ------

BMO FundSelect Income Portfolio BMO FundSelect Security ON InvFund ------Portfolio

BMO Global Balanced Fund ON InvFund ------

BMO Global Communications Index ETF ON InvFund ------

BMO Global Consumer Discretionary ON InvFund ------Hedged to CAD Index ETF

BMO Global Consumer Staples Hedged to ON InvFund ------CAD Index ETF

BMO Global Dividend Class BMO Global Balanced ON InvFund ------Class

BMO Global Dividend Fund BMO Global Science & ON InvFund ------Technology Fund; First Canadian Global Science & Technology Fund

BMO Global Energy Class ON InvFund ------

BMO Global Equity Class BMO Global Opportunities ON InvFund ------Class

BMO Global Equity Fund ON InvFund ------

BMO Global Growth & Income Fund BMO Global Absolute ON InvFund ------Return Fund; BMO Guardian Global Absolute Return Fund; GGOF Global Absolute Return Fund

BMO Global High Dividend Covered Call ON InvFund ------ETF

BMO Global Infrastructure Fund BMO Income Trust Fund ON InvFund ------

BMO Global Infrastructure Index ETF ON InvFund ------

BMO Global Low Volatility ETF Class BMO Global Tactical ETF ON InvFund ------Class

BMO Global Monthly Income Fund ON InvFund ------

BMO Global Multi-Sector Bond Fund ON InvFund ------

BMO Global Small Cap Fund BMO Guardian Global ON InvFund ------Small Cap Fund; GGOF Global Small Cap Fund; GGOF Alexandria Global Small Cap Fund; Guardian Global Small Cap Fund; Guardian Asia Pacific Fund

BMO Global Strategic Bond Fund BMO Global High Yield ON InvFund ------Bond Fund; BMO Global Bond Fund

BMO Global Water Solutions TACTIC Fund ON InvFund ------

BMO Government Bond Index ETF ON InvFund ------

BMO Greater China Class ON InvFund ------

BMO Growth ETF ON InvFund ------

BMO Growth ETF Portfolio ON InvFund ------

BMO Growth ETF Portfolio Class BMO Growth ETF Portfolio ON InvFund ------

BMO Growth Opportunities Fund ON 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) BMO Growth & Income Fund BMO Guardian Growth & ON InvFund ------Income Fund; BMO Guardian Monthly High Income Fund; GGOF Monthly High Income Fund; GGOF Guardian Monthly High Income Fund; Guardian Monthly High Income Fund

BMO High Quality Corporate Bond Index ON InvFund ------ETF

BMO High Yield US Corporate Bond BMO High Yield US ON InvFund ------Hedged to CAD Index ETF Corporate Bond Hedged to CAD ETF

BMO High Yield US Corporate Bond Index ON InvFund ------ETF

BMO Income ETF Portfolio BMO Security ETF Portfolio ON InvFund ------

BMO Income ETF Portfolio Class BMO Security ETF Portfolio ON InvFund ------Class; BMO Security ETF Portfolio

BMO India Equity Index ETF BMO India Equity Hedged to ON InvFund ------CAD Index ETF; BMO India Equity Hedged to CAD ETF

BMO International Dividend ETF ON InvFund ------

BMO International Dividend Hedged to CAD ON InvFund ------ETF

BMO International Equity ETF Fund BMO International Index ON InvFund ------Fund; BMO RSP International Index Fund; First Canadian International Index RSP Fund

BMO International Equity Fund ON InvFund ------

BMO International Value Class ON InvFund ------

BMO International Value Fund ON InvFund ------

BMO Japan Fund ON InvFund ------

BMO Junior Gold Index ETF ON InvFund ------

BMO Laddered Preferred Share Index ETF BMO S&P/TSX Laddered ON InvFund ------Preferred Share Index ETF

BMO LifeStage Plus 2022 Fund ON InvFund ------

BMO LifeStage Plus 2025 Fund ON InvFund ------

BMO LifeStage Plus 2026 Fund ON InvFund ------

BMO LifeStage Plus 2030 Fund ON InvFund ------

BMO Long-Term US Treasury Bond Index ON InvFund ------ETF

BMO Long Corporate Bond Index ETF ON InvFund ------

BMO Long Federal Bond Index ETF ON InvFund ------

BMO Long Provincial Bond Index ETF ON InvFund ------

BMO Low Volatility Canadian Equity ETF ON InvFund ------

BMO Low Volatility Canadian Equity ETF ON InvFund ------Fund

BMO Low Volatility Emerging Markets Equity ON InvFund ------ETF 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)

BMO Low Volatility International Equity ETF ON InvFund ------

BMO Low Volatility International Equity ON InvFund ------Hedged to CAD ETF

BMO Low Volatility US Equity ETF ON InvFund ------

BMO Low Volatility US Equity Hedged to ON InvFund ------CAD ETF

BMO Low Volatility U.S. Equity ETF Fund ON InvFund ------

BMO Mid-Term US IG Corporate Bond ON InvFund ------Hedged to CAD Index ETF

BMO Mid-Term US IG Corporate Bond Index ON InvFund ------ETF

BMO Mid-Term US Treasury Bond Index ETF ON InvFund ------

BMO Mid Corporate Bond Index ETF ON InvFund ------

BMO Mid Federal Bond Index ETF BMO Canadian Government ON InvFund ------Bond Index ETF

BMO Mid Provincial Bond Index ETF ON InvFund ------

BMO Money Market ETF ON InvFund ------

BMO Money Market Fund First Canadian Money ON InvFund ------Market Fund

BMO Monthly Dividend Fund Ltd. BMO Guardian Monthly ON InvFund ------Dividend Fund Ltd.; GGOF Monthly Dividend Fund Ltd.; GGOF Guardian Monthly Dividend Fund Ltd.; Guardian Monthly Dividend Fund Ltd.; Guardian Preferred Dividend Fund Ltd.

BMO Monthly High Income Fund II BMO Guardian Monthly High ON InvFund ------Income Fund II; GGOF Monthly High Income Fund II

BMO Monthly Income ETF ON InvFund ------

BMO Monthly Income Fund First Canadian Monthly ON InvFund ------Income Fund

BMO Mortgage and Short-Term Income BMO Mortgage Fund; First ON InvFund ------Fund Canadian Mortgage Fund

BMO MSCI All Country World High Quality ON InvFund ------Index ETF

BMO MSCI Canada ESG Leaders Index ETF ON InvFund ------

BMO MSCI Canada Value Index ETF ON InvFund ------

BMO MSCI EAFE ESG Leaders Index ETF ON InvFund ------

BMO MSCI EAFE Hedged to CAD Index ETF BMO International Equity ON InvFund ------Hedged to CAD Index ETF; BMO International Equity Index ETF

BMO MSCI EAFE Index ETF ON InvFund ------

BMO MSCI Emerging Markets Index ETF BMO Emerging Markets ON InvFund ------Equity Index ETF

BMO MSCI Europe High Quality Hedged to ON InvFund ------CAD Index ETF

BMO MSCI Fintech Innovation Index ETF ON 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)

BMO MSCI Genomic Innovation Index ETF ON InvFund ------

BMO MSCI Global ESG Leaders Index ETF ON InvFund ------

BMO MSCI Innovation Index ETF ON InvFund ------

BMO MSCI Next Gen Internet Innovation ON InvFund ------Index ETF

BMO MSCI Tech & Industrial Innovation ON InvFund ------Index ETF

BMO MSCI USA ESG Leaders Index ETF ON InvFund ------

BMO MSCI USA High Quality Index ETF ON InvFund ------

BMO MSCI USA Value Index ETF ON InvFund ------

BMO Multi-Factor Equity Fund ON InvFund ------

BMO Nasdaq 100 Equity Hedged to CAD ON InvFund ------Index ETF

BMO Nasdaq 100 Equity Index ETF ON InvFund ------

BMO North American Dividend Fund BMO Nafta Advantage Fund; ON InvFund ------First Canadian NAFTA Advantage Fund

BMO PineBridge Preferred Securities ON InvFund ------TACTIC Fund

BMO Precious Metals Fund First Canadian Precious ON InvFund ------Metals Fund

BMO Preferred Share Fund ON InvFund ------

BMO Premium Yield ETF ON InvFund ------

BMO Private Canadian Core Equity Portfolio BMO Private Canadian ON InvFund ------Conservative Equity Portfolio; BMO Harris Canadian Conservative Equity Portfolio

BMO Private Canadian Corporate Bond BMO Harris Canadian ON InvFund ------Portfolio Corporate Bond Portfolio

BMO Private Canadian Income Equity BMO Harris Canadian ON InvFund ------Portfolio Income Equity Portfolio

BMO Private Canadian Mid-Term Bond BMO Harris Canadian ON InvFund ------Portfolio Mid-Term Bond Portfolio; BMO Harris Canadian Total Return Bond Portfolio; Monogram Canadian Bond Fund

BMO Private Canadian Money Market BMO Harris Canadian ON InvFund ------Portfolio Money Market Portfolio; Monogram Canadian Money Market Fund

BMO Private Canadian Short-Term Bond BMO Harris Canadian ON InvFund ------Portfolio Short-Term Bond Portfolio; BMO Harris Canadian Bond Income Portfolio; Monogram Canadian Fixed Income Fund

BMO Private Canadian Special Equity BMO Harris Canadian ON InvFund ------Portfolio Special Growth Portfolio; Monogram Canadian Special Growth Fund 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) BMO Private Diversified Yield Portfolio BMO Private Diversified ON InvFund ------Yield; BMO Harris Diversified Yield Portfolio; BMO Harris Diversified Trust Portfolio

BMO Private Emerging Markets Equity BMO Harris Emerging ON InvFund ------Portfolio Markets Equity Portfolio

BMO Private International Equity Portfolio BMO Harris International ON InvFund ------Equity Portfolio; Monogram International Equity Fund

BMO Private U.S. Equity Portfolio BMO Harris U.S. Equity ON InvFund ------Portfolio; Monogram US Equity Fund

BMO Private U.S. Growth Equity Portfolio BMO Harris U.S. Growth ON InvFund ------Portfolio; Monogram US Growth Fund

BMO Private U.S. Special Equity Portfolio BMO Harris U.S. Special ON InvFund ------Equity Portfolio; BMO Harris International Special Equity Portfolio

BMO Real Return Bond Index ETF ON InvFund ------

BMO Resource Fund First Canadian Resource ON InvFund ------Fund

BMO Retirement Balanced Portfolio ON InvFund ------

BMO Retirement Conservative Portfolio ON InvFund ------

BMO Retirement Income Portfolio ON InvFund ------

BMO Risk Reduction Equity Fund ON InvFund ------

BMO Risk Reduction Fixed Income Fund ON InvFund ------

BMO SelectClass Balanced Portfolio ON InvFund ------

BMO SelectClass Equity Growth Portfolio BMO SelectClass ON InvFund ------Aggressive Growth Portfolio

BMO SelectClass Growth Portfolio ON InvFund ------

BMO SelectClass Income Portfolio BMO SelectClass Security ON InvFund ------Portfolio

BMO SelectTrust Balanced Portfolio BMO Balanced Solution; ON InvFund ------BMO Guardian Balanced Solution; GGOF Balanced Solution

BMO SelectTrust Conservative Portfolio BMO Conservative Solution; ON InvFund ------BMO Guardian Conservative Solution; GGOF Conservative Solution

BMO SelectTrust Equity Growth Portfolio BMO Aggressive Growth ON InvFund ------Solution; BMO Guardian Aggressive Growth Solution; GGOF Aggressive Growth Solution

BMO SelectTrust Fixed Income Portfolio ON InvFund ------

BMO SelectTrust Growth Portfolio BMO Growth Solution; BMO ON InvFund ------Guardian Growth Solution; GGOF Growth Solution 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) BMO SelectTrust Income Portfolio BMO SelectTrust Security ON InvFund ------Portfolio; BMO Income Solution; BMO Guardian Income Solution; GGOF Income Solution

BMO Short-Term Bond Index ETF ON InvFund ------

BMO Short-Term US IG Corporate Bond ON InvFund ------Hedged to CAD Index ETF

BMO Short-Term US TIPS Index ETF ON InvFund ------

BMO Short-Term US Treasury Bond Index ON InvFund ------ETF

BMO Short Corporate Bond Index ETF ON InvFund ------

BMO Short Federal Bond Index ETF ON InvFund ------

BMO Short Provincial Bond Index ETF ON InvFund ------

BMO SIA Focused Canadian Equity Fund ON InvFund ------

BMO SIA Focused North American Equity ON InvFund ------Fund

BMO Sustainable Balanced Portfolio BMO Principle Balanced ON InvFund ------Portfolio

BMO Sustainable Conservative Portfolio BMO Principle Conservative ON InvFund ------Portfolio

BMO Sustainable Growth Portfolio BMO Principle Growth ON InvFund ------Portfolio

BMO Sustainable Income Portfolio BMO Principle Income ON InvFund ------Portfolio

BMO Sustainable Opportunities Canadian ON InvFund ------Equity Fund

BMO Sustainable Opportunities Global BMO Fossil Fuel Free Fund ON InvFund ------Equity Fund

BMO S&P 500 Hedged to CAD Index ETF BMO US Equity Hedged to ON InvFund ------CAD Index ETF; BMO US Equity Index ETF

BMO S&P 500 Index ETF ON InvFund ------

BMO S&P US Mid Cap Index ETF ON InvFund ------

BMO S&P US Small Cap Index ETF ON InvFund ------

BMO S&P/TSX Capped Composite Index BMO Dow Jones Canada ON InvFund ------ETF Titans 60 Index ETF

BMO Tactical Balanced ETF Fund ON InvFund ------

BMO Tactical Dividend ETF Fund ON InvFund ------

BMO Tactical Global Asset Allocation ETF ON InvFund ------Fund

BMO Tactical Global Bond ETF Fund ON InvFund ------

BMO Tactical Global Equity ETF Fund ON InvFund ------

BMO Tactical Global Growth ETF Fund ON InvFund ------

BMO Target Education 2025 Portfolio ON InvFund ------

BMO Target Education 2030 Portfolio ON InvFund ------

BMO Target Education 2035 Portfolio ON InvFund ------

BMO Target Education 2040 Portfolio ON InvFund ------

BMO Target Education Income Portfolio ON 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)

BMO Ultra Short-Term Bond ETF BMO 2013 Corporate Bond ON InvFund ------Target Maturity ETF

BMO Ultra Short-Term US Bond ETF ON InvFund ------

BMO US Dividend ETF ON InvFund ------

BMO US Dividend Hedged to CAD ETF ON InvFund ------

BMO US High Dividend Covered Call ETF ON InvFund ------

BMO US High Dividend Covered Call ON InvFund ------Hedged to CAD ETF

BMO US Preferred Share Hedged to CAD ON InvFund ------Index ETF

BMO US Preferred Share Index ETF ON InvFund ------

BMO US Put Write ETF ON InvFund ------

BMO US Put Write Hedged to CAD ETF ON InvFund ------

BMO USD Balanced ETF Portfolio ON InvFund ------

BMO USD Conservative ETF Portfolio ON InvFund ------

BMO USD Income ETF Portfolio ON InvFund ------

BMO U.S. Dividend Fund ON InvFund ------

BMO U.S. Dollar Balanced Fund ON InvFund ------

BMO U.S. Dollar Dividend Fund ON InvFund ------

BMO U.S. Dollar Equity Index Fund First Canadian U.S. Dollar ON InvFund ------Equity Index Fund

BMO U.S. Dollar Money Market Fund First Canadian U.S. Dollar ON InvFund ------Money Market Fund

BMO U.S. Dollar Monthly Income Fund ON InvFund ------

BMO U.S. Equity Class BMO American Equity Class ON InvFund ------

BMO U.S. Equity ETF Fund BMO U.S. Equity Index ON InvFund ------Fund; BMO RSP U.S. Equity Index Fund; First Canadian U.S. Equity Index RSP Fund; First Canadian U.S. Equity Index Fund

BMO U.S. Equity Fund BMO U.S. Value Fund; First ON InvFund ------Canadian U.S. Value Fund

BMO U.S. Equity Plus Fund ON InvFund ------

BMO U.S. High Yield Bond Fund ON InvFund ------

BMO U.S. Small Cap Fund ON InvFund ------

BMO Women in Leadership Fund ON InvFund ------

BMO World Bond Fund BMO International Bond ON InvFund ------Fund; First Canadian International Bond Fund

BMR Gold Corp. -- Non- -- -- Yes/Oui 1999/06/30 InvFund

BMTC Group Inc. QC Non------InvFund

BNP Resources Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/09 InvFund

BNY Mellon Large Cap Securities Fund, Inc. Dreyfus Fund Incorporated, ON InvFund ------The 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)

Boardwalk Real Estate Investment Trust AB Non------InvFund

Boardwalktech Software Corp. Wood Composite BC Non------Technologies Inc. InvFund

Boat Rocker Media Inc. ON Non------InvFund

Body and Mind Inc. Deploy Technologies Inc. BC Non------InvFund

Bold Capital Enterprises Ltd. QC Non------InvFund

Bold Ventures Inc. ON Non------InvFund

Bolt Metals Corp. Pacific Rim Cobalt Corp. BC Non------InvFund

Bombardier Inc. QC Non------InvFund

Bonanza Metals Inc. -- Non- -- -- Yes/Oui 1991/07/08 InvFund

Bonaventure Estates I Limited Partnership -- Non- -- -- Yes/Oui 1999/10/19 InvFund

Bonaventure Technologies Inc. -- Non- -- -- Yes/Oui 1984/01/20 InvFund

Bond Resources Inc. J. Bond Capital Corporation BC Non------InvFund

Bonterra Energy Corp. Bonterra Oil & Gas Ltd.; AB Non------SRX Post Holdings Inc.; SR InvFund Telecom Inc.

Bonterra Resources Inc. BC Non------InvFund

Boomerang Oil, Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/04/04 InvFund

Boost Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/08/05 InvFund

Boralex Inc. QC Non------InvFund

Border Petroleum Limited Border Petroleum Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/08/02 InvFund

Borealis Exploration Limited AB Non- -- -- Yes/Oui 2001/09/13 InvFund

Boston Pizza Royalties Income Fund BC Non------InvFund

Boyd Group Services Inc. MB Non------InvFund

BQE Water Inc. Bioteq Environmental BC Non------Technologies Inc. InvFund

Bracknell Corporation -- Non- Yes/Oui 1a, 1d Yes/Oui 2002/03/22 InvFund

Bradley Gardens Associates -- Non- -- -- Yes/Oui 1991/07/16 InvFund

Bragg Gaming Group Inc. Breaking Data Corp.; ON Non------Sprylogics International InvFund Corp.; Rockies Financial Corporation 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)

Braille Energy Systems Inc. Mincom Capital Inc. ON Non------InvFund

Braingrid Limited Match Capital Resources ON Non------Corporation InvFund

Brainhunter Inc. Treklogic Technologies Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/03/16 InvFund 1e, 3

Brainium Technologies Inc. NTS Computer Systems -- Non- Yes/Oui 1a, 1d Yes/Oui 2002/06/04 Ltd. InvFund

Bramalea Inc. -- Non- -- -- Yes/Oui 1995/04/07 InvFund

Brampton Brick Limited ON Non------InvFund

Brand Leaders Income Fund ON InvFund ------

Brand X Lifestyle Corp. BLOCK X CAPITAL CORP.; BC Non------Lions Gate Metals Inc. InvFund

Brandes Canadian Equity Fund ON InvFund ------

Brandes Canadian Money Market Fund ON InvFund ------

Brandes Corporate Focus Bond Fund ON InvFund ------

Brandes Emerging Markets Value Fund Brandes Emerging Markets ON InvFund ------Equity Fund

Brandes Global Equity Fund ON InvFund ------

Brandes Global Opportunities Fund ON InvFund ------

Brandes Global Small Cap Equity Fund ON InvFund ------

Brandes International Equity Fund ON InvFund ------

Brandes U.S. Equity Fund ON InvFund ------

Brandevor Enterprises Ltd. -- Non- -- -- Yes/Oui 1998/06/05 InvFund

Brandon Energy Ltd. -- Non- -- -- Yes/Oui 1999/10/18 InvFund

Brandselite International Corporation -- Non- -- -- Yes/Oui 2002/05/24 InvFund

Brandy Brook Mines Limited -- Non- -- -- Yes/Oui 1989/07/14 InvFund

Bras-American Corporation -- Non- -- -- Yes/Oui 1991/06/21 InvFund

Braveheart Resources Inc. Rainbow Resources Inc. AB Non------InvFund

Bravern Ventures Ltd. Prima Colombia Hardwood BC Non- Yes/Oui 3 -- -- Inc.; Flagship Industries Inc. InvFund

Brazilian Resources, Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/09 InvFund

Bre-X Minerals Ltd. -- Non- -- -- Yes/Oui 1997/05/22 InvFund

Breaking Point Developments Inc. AB Non- -- -- Yes/Oui 2010/11/05 InvFund

Brewbac Resources Inc. -- Non- -- -- Yes/Oui 1990/09/14 InvFund

Brex Exploration Inc. -- Non- -- -- Yes/Oui 2000/07/17 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) Bri-Chem Corp. AB Non------InvFund

Briana Bio-Tech Inc. -- Non- -- -- Yes/Oui 1999/06/25 InvFund

Bridge-It Corporation ON Non- -- -- Yes/Oui 2000/06/02 InvFund

Bridge Integrated Technologies Inc. -- Non- -- -- Yes/Oui 1992/02/19 InvFund

Bridgehouse Canadian Bond Fund Greystone Canadian Bond ON InvFund ------Fund

Bridgemarq Real Estate Services Inc. Brookfield Real Estate ON Non------Services Inc. InvFund

BridgePoint International Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2004/02/12 InvFund

Brigadier Gold Limited BC Non------InvFund

Bright Minds Biosciences Inc. BC Non------InvFund

Brighter Minds Media Inc. Roadrunner Capital ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/05/08 Corporation InvFund

Brighton Gardens of Boyton Beach Limited -- Non- -- -- Yes/Oui 1994/06/03 Partnership InvFund

Briko Energy Corp. AB Non------InvFund

Brisa International S.A. -- Non- -- -- Yes/Oui 1986/09/04 InvFund

Bristol Gate Concentrated Canadian Equity ON InvFund ------ETF

Bristol Gate Concentrated US Equity ETF ON InvFund ------

British Columbia Ferry Services Inc. BC Non------InvFund

British Telecommunications PLC BC Non------InvFund

Brixton Metals Corporation Marksmen Capital Inc. BC Non------InvFund

BRO-X Minerals Ltd. -- Non- Yes/Oui 1a, 1b, 3 Yes/Oui 2002/11/05 InvFund

Broadband Learning Corporation YTW Weslea Growth ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/09/04 Capital Corporation InvFund

Bromley.Marr ECOS Inc. -- Non- -- -- Yes/Oui 1999/12/10 InvFund

Brompton European Dividend Growth ETF ON InvFund ------

Brompton Flaherty & Crumrine Investment ON InvFund ------Grade Preferred ETF

Brompton Global Dividend Growth ETF ON InvFund ------

Brompton Global Healthcare Income & Global Healthcare Income ON InvFund ------Growth ETF & Growth ETF

Brompton Global Real Assets Dividend ETF ON InvFund ------

Brompton Lifeco Split Corp. ON InvFund ------

Brompton North American Financials ON InvFund ------Dividend ETF 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)

Brompton North American Low Volatility ON InvFund ------Dividend ETF

Brompton Oil Split Corp. ON InvFund ------

Brompton Split Banc Corp. ON InvFund ------

Brompton Tech Leaders Income ETF Tech Leaders Income ETF ON InvFund ------

Brookfield Asset Management Inc. Brascan Corporation; ON Non------EdperBrascan Corporation; InvFund Edper Group Limited, The

Brookfield Business Partners L.P. ON Non------InvFund

Brookfield Finance I (UK) PLC ON Non------InvFund

Brookfield Finance II Inc. ON Non------InvFund

Brookfield Finance II LLC ON Non------InvFund

Brookfield Finance Inc. ON Non------InvFund

Brookfield Finance LLC ON Non------InvFund

Brookfield Finance (Australia) Pty Ltd ON Non------InvFund

Brookfield Global Infrastructure Securities ON InvFund ------Income Fund

Brookfield Infrastructure Corporation ON Non------InvFund

Brookfield Infrastructure Finance Limited ON Non------InvFund

Brookfield Infrastructure Finance LLC ON Non------InvFund

Brookfield Infrastructure Finance Pty Ltd ON Non------InvFund

Brookfield Infrastructure Finance ULC ON Non------InvFund

Brookfield Infrastructure Partners Exchange ON Non------LP InvFund

Brookfield Infrastructure Partners L.P. ON Non------InvFund

Brookfield Infrastructure Preferred Equity ON Non------Inc. InvFund

Brookfield Investments Corporation Brascade Corporation; ON Non------Brascade Resources Inc. InvFund

Brookfield Office Properties Exchange LP ON Non------InvFund

Brookfield Office Properties Inc. Brookfield Properties ON Non------Corporation; Carena InvFund Developments Limited

Brookfield Property Finance ULC ON Non------InvFund

Brookfield Property Partners L.P. ON Non------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) Brookfield Property Preferred Equity Inc. ON Non------InvFund

Brookfield Property Split Corp. ON Non------InvFund

Brookfield Renewable Corporation ON Non------InvFund

Brookfield Renewable Partners L.P. Brookfield Renewable ON Non------Energy Partners L.P. InvFund

Brookfield Renewable Partners ULC Brookfield Renewable ON Non------Energy Partners ULC; BRP InvFund Finance ULC

Brookfield Renewable Power Preferred ON Non------Equity Inc. InvFund

Brookfield Select Opportunities Income ON InvFund ------Fund

Browning Communications Inc. -- Non- -- -- Yes/Oui 1990/07/20 InvFund

BRP Inc. QC Non------InvFund

Brunswick Resources Inc. Z-Gold Exploration Inc.; ON Non------Nano Capital Corp. InvFund

BSR Real Estate Investment Trust ON Non------InvFund

BTB Real Estate Investment Trust QC Non------InvFund

BTF Environmental Industries Inc. -- Non- -- -- Yes/Oui 1991/05/23 InvFund

Buccaneer Gold Corp. Verbina Resources Inc. ON Non------InvFund

Bucephalus Capital Corp. Bradstone Capital Corp.; ON Non------HPB Investments Inc. InvFund

Bucking Horse Energy Inc. NRG Investments Inc. BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2013/04/12 InvFund

Buffalo Coal Corp. Forbes & Manhattan Coal ON Non------Corp.; Nyah Resources InvFund Corp.; Carlaw Capital Corp.

Buffalo Gold Ltd. Buffalo Diamonds Ltd.; TLT BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/13 Resources Ltd.; Tenga InvFund Laboratories Inc.

Buhler Industries Inc. MB Non------InvFund

Builders Capital Mortgage Corp. AB Non------InvFund

Bullet Exploration Inc. CHC Student Housing AB Non------Corp.; CHC Realty Capital InvFund Corp.

Bulora Corporation Limited -- Non- -- -- Yes/Oui 1977/11/18 InvFund

Bunker Hill Mining Corp. Liberty Silver Corp. ON Non------InvFund

Burcon NutraScience Corporation BC Non------InvFund

Burlington Packaging Limited -- Non- -- -- Yes/Oui 1980/08/01 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)

Burnstone Ventures Inc. Pure Diamonds Exploration BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/08/05 Inc.; Pure Gold Minerals Inc. InvFund

Butler Mountain Minerals Corp. -- Non- -- -- Yes/Oui 1988/10/05 InvFund

BuzBuz Capital Corp. ON Non------InvFund

Buzz Capital 2 Inc. ON Non------InvFund

Buzz Capital Inc. ON Non------InvFund

BWR Exploration Inc. Black Widow Resources ON Non------Inc. InvFund

By Design -- Non- -- -- Yes/Oui 1983/06/13 InvFund

Byrna Technologies Inc. Security Devices ON Non------International Inc. InvFund

BYT Holdings Ltd. SLE Synergy Ltd. BC Non------InvFund

B. Y. G. Natural Resources Inc. -- Non- -- -- Yes/Oui 1999/09/08 InvFund

B.D.M. Fund Limited ON InvFund -- -- Yes/Oui 1974/02/14

B.E.S.T. Venture Opportunities Fund Inc. Dynamic Venture ON InvFund ------Opportunities Fund Ltd.; Canadian Venture Opportunities Fund Ltd.; Integrated Growth Fund Inc. C

C-Com Satellite Systems Inc. ON Non------InvFund

C International Income Fund Cinram International ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2013/03/06 Income Fund InvFund

C21 Investments Inc. BC Non------InvFund

C2C Gold Corp. Taku Gold Corp. BC Non------InvFund

C3 Metals Inc. Carube Copper Corp.; ON Non------Miocene Resources InvFund Limited; Miocene Metals Limited

CA-Network Inc. Gold Coral Resources Inc.; ON Non- -- -- Yes/Oui 2003/07/09 Bochawna Copper Mines InvFund Limited

Cabletel Communications Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2004/08/18 InvFund 1e, 3

Cabot Creek Mineral Corporation ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/07 InvFund

Cabral Gold Inc. San Angelo Oil Limited BC Non------InvFund

Cache Exploration Inc. BC Non------InvFund

Cachet Communications Inc. -- Non- -- -- Yes/Oui 1999/03/08 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) Cadieux Mines Limited -- Non- -- -- Yes/Oui 1976/09/08 InvFund

Cadillac Ventures Inc. Blue Power Energy ON Non------Corporation InvFund

CAE Inc. QC Non------InvFund

Cairngorm Mines Limited ON Non- Yes/Oui 1b Yes/Oui 2003/05/23 InvFund

Calaveras Resource Corp. BC Non------InvFund

Caldera Resources Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

Caldwell Canadian Value Momentum Fund ON InvFund ------

Caldwell North American Fund Caldwell Balanced Fund; ON InvFund ------Caldwell Associate Fund; Caldwell Securities Associate Fund

Caldwell U.S. Dividend Advantage Fund ON InvFund ------

Caledonia Mining Corporation plc Caledonia Mining ON Non------Corporation InvFund

Calfrac Well Services Ltd. Denison Mines Limited AB Non------InvFund

Calian Group Ltd. Calian Technologies Ltd.; ON Non------Calian Technology Ltd. InvFund

Caliber Minerals Inc. Silcom Systems Inc. BC Non------InvFund

Calibre Energy Inc. Deep Basin Energy Inc. AB Non- -- -- Yes/Oui 1999/09/09 InvFund

Calibre Mining Corp. BC Non------InvFund

California Gold Mining Inc. Upper Canada Gold ON Non------Corporation; Washmax InvFund Corp.

Callitas Health Inc. M Pharmaceutical Inc.; First BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2019/07/09 Sahara Energy Inc.; InvFund PetroWorth Resources Inc.

Calmena Energy Services Inc. BlackWatch Energy AB Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2015/04/10 Services Corp. InvFund

CalStar Oil & Gas Ltd. Aspire Capital Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/02/11 InvFund

Calyx Ventures Inc. Calyx Bio-Ventures Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/07/21 InvFund

Camarico Investment Group Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/22 InvFund

Camberly Energy Ltd. AB Non- -- -- Yes/Oui 2003/06/12 InvFund

Cambium Limited Partnership No. TWO ON Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/01/02 InvFund

Cambridge Asset Allocation Corporate Cambridge Canadian Asset ON InvFund ------Class Allocation Corporate Class

Cambridge Asset Allocation Fund ON InvFund ------

Cambridge Bond Fund ON 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)

Cambridge Canadian Dividend Corporate ON InvFund ------Class

Cambridge Canadian Dividend Fund CI Canadian Dividend ON InvFund ------Growth Fund; Castlerock Canadian Dividend Growth Fund; Hartford Canadian Dividend Growth Fund; Hartford Growth and Income Fund, The

Cambridge Canadian Equity Corporate ON InvFund ------Class

Cambridge Canadian Equity Fund ON InvFund ------

Cambridge Canadian Long-Term Bond ON InvFund ------Pool

Cambridge Canadian Short-Term Bond ON InvFund ------Pool

Cambridge Global Dividend Class Sentry Global Growth and ON InvFund ------Income Class; Sentry Global Dividend Class

Cambridge Global Dividend Corporate ON InvFund ------Class

Cambridge Global Dividend Fund ON InvFund ------

Cambridge Global Equity Corporate Class ON InvFund ------

Cambridge Global Equity Fund ON InvFund ------

Cambridge Global High Income Fund Cambridge High Income ON InvFund ------Fund; Lakeview Disciplined Leadership High Income Fund; Disciplined Leadership High Income Fund

Cambridge Global Smaller Companies Cambridge Growth ON InvFund ------Corporate Class Companies Corporate Class

Cambridge Global Smaller Companies Cambridge Growth ON InvFund ------Fund Companies Fund

Cambridge Monthly Income Corporate Cambridge Income ON InvFund ------Class Corporate Class

Cambridge Monthly Income Fund Cambridge Income Fund ON InvFund ------

Cambridge Premium Yield Pool ON InvFund ------

Cambridge Pure Canadian Equity ON InvFund ------Corporate Class

Cambridge Pure Canadian Equity Fund Castlerock Pure Canadian ON InvFund ------Equity Fund

Cambridge Square North -- Non- -- -- Yes/Oui 1986/09/15 InvFund

Cambridge Square South -- Non- -- -- Yes/Oui 1986/09/15 InvFund

Cambridge Stock Selection Fund ON InvFund ------

Cambridge U.S. Dividend Fund CI U.S. Dividend Growth ON InvFund ------Fund; Castlerock U.S. Dividend Growth Fund; Hartford U.S. Dividend Growth Fund; Hartford U.S. Growth and Income Fund, The 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)

Cambridge U.S. Dividend Registered Fund ON InvFund ------

Cambridge U.S. Dividend US$ Fund ON InvFund ------

Cambridge Venture Ltd. -- Non- -- -- Yes/Oui 1986/07/12 InvFund

Cameco Corporation SK Non------InvFund

Campbell Resources Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e Yes/Oui 2010/02/23 InvFund

Camrova Resources Inc. Baja Mining Corp. BC Non------InvFund

Can-Gow Capital Inc. AB Non------InvFund

Can-Med Technology Inc. -- Non- -- -- Yes/Oui 1995/10/30 InvFund

Can-Tropic Explorations Limited -- Non- -- -- Yes/Oui 1979/05/04 InvFund

Canaccord Genuity Group Inc. Canaccord Financial Inc.; BC Non------Canaccord Capital Inc. InvFund

Canaccord Genuity Growth II Corp. ON Non------InvFund

Canacol Energy Ltd. AB Non------InvFund

Canada 3000 Inc. AB Non- Yes/Oui 1b Yes/Oui 2002/04/02 InvFund

Canada Carbon Inc. Bolero Resources Corp.; ON Non------United Bolero Development InvFund Corp.

Canada Costa Rica Mines Limited -- Non- -- -- Yes/Oui 1982/02/12 InvFund

Canada Energy Partners Inc. BC Non------InvFund

Canada Goose Holdings Inc. ON Non------InvFund

Canada House Wellness Group Inc. Abba Medix Group Inc.; ON Non------Saratoga Electronic InvFund Solutions Inc.

Canada Lease Financing Ltd. -- Non- -- -- Yes/Oui 1989/08/30 InvFund

Canada Life Advanced Folio Fund Advanced Folio Fund ON InvFund ------

Canada Life Aggressive Folio Fund Aggressive Folio Fund ON InvFund ------

Canada Life American Equity Fund (Beutel ON InvFund ------Goodman)

Canada Life Balanced Folio Fund Balanced Folio Fund ON InvFund ------

Canada Life Balanced Fund (Beutel ON InvFund ------Goodman)

Canada Life Canadian Balanced Fund ON InvFund ------

Canada Life Canadian Dividend Fund ON InvFund ------

Canada Life Canadian Dividend Fund ON InvFund ------(Laketon)

Canada Life Canadian Equity Fund (Beutel ON InvFund ------Goodman) 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)

Canada Life Canadian Equity Fund Canadian Equity Fund ON InvFund ------(Laketon) (Laketon); Canadian Diversified Equity Fund (London Capital); London Capital Canadian Diversified Equity Fund; LLIM Canadian Diversified Equity Fund

Canada Life Canadian Fixed Income ON InvFund ------Balanced Fund

Canada Life Canadian Focused Growth ON InvFund ------Fund

Canada Life Canadian Growth Fund Canadian Growth Fund ON InvFund ------(GWLIM) (GWLIM); GWLIM Canadian Growth Fund

Canada Life Canadian Low Volatility Fund ON InvFund ------(London Capital)

Canada Life Canadian Value Fund (FGP) ON InvFund ------

Canada Life Capital Trust ON Non------InvFund

Canada Life Conservative Folio Fund Conservative Folio Fund ON InvFund ------

Canada Life Core Bond Fund (Portico) Core Bond Fund (Portico); ON InvFund ------Canadian Bond Fund (Portico); London Capital Canadian Bond Fund; LLIM Canadian Bond Fund

Canada Life Core Plus Bond Fund (Portico) Core Plus Bond Fund ON InvFund ------(Portico); Fixed Income Fund (Portico); Quadrus Laketon Fixed Income Fund; Mackenzie MAXXUM Income Fund; Maxxum Income Fund; Prudential Income Fund of Canada

Canada Life Corporate Bond Fund (Portico) Corporate Bond Fund ON InvFund ------(Portico); GWLIM Corporate Bond Fund

Canada Life Diversified Fixed Income Folio Diversified Fixed Income ON InvFund ------Fund Folio Fund

Canada Life Dividend Fund (GWLIM) Dividend Fund (GWLIM); ON InvFund ------Canadian Dividend Fund (GWLIM); Canadian Dividend Fund (London Capital); London Capital Canadian Dividend Fund

Canada Life Equity/Bond Fund (GLC) ON InvFund ------

Canada Life Floating Rate Income Fund ON InvFund ------

Canada Life Foreign Equity Fund ON InvFund ------

Canada Life Global All Cap Equity Fund Global All Cap Equity Fund ON InvFund ------(Setanta) (Setanta)

Canada Life Global Balanced Fund ON InvFund ------

Canada Life Global Dividend Equity Fund Global Dividend Equity ON InvFund ------(Setanta) Fund (Setanta); Global Dividend Fund (Setanta)

Canada Life Global Fixed Income Balanced ON InvFund ------Fund (Brandywine) 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)

Canada Life Global Focused Growth ON InvFund ------Balanced Fund

Canada Life Global Founders Fund (Beutel ON InvFund ------Goodman)

Canada Life Global Growth Balanced Fund ON InvFund ------(T. Rowe Price)

Canada Life Global Growth Equity Fund (T. ON InvFund ------Rowe Price)

Canada Life Global Infrastructure Equity Global Infrastructure Equity ON InvFund ------Fund (London Capital) Fund (London Capital)

Canada Life Global Low Volatility Fund Global Low Volatility Fund ON InvFund ------(ILIM) (ILIM)

Canada Life Global Monthly Income Fund Global Monthly Income ON InvFund ------(London Capital) Fund (London Capital)

Canada Life Global Multi-Sector Bond Fund ON InvFund ------(T. Rowe Price)

Canada Life Global Real Estate Fund Global Real Estate Fund ON InvFund ------(London Capital) (London Capital); London Capital Global Real Estate Fund

Canada Life Global Small-Mid Cap Growth ON InvFund ------Fund

Canada Life Global Value Balanced Fund ON InvFund ------(Beutel Goodman)

Canada Life Growth and Income Fund Growth and Income Fund ON InvFund ------(GWLIM) (GWLIM)

Canada Life Income Fund (Portico) Income Fund (Portico); ON InvFund ------Income Plus Fund (London Capital); London Capital Income Plus Fund; LLIM Income Plus Fund

Canada Life International Core Equity Fund International Core Equity ON InvFund ------(JPMorgan) Fund (JPMorgan); International Core Equity Fund (Putnam); Quadrus International Equity Fund (Putnam)

Canada Life International Opportunity Fund ON InvFund ------(JPMorgan)

Canada Life Mid Cap Canada Fund Mid Cap Canada Fund ON InvFund ------(GWLIM) (GWLIM); North American Mid Cap Fund (GWLIM); GWLIM North American Mid Cap Fund; GWLIM Canadian Mid Cap Fund

Canada Life Moderate Folio Fund Moderate Folio Fund ON InvFund ------

Canada Life Money Market Fund Money Market Fund; ON InvFund ------Quadrus Money Market Fund; Quadrus Money Market Fund; Mackenzie MAXXUM Money Market Fund; Maxxum Money Market Fund; Prudential Money Market Fund of Canada 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) Canada Life Monthly Income Fund (London Monthly Income Fund ON InvFund ------Capital) (London Capital); London Capital Diversified Income Fund

Canada Life North American High Yield North American High Yield ON InvFund ------Bond Fund Bond Fund; North American High Yield Bond Fund (Putnam)

Canada Life North American Specialty Fund ON InvFund ------

Canada Life Pathways Canadian London Life Pathways ON InvFund ------Concentrated Equity Fund Canadian Concentrated Equity Fund

Canada Life Pathways Canadian Equity London Life Pathways ON InvFund ------Fund Canadian Equity Fund

Canada Life Pathways Core Bond Fund London Life Pathways Core ON InvFund ------Bond Fund

Canada Life Pathways Core Plus Bond London Life Pathways Core ON InvFund ------Fund Plus Bond Fund

Canada Life Pathways Emerging Markets London Life Pathways ON InvFund ------Equity Fund Emerging Markets Equity Fund

Canada Life Pathways Emerging Markets London Life Pathways ON InvFund ------Large Cap Equity Fund Emerging Markets Large Cap Equity Fund

Canada Life Pathways Global Core Plus London Life Pathways ON InvFund ------Bond Fund Global Core Plus Bond Fund

Canada Life Pathways Global Multi Sector London Life Pathways ON InvFund ------Bond Fund Global Multi Sector Bond Fund

Canada Life Pathways Global Tactical Fund London Life Pathways ON InvFund ------Global Tactical Fund

Canada Life Pathways International London Life Pathways ON InvFund ------Concentrated Equity Fund International Concentrated Equity Fund

Canada Life Pathways International Equity London Life Pathways ON InvFund ------Fund International Equity Fund

Canada Life Pathways Money Market Fund London Life Pathways ON InvFund ------Money Market Fund

Canada Life Pathways US Concentrated London Life Pathways U.S. ON InvFund ------Equity Fund Concentrated Equity Fund

Canada Life Pathways US Equity Fund London Life Pathways U.S. ON InvFund ------Equity Fund

Canada Life Risk-Managed Balanced ON InvFund ------Portfolio

Canada Life Risk-Managed Conservative ON InvFund ------Income Portfolio

Canada Life Risk-Managed Growth Portfolio ON InvFund ------

Canada Life Risk Reduction Pool ON InvFund ------

Canada Life Science & Technology Fund ON InvFund ------(London Capital)

Canada Life Short Term Bond Fund Short Term Bond Fund ON InvFund ------(Portico) (Portico)

Canada Life Strategic Income Fund ON 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)

Canada Life Tactical Bond Fund (Portico) ON InvFund ------

Canada Life Unconstrained Fixed Income ON InvFund ------Fund

Canada Life US All Cap Growth Fund ON InvFund ------

Canada Life US Dividend Fund (GWLIM) US Dividend Fund (GWLIM) ON InvFund ------

Canada Life US Equity Fund (London ON InvFund ------Capital)

Canada Life US Low Volatility Fund U.S. Low Volatility Fund ON InvFund ------(Putnam) (Putnam)

Canada Life US Mid Cap Opportunities ON InvFund ------Fund

Canada Life US Value Fund (Putnam) U.S. Value Fund (Putnam) ON InvFund ------

Canada Nickel Company Inc. ON Non------InvFund

Canada Renewable Bioenergy Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/08/11 InvFund

Canada Silver Cobalt Works Inc Canada Cobalt Works Inc.; BC Non------Castle Silver Resources InvFund Inc.; Takara Resources Inc.; Naples Capital Corp.

CanadaBis Capital Inc. AB Non------InvFund

Canadian-Addicks Mining Corporation -- Non- -- -- Yes/Oui 1973/10/09 InvFund

Canadian Agra Foods Inc. CIC Canola Industries ON Non- -- -- Yes/Oui 1999/09/08 Canada Inc. InvFund

Canadian Airlines Corporation AB Non- -- -- Yes/Oui 2001/07/10 InvFund

Canadian Apartment Properties Real Estate ON Non------Investment Trust InvFund

Canadian Aviation Express Airlines Inc. -- Non- -- -- Yes/Oui 1990/07/20 InvFund

Canadian Banc Corp. Canadian Banc Recovery ON InvFund ------Corp.; Prime Rate Plus Corp.

Canadian Blood Bank Corporation NF Non- -- -- Yes/Oui 1998/11/12 InvFund

Canadian Commercial Bank -- Non- -- -- Yes/Oui 1985/09/04 InvFund

Canadian Credit Card Trust II QC Non------InvFund

Canadian Data Limited Partnership BC Non- -- -- Yes/Oui 1983/07/04 InvFund

Canadian Diversified Resource Investment ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- -- Listed Liquidity Fund

Canadian Dollar Cash Management Fund AIM Canadian Dollar Cash ON InvFund ------Management Fund; AIM Trimark Canadian Dollar Cash Management Fund

Canadian Entertainment Investors No.2 and -- Non- -- -- Yes/Oui 1993/07/23 Company Limited Partnership InvFund

Canadian Equity Alpha Corporate Class ON 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)

Canadian Equity Alpha Pool ON InvFund ------

Canadian Equity Fund Primus Capital Advisors ON InvFund ------Canadian Equity Fund

Canadian Equity Growth Corporate Class ON InvFund ------

Canadian Equity Growth Pool Assante Canadian Equity ON InvFund ------Growth Pool; Optima Strategy Canadian Equity Growth Pool; Optima Strategy Canadian Growth Fund

Canadian Equity Small Cap Corporate ON InvFund ------Class

Canadian Equity Small Cap Pool Assante Canadian Equity ON InvFund ------Small Cap Pool; Optima Strategy Canadian Equity Small Cap Pool; Optima Strategy Canadian Small Cap Equity Fund

Canadian Equity Value Corporate Class ON InvFund ------

Canadian Equity Value Pool Assante Canadian Equity ON InvFund ------Value Pool; Optima Strategy Canadian Equity Value Pool; Optima Strategy Fund - Canadian Equity Section

Canadian Fixed Income Corporate Class ON InvFund ------

Canadian Fixed Income Fund Primus Capital Advisors ON InvFund ------Canadian Fixed Income Fund

Canadian Fixed Income Pool Assante Canadian Fixed ON InvFund ------Income Pool; Optima Strategy Canadian Fixed Income Pool; Optima Strategy Fund - Canadian Fixed Income Section

Canadian Food Products Limited -- Non- -- -- Yes/Oui 1981/06/24 InvFund

Canadian General Investments, Limited Canadian General ON InvFund ------Investments Limited

Canadian Goldcamps Corp. Supreme Metals Corp.; 4D BC Non------Virtual Space Ltd.; Alibaba InvFund Innovations Corp.

Canadian High Income Equity Fund ON InvFund ------

Canadian Imperial Bank of Commerce ON Non------InvFund

Canadian Imperial Venture Corp BC Non------InvFund

Canadian Investment Grade Preferred Canadian Investment ON InvFund ------Share Fund Grade Preferred Share Fund (P2L)

Canadian Life Companies Split Corp. ON InvFund ------

Canadian Manoir Industries Limited ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/08/10 InvFund

Canadian Metals Inc. QC Non------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) Canadian Mini-Warehouse Operations Ltd. -- Non------InvFund

Canadian National Railway Company QC Non------InvFund

Canadian Natural Resources Limited AB Non------InvFund

Canadian Neworth Resources Limited -- Non- -- -- Yes/Oui 1990/07/10 InvFund

Canadian Oil Debco Inc. AB Non------InvFund

Canadian Oil Recovery & Remediation C Level II International ON Non------Enterprises Ltd. Holding Inc. InvFund

Canadian Overseas Petroleum Limited Velo Energy Inc.; Aureus AB Non- Yes/Oui 1a, 1c, 1e, 3 -- -- Ventures Inc. InvFund

Canadian Pacific Air Lines, Limited AB Non------InvFund

Canadian Pacific Railway Company Canadian Pacific Limited AB Non------InvFund

Canadian Pacific Railway Limited AB Non------InvFund

Canadian Palladium Resources Inc. 21C Metals Inc.; Declan BC Non------Cobalt Inc.; Declan InvFund Resources Inc.

Canadian Premium Sand Inc. Claim Post Resources Inc. AB Non------InvFund

Canadian Quantum Energy Corporation AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/09/11 InvFund

Canadian Scholarship Trust Family Savings Canadian Scholarship ON InvFund ------Plan Trust Plan - Millennium Family Plan

Canadian Scholarship Trust Founders' Plan ON InvFund ------

Canadian Scholarship Trust Group Savings ON InvFund ------Plan

Canadian Scholarship Trust Individual Canadian Scholarship ON InvFund ------Savings Plan Trust Individual Savings Plan; Canadian Scholarship Trust Plan - Millennium Plan

Canadian Silver Hunter Inc. ON Non------InvFund

Canadian Small Company Equity Fund ON InvFund ------

Canadian Spirit Resources Inc. AB Non------InvFund

Canadian Spooner Industries Corporation ON Non- Yes/Oui 1b Yes/Oui 2003/05/26 InvFund

Canadian Spooner Resources Inc. -- Non- -- -- Yes/Oui 2003/11/20 InvFund

Canadian Tire Corporation, Limited ON Non------InvFund

Canadian Utilities Limited AB Non------InvFund

Canadian Utilities & Telecom Income Fund ON 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) Canadian Western Bank AB Non------InvFund

CanaFarma Hemp Products Corp. BC Non------InvFund

Canagold Resources Ltd. Canarc Resource Corp. BC Non------InvFund

Canalands Resources Corporation -- Non- -- -- Yes/Oui 1993/01/27 InvFund

CanAlaska Uranium Ltd. CanAlaska Ventures Ltd.; BC Non------International CanAlaska InvFund Resources Ltd.

Canamex Gold Corp. BC Non- -- -- Yes/Oui 2019/05/06 InvFund

Canaveral Number One Limited Partnership -- Non- -- -- Yes/Oui 1993/08/18 InvFund

CanBud Distribution Corp. ON Non------InvFund

Candelaria Mining Corp. Branco Resources Ltd. BC Non------InvFund

Candente Copper Corp. Candente Resource Corp. BC Non------InvFund

CANEX Metals Inc. Northern Abitibi Mining AB Non------Corp. InvFund

Canfibre Group Ltd., The -- Non- Yes/Oui 1b Yes/Oui 2003/06/04 InvFund

Canfor Corporation BC Non------InvFund

Canfor Pulp Products Inc. BC Non------InvFund

CaNickel Mining Limited Crowflight Minerals Inc. BC Non------InvFund

Canlan Ice Sports Corp. Canlan Investment BC Non------Corporation InvFund

Cann-Is Capital Corp. ON Non------InvFund

Canna 8 Investment Trust ON Non------InvFund

Cannabix Technologies Inc West Point Resources Inc. BC Non------InvFund

CannAmerica Brands Corp. BC Non------InvFund

CannaOne Technologies Inc. BC Non------InvFund

Cannara Biotech Inc. BC Non------InvFund

Canntab Therapeutics Limited Telferscot Resources Inc. ON Non------InvFund

CannTrust Holdings Inc. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2020/04/13 InvFund

Canoe Asset Allocation Class Canoe Canadian Asset AB InvFund ------Allocation Class; Canoe 'GO CANADA!' Canadian Asset Allocation Class 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)

Canoe Bond Advantage Class Canoe 'GO CANADA!' Bond AB InvFund ------Advantage Class

Canoe Bond Advantage Fund Canoe 'GO CANADA!' Bond AB InvFund ------Advantage Fund

Canoe Canadian Small Mid Cap Class AB InvFund ------

Canoe Credit Opportunities Class Canoe Strategic High Yield AB InvFund ------Class

Canoe Credit Opportunities Fund Canoe Strategic High Yield AB InvFund ------Fund

Canoe Defensive Global Balanced Fund AB InvFund ------

Canoe Defensive Global Equity Fund Fiera Capital Defensive AB InvFund ------Global Equity Fund

Canoe Defensive International Equity Fund Canoe International Equity AB InvFund ------Fund; Fiera Capital International Equity Fund

Canoe Defensive U.S. Equity Class Canoe U.S. Equity Income AB InvFund ------Class

Canoe EIT Income Fund Enervest Diversified Income AB InvFund ------Trust

Canoe Energy Class Canoe 'GO CANADA!' AB InvFund ------Canadian Energy Class

Canoe Energy Income Class Canoe 'GO CANADA!' AB InvFund ------Energy Income Class

Canoe Enhanced Income Class Canoe 'GO CANADA!' AB InvFund ------Enhanced Income Class

Canoe Enhanced Income Fund Canoe 'GO CANADA!' AB InvFund ------Enhanced Income Fund

Canoe Equity Class Canoe 'GO CANADA!' AB InvFund ------Canadian Equity Class

Canoe Global Equity Fund Fiera Capital Global Equity AB InvFund ------Fund; Fiera Sceptre Global Equity Fund; Sceptre Global Equity Fund; Sceptre International Fund

Canoe Global Income Class AB InvFund ------

Canoe Global Income Fund AB InvFund ------

Canoe Mining Ventures Corp. C Level III Inc. ON Non------InvFund

Canoe North American Monthly Income Canoe 'GO CANADA!' North AB InvFund ------Class American Monthly Income Class

Canoe Preferred Share Class AB InvFund ------

Canoe Premium Income Fund Canoe Canadian Dividend AB InvFund ------Fund; O'Leary Canadian Dividend Fund; O'Leary Canadian Equity Yield Fund

Canoe Trust Fund AB InvFund ------

Canopy Growth Corporation Tweed Marijuana Inc.; LW ON Non------Capital Pool Inc. InvFund

Canoro Resources Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/08/11 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) Canpac Investments Corp. BC Non------InvFund

Canpen Inc. -- Non- -- -- Yes/Oui 1988/08/12 InvFund

Canper Resources Inc. -- Non- -- -- Yes/Oui 1989/05/29 InvFund

Canquest Resource Corporation -- Non- -- -- Yes/Oui 2000/11/03 InvFund

Canron Inc. AB Non------InvFund

Canshore Exploration Limited -- Non- -- -- Yes/Oui 1998/06/08 InvFund

Canso Credit Income Fund ON InvFund ------

Canso Select Opportunities Corporation ON Non------InvFund

CANSORTIUM INC. ON Non------InvFund

Canstar Resources Inc. Candor Ventures Corp.; ON Non------IoGold Systems Canada InvFund Incorporated

Canstock Fund BC InvFund -- -- Yes/Oui 1986/09/11

Cantech Resources Limited -- Non- -- -- Yes/Oui 1975/07/22 InvFund

Canuc Resources Corporation Canuc Resources Inc. ON Non------InvFund

CanWel Building Materials Group Ltd. Canwel Holdings BC Non------Corporation InvFund

Canyon Creek Food Company Ltd. AB Non------InvFund

Cape Tel Limited Masmindo Mining ON Non- Yes/Oui 1a, 1b, 1d -- -- Corporation N.L.; Lone Star InvFund Exploration N.L.

Capella Minerals Limited New Dimension Resources BC Non------Ltd. InvFund

Capha Pharmaceuticals Inc. FPS PHARMA INC. BC Non------InvFund

Capital Desjardins Inc. QC Non------InvFund

Capital DGMC Inc. Capital Vtechlab Inc.; QC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2017/12/06 Capital Maniwaki inc. InvFund

Capital Diagnostic Corporation Veris Biotechnology ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2005/12/06 Corporation; International InvFund Biotechnology Corporation; Lignex Inc.; International Eagle Tool Inc.

Capital Dynamics Limited -- Non- -- -- Yes/Oui 1985/03/27 InvFund

Capital Group Canadian Core Plus Fixed Capital International - ON InvFund ------Income Fund (Canada) Canadian Core Plus Fixed Income

Capital Group Canadian Focused Equity Capital International - ON InvFund ------Fund (Canada) Growth and Income

Capital Group Capital Income Builder ON InvFund ------(Canada) 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)

Capital Group Emerging Markets Total Capital International - ON InvFund ------Opportunities Fund (Canada) Emerging Markets Total Opportunities

Capital Group Global Balanced Fund ON InvFund ------(Canada)

Capital Group Global Equity Fund (Canada) Capital International - ON InvFund ------Global Equity

Capital Group International Equity Fund Capital International - ON InvFund ------(Canada) International Equity

Capital Group Monthly Income Portfolio ON InvFund ------(Canada)

Capital Group U.S. Equity Fund (Canada) Capital International - U.S. ON InvFund ------Equity

Capital Group World Bond Fund (Canada) ON InvFund ------

Capital Income Fund ON InvFund -- -- Yes/Oui 1979/10/05

Capital Power Corporation AB Non------InvFund

Capitan Mining Inc. BC Non------InvFund

Capricorn Business Acquisitions Inc. ON Non------InvFund

Capstone Infrastructure Corporation Macquarie Power and ON Non------Infrastructure Corporation InvFund

Capstone Mining Corp. Capstone Gold Corp. BC Non------InvFund

Captain International Industries Ltd. -- Non- -- -- Yes/Oui 1974/09/04 InvFund

Captiva Verde Industries Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/08 InvFund

Captiva Verde Land Corp. BC Non------InvFund

Captor Capital Corp. NWT Uranium Corp.; ON Non------Northwestern Mineral InvFund Ventures Inc.

Caratax Diamond Exploration Limited -- Non- -- -- Yes/Oui 1994/06/03 Partnership - 1993 InvFund

Carbite Golf Inc. -- Non- Yes/Oui 1d Yes/Oui 2003/06/12 InvFund

Carbiz Inc. Carbiz.com Inc.; Data AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/06/11 Gathering Capital Corp. InvFund

Carbon Streaming Corporation Mexivada Mining Corp. BC Non------InvFund

Cardero Resource Corp. BC Non------InvFund

Cardinal Energy Ltd. AB Non------InvFund

Cardinal Factor Corporation Calderone Corporation; -- Non- Yes/Oui 1a, 1b, 4 Yes/Oui 2003/06/27 Canadian Financial InvFund Holdings Corporation; Century Circuits Ltd.

Cardinal Resources Limited ON Non------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) CardioComm Solutions, Inc. Harley Street Software Ltd. ON Non------InvFund

Cardiol Therapeutics Inc. ON Non------InvFund

CARDS II Trust ON Non------InvFund

Care Veterinary Pharmaceuticals Ltd. -- Non- -- -- Yes/Oui 1991/01/24 InvFund

Carebook Technologies Inc. PIKE MOUNTAIN QC Non------MINERALS INC. InvFund

CareRx Corporation Centric Health Corporation; ON Non------Alegro Health Corp. InvFund

Cargojet Inc. ON Non------InvFund

Caribbean Diversified Investments, Inc. BC Non- -- -- Yes/Oui 2014/01/13 InvFund

Caribbean Utilities Company, Ltd. Caribbean Utilities ON Non------Company, Ltd. InvFund

Caring Products International Inc. -- Non- -- -- Yes/Oui 2000/07/26 InvFund

Carl Data Solutions Inc. Carl Capital Corp. BC Non------InvFund

Carlson Mines Ltd. -- Non- -- -- Yes/Oui 1988/06/01 InvFund

Carlton Place Hotel Limited Partnership -- Non- -- -- Yes/Oui 1997/10/29 InvFund

Carlyle Commodities Corp. Delrey Metals Corp. BC Non------InvFund

Carlyle Entertainment Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

Carmanah Resources Ltd. -- Non- -- -- Yes/Oui 2001/01/24 InvFund

Carriage Lane Estates -- Non- -- -- Yes/Oui 1992/06/18 InvFund

Carriage Small Business Ventures -- Non- -- -- Yes/Oui 1986/06/23 Incorporated InvFund

Carrie Arran Resources Inc. ON Non------InvFund

Carrington Acquisition Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/12/03 InvFund

CARS and PARS Programme ON Non------InvFund

Cartaway Resources Corporation Cartaway Container ON Non- -- -- Yes/Oui 1999/04/06 Corporation InvFund

Cartier Iron Corporation Northfield Metals Inc.; ON Non------Northfield Inc.; Northfield InvFund Minerals Inc.

Carvern International Industries Ltd. -- Non- -- -- Yes/Oui 1986/10/28 InvFund

Cascada Silver Corp. ON Non------InvFund

Cascade Pacific Resources Ltd. -- Non- -- -- Yes/Oui 1984/06/22 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)

Cascadero Copper Corporation BC Non------InvFund

Cascades Inc. QC Non------InvFund

Cascadia Blockchain Group Corp. Cascadia Consumer BC Non------Electronics Corp. InvFund

Cash Management Pool Assante Cash Management ON InvFund ------Pool; Optima Strategy Cash Management Pool; Optima Strategy Fund - Cash Management Section

Cash Store Australia Holdings Inc., The AB Non- -- -- Yes/Oui 2012/12/12 InvFund

Cash Store Financial Services Inc., The Rentcash Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/06/06 InvFund

Caspian Oil Tools Limited AXcension Capital Corp.; -- Non- -- -- Yes/Oui 2001/03/14 Goldmint Explorations Ltd.; InvFund Edifice Explorations Ltd.; Weaver Lake Explorations Ltd.

Cassiar Gold Corp. Margaux Resources Ltd.; AB Non------Carmen Energy Inc. InvFund

Cassidy's Ltd. -- Non- -- -- Yes/Oui 2000/07/17 InvFund

Castlebar Capital Corp. BC Non------InvFund

CAT Strategic Metals Corporation Chimata Gold Corp. BC Non------InvFund

CatchMark Timber Trust, Inc. ON Non------InvFund

Caterpillar Financial Services Limited ON Non------InvFund

Cathay Forest Products Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/05/06 InvFund

Cathedral Energy Services Ltd. Cathedral Gold Corporation AB Non------InvFund

Cavalier Energy Limited -- Non- -- -- Yes/Oui 1992/07/10 InvFund

Caviar Resources Limited -- Non- -- -- Yes/Oui 1989/08/02 InvFund

CAVU Mining Corp. BC Non------InvFund

Cayenne Capital Corp. BC Non------InvFund

Cayenne Gold Mines Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/11/07 InvFund

CBD Global Sciences Inc. AB Non------InvFund

CBL Acquisition Corporation -- Non- -- -- Yes/Oui 1991/07/16 InvFund

CBLT Inc. Green Swan Capital Corp. ON Non------InvFund

CBM Asia Development Corp. Infinity Alliance Ventures BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/07/09 Inc. 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)

CCL Industries Inc. ON Non------InvFund

CC&L Alternative Canadian Equity Fund ON InvFund ------

CC&L Alternative Global Equity Fund ON InvFund ------

CC&L Alternative Income Fund ON InvFund ------

CC&L Core Income and Growth Fund ON InvFund ------

CC&L Diversified Income Portfolio CC&L Balanced Income ON InvFund ------Portfolio

CC&L Equity Income and Growth Fund ON InvFund ------

CC&L Global Alpha Fund ON InvFund ------

CC&L High Yield Bond Fund ON InvFund ------

CD Plus.com Ltd. Signature Brands Limited -- Non- Yes/Oui 1a, 1b Yes/Oui 2001/11/16 InvFund

CD Rom Network Corp. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2003/09/22 InvFund

CDA International Inc. ON Non- Yes/Oui 1a, 1d, 3 Yes/Oui 2004/11/23 InvFund

CDN Maverick Capital Corp. Caelan Capital Inc.; Alba BC Non------Minerals Ltd.; Acrex InvFund Ventures Ltd.

CDNET Canada Inc. York Bay Capital Group Inc.; -- Non- -- -- Yes/Oui 2001/05/25 York Bay Capital InvFund Corporation

CE Brands Inc. AB Non------InvFund

Ced-Or Corporation Espalau Mining Corporation QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/09/15 Inc. InvFund

Cedar Ridge Apartment Project -- Non- -- -- Yes/Oui 1989/07/27 InvFund

Celestica Inc. ON Non------InvFund

CellCube Energy Storage Systems Inc. Stina Resources Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/11/01 InvFund

Celtic Minerals Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/05/13 InvFund

Celtic Tiger Minerals Exploration Inc. NS Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/09/16 InvFund

CEMATRIX Corporation AB Non------InvFund

Cen-ta Real Estate Ltd. ON Non------InvFund

Cenex Limited -- Non- -- -- Yes/Oui 1980/06/27 InvFund

Cenovus Energy Inc. AB Non------InvFund

Centamin plc ON Non------InvFund

Centaurus Energy Inc. Madalena Energy Inc.; AB Non------Madalena Ventures Inc. InvFund

Centennial Place Apartment Project ON Non------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)

Centerra Gold Inc. ON Non------InvFund

CENTR Brands Corp. River Wild Exploration Inc. BC Non------InvFund

Central 1 Credit Union Credit Union Central of BC Non------British Columbia InvFund

Central Asia Goldfields Corporation -- Non- -- -- Yes/Oui 1999/06/25 InvFund

Central Industries Corporation Inc. Central Canada Foods QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/07/07 Corporation InvFund

Centre Street Limited Partnership -- Non- -- -- Yes/Oui 1995/06/02 InvFund

Centreview Properties Ltd. ON Non------InvFund

Century DJ Fund -- Non------InvFund

Century Global Commodities Corporation Century Iron Mines ON Non------Corporation; Red Rock InvFund Capital Corp.

Century Technologies Inc. Beauty Counselors -- Non------International Inc. InvFund

Cercal Minerals Corporation -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Ceres Acquisition Corp. ON Non------InvFund

Ceres Global Ag Corp. ON Non------InvFund

Ceridian HCM Holding Inc. ON Non------InvFund

Cerrado Gold Inc. Cerrado Gold Corp.; BB1 ON Non------Acquisition Corp. InvFund

CERRO DE PASCO RESOURCES INC. Genius Properties Ltd.; QC Non------Synergy Acquisition Corp. InvFund

Cerro Grande Mining Corporation South American Gold and ON Non------Copper Company Limited InvFund

Certive Solutions Inc. Certive Technologies Inc.; BC Non------VisualVault Corporation; InvFund Manuweb Software Systems Inc

Cervus Equipment Corporation Vasogen Inc. AB Non------InvFund

CES Energy Solutions Corp. Canadian Energy Services AB Non------& Technology Corp.; Nevaro InvFund Capital Corporation; VRB Power Systems Inc.; Vanteck (VRB) Technology Corp.; New Venoro Gold Corp.; Venoro Gold Corp.

Cessland Corporation Limited -- Non- -- -- Yes/Oui 1992/09/09 InvFund

Cevax Corporation -- Non- -- -- Yes/Oui 1991/03/07 InvFund

CF Energy Corp. Changfeng Energy Inc. ON Non------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)

CGF Fund 4000 ON InvFund -- -- Yes/Oui 1989/12/01

CGF Venture Fund ON InvFund -- -- Yes/Oui 1989/12/01

CGI Inc. CGI Group Inc.; CGI Group QC Non------Inc., The InvFund

CGI Mutualization Corporation -- Non- -- -- Yes/Oui 1993/07/15 InvFund

CGX Energy Inc. Northwest Explorations Inc. ON Non------InvFund

Chai Cha Na Mining Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/10/04 InvFund

Chalice Mining Limited Chalice Gold Mines Limited ON Non------InvFund

ChalkRidge Technolgies Inc. Boomer Financial Inc. BC Non------InvFund

Chambers Foods Limited -- Non- -- -- Yes/Oui 1976/08/12 InvFund

Champignon Brands Inc. BC Non- -- -- Yes/Oui 2020/10/27 InvFund

Champion Bear Resources Ltd. AB Non------InvFund

Champion Iron Limited ON Non------InvFund

Changeling, The -- Non- -- -- Yes/Oui 1986/09/19 InvFund

CHAR Technologies Ltd. Cleantech Capital Inc. ON Non------InvFund

Charity Genetic Advancement Limited -- Non- -- -- Yes/Oui 1992/06/18 Partnership InvFund

Charlotte's Web Holdings, Inc. ON Non------InvFund

Charlotte Resources Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/13 InvFund

Charter Industries Ltd. -- Non- -- -- Yes/Oui 1994/06/03 InvFund

Chartwell Mews -- Non- -- -- Yes/Oui 1986/09/15 InvFund

Chartwell Retirement Residences Chartwell Seniors Housing ON Non------Real Estate Investment InvFund Trust

Chase Resource Corporation -- Non- -- -- Yes/Oui 2001/08/31 InvFund

Chateau Janeville Apartment Project MB Non------InvFund

Chatham House Apartments Limited -- Non- -- -- Yes/Oui 1986/09/15 Partnership InvFund

Chauvco Resources International Ltd. -- Non- -- -- Yes/Oui 1999/06/30 InvFund

Cheetah Canyon Resources Corp. Cardiff Energy Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

Chemesis International Inc. BC Non------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) Chemistree Technology Inc. Whattozee Networks Inc.; BC Non------Bama Gold Corp. InvFund

Chemokine Therapeutics Corp. BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2009/04/13 InvFund

Chemtrade Logistics Income Fund ON Non------InvFund

Cherokee Resources Limited AB Non------InvFund

Chesswood Group Limited ON Non------InvFund

Chester Minerals Limited -- Non- -- -- Yes/Oui 1989/06/15 InvFund

Chetwynd Resources Inc. -- Non- -- -- Yes/Oui 1994/03/02 InvFund

Cheyenne Energy Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/05/21 InvFund

Chieftain Metals Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/02/03 InvFund

China AMC - IG China Equity Pool MB InvFund ------

China Diamond Corp. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/12/11 InvFund

China Education Resources Inc. China Education BC Non------Resources Inc.; China InvFund Ventures Inc.; Copper Mountain Mines Ltd.; International Skyline Gold Corporation

China Gold International Resources Corp. Jinshan Gold Mines Inc. BC Non------Ltd. InvFund

China Goldcorp Ltd. ON Non------InvFund

CHIP Mortgage Trust ON Non------InvFund

ChitrChatr Communications Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/12/02 InvFund

Chivor Emerald Corporation Ltd. New Bidlamaque -- Non- -- -- Yes/Oui 2000/06/15 Enterprises Inc.; New InvFund Bidlamaque Gold Mines Ltd.

Choice Consolidation Corp. ON Non------InvFund

Choice Properties Real Estate Investment ON Non------Trust InvFund

Choom Holdings Inc. Standard Graphite BC Non------Corporation; Orocan InvFund Resource Corp.

Chopp Computer Corporation -- Non- -- -- Yes/Oui 1987/10/09 InvFund

Chorus Aviation Inc. NS Non------InvFund

Chorus II 100 Equity Growth Portfolio QC InvFund ------

Chorus II Aggressive Growth Portfolio Chorus II Dynamic Growth QC InvFund ------Portfolio; Chorus II High Growth Portfolio 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)

Chorus II Balanced Low Volatility Portfolio Chorus II Balanced Growth QC InvFund ------Portfolio

Chorus II Conservative Low Volatility Chorus II Conservative QC InvFund ------Portfolio Portfolio; Chorus II Secure Market Portfolio

Chorus II Growth Portfolio QC InvFund ------

Chorus II Maximum Growth Portfolio QC InvFund ------

Chorus II Moderate Low Volatility Portfolio Chorus II Balanced Income QC InvFund ------Portfolio

Chou Asia Fund ON InvFund ------

Chou Associates Fund ON InvFund ------

Chou Bond Fund ON InvFund ------

Chou Europe Fund ON InvFund ------

Chou RRSP Fund ON InvFund ------

Christina Lake Cannabis Corp. BC Non------InvFund

Chukuni Resources Inc. -- Non- -- -- Yes/Oui 1987/05/28 InvFund

Churchill 10 Debenture Corp. BC Non------InvFund

Churchill 10 Real Estate Limited BC Non------Partnership InvFund

Churchill 11 Debenture Corp. BC Non------InvFund

Churchill 11 Real Estate Limited BC Non------Partnership InvFund

CI American Managers Corporate Class CI American Managers ON InvFund ------Sector Fund

CI American Small Companies Corporate CI American Small ON InvFund ------Class Companies Sector Fund; Signature American Small Companies Sector Fund

CI American Small Companies Fund Signature American Small ON InvFund ------Companies Fund; BPI American Small Companies Fund

CI American Value Corporate Class CI American Value Sector ON InvFund ------Fund

CI American Value Fund Spectrum American Equity ON InvFund ------Fund; Spectrum United American Equity Fund; United American Equity Fund Ltd.

CI Bitcoin Fund ON InvFund ------

CI Canadian Dividend Private Pool ON InvFund ------

CI Canadian Equity Private Pool ON InvFund ------

CI Canadian Fixed Income Private Pool ON InvFund ------

CI Canadian Investment Corporate Class CI Canadian Investment ON InvFund ------Sector Fund 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) CI Canadian Investment Fund Spectrum Canadian ON InvFund ------Investment Fund; Spectrum United Canadian Investment Fund; Canadian Investment Fund, Ltd.

CI Canadian Small/Mid Cap Fund Clarica Canadian Small/Mid ON InvFund ------Cap Fund; Clarica Premier Growth Fund; Mutual Premier Growth Fund

CI DoubleLine Core Plus Fixed Income US$ ON InvFund ------Fund

CI DoubleLine Income US$ Fund ON InvFund ------

CI DoubleLine Total Return Bond US$ Fund ON InvFund ------

CI Emerging Markets Bond Fund ON InvFund ------

CI Ethereum Fund ON InvFund ------

CI Financial Corp. ON Non------InvFund

CI First Asset 1-5 Year Laddered First Asset 1-5 Year ON InvFund ------Government Strip Bond Index ETF Laddered Government Strip Bond Index ETF; First Asset DEX 1-5 Year Laddered Government Strip Bond Index ETF

CI First Asset Active Canadian Dividend ETF First Asset Active Canadian ON InvFund ------Dividend ETF

CI First Asset Active Credit ETF First Asset Active Credit ETF ON InvFund ------

CI First Asset Active Utility & Infrastructure First Asset Active Utility & ON InvFund ------ETF Infrastructure ETF

CI First Asset Canadian Buyback Index ETF First Asset Canadian ON InvFund ------Buyback Index ETF

CI First Asset Canadian Convertible Bond First Asset Canadian ON InvFund ------ETF Convertible Bond ETF; Canadian Convertible Liquid Universe ETF

CI First Asset Canadian REIT ETF First Asset Canadian REIT ON InvFund ------ETF

CI First Asset CanBanc Income Class ETF First Asset CanBanc ON InvFund ------Income Class ETF; First Asset CanBanc Income ETF

CI First Asset Core Canadian Equity Income First Asset Core Canadian ON InvFund ------Class ETF Equity Income Class ETF

CI First Asset Energy Giants Covered Call First Asset Energy Giants ON InvFund ------ETF Covered Call ETF

CI First Asset Enhanced Government Bond First Asset Enhanced ON InvFund ------ETF Government Bond ETF

CI First Asset Enhanced Short Duration CI First Asset Enhanced ON InvFund ------Bond Fund Short Duration Bond ETF; First Asset Enhanced Short Duration Bond ETF

CI First Asset European Bank ETF First Asset European Bank ON InvFund ------ETF; First Asset Hamilton Capital European Bank ETF

CI First Asset Global Financial Sector ETF First Asset Global Financial ON InvFund ------Sector ETF 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)

CI First Asset Gold+ Giants Covered Call CI First Asset Can-Materials ON InvFund ------ETF Covered Call ETF; First Asset Can-Materials Covered Call ETF; Can-Materials Covered Call ETF; Can-Materials Income ETF

CI First Asset Health Care Giants Covered First Asset Health Care ON InvFund ------Call ETF Giants Covered Call ETF

CI First Asset High Interest Savings ETF CI High Interest Savings ON InvFund ------Fund; CI First Asset High Interest Savings ETF

CI First Asset Investment Grade Bond ETF First Asset Investment ON InvFund ------Grade Bond ETF

CI First Asset Long Duration Fixed Income First Asset Long Duration ON InvFund ------ETF Fixed Income ETF

CI First Asset Morningstar Canada Dividend First Asset Morningstar ON InvFund ------Target 30 Index ETF Canada Dividend Target 30 Index ETF; XTF Morningstar Canada Dividend Target 30 Index ETF

CI First Asset Morningstar Canada First Asset Morningstar ON InvFund ------Momentum Index ETF Canada Momentum Index ETF; XTF Morningstar Canada Momentum Index ETF

CI First Asset Morningstar Canada Value First Asset Morningstar ON InvFund ------Index ETF Canada Value Index ETF; XTF Morningstar Canada Value Index ETF

CI First Asset Morningstar International First Asset Morningstar ON InvFund ------Momentum Index ETF International Momentum Index ETF

CI First Asset Morningstar International First Asset Morningstar ON InvFund ------Value Index ETF International Value Index ETF

CI First Asset Morningstar National Bank First Asset Morningstar ON InvFund ------Québec Index ETF National Bank Québec Index ETF; XTF Morningstar National Bank Québec Index ETF

CI First Asset Morningstar US Dividend First Asset Morningstar US ON InvFund ------Target 50 Index ETF Dividend Target 50 Index ETF; XTF Morningstar US Dividend Target 50 Index ETF

CI First Asset Morningstar US Momentum First Asset Morningstar US ON InvFund ------Index ETF Momentum Index ETF

CI First Asset Morningstar US Value Index First Asset Morningstar US ON InvFund ------ETF Value Index ETF

CI First Asset MSCI Canada Low Risk First Asset MSCI Canada ON InvFund ------Weighted ETF Low Risk Weighted ETF

CI First Asset MSCI Canada Quality Index First Asset MSCI Canada ON InvFund ------Class ETF Quality Index Class ETF

CI First Asset MSCI Europe Low Risk First Asset MSCI Europe ON InvFund ------Weighted ETF Low Risk Weighted ETF 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) CI First Asset MSCI International Low Risk First Asset MSCI ON InvFund ------Weighted ETF International Low Risk Weighted ETF

CI First Asset MSCI USA Low Risk Weighted First Asset MSCI USA Low ON InvFund ------ETF Risk Weighted ETF

CI First Asset MSCI World ESG Impact ETF ON InvFund ------

CI First Asset MSCI World Low Risk First Asset MSCI World Low ON InvFund ------Weighted ETF Risk Weighted ETF

CI First Asset Preferred Share ETF First Asset Preferred Share ON InvFund ------ETF

CI First Asset Short Term Government Bond First Asset Short Term ON InvFund ------Index Class ETF Government Bond Index Class ETF

CI First Asset Tech Giants Covered Call ETF First Asset Tech Giants ON InvFund ------Covered Call ETF; Tech Giants Covered Call ETF

CI First Asset U.S. Buyback Index ETF First Asset U.S. Buyback ON InvFund ------Index ETF

CI First Asset U.S. TrendLeaders Index ETF First Asset U.S. ON InvFund ------TrendLeaders Index ETF

CI First Asset U.S. & Canada Lifeco Income First Asset U.S. & Canada ON InvFund ------ETF Lifeco Income ETF

CI G5|20 2038 Q3 Fund ON InvFund ------

CI G5|20 2038 Q4 Fund ON InvFund ------

CI G5|20 2039 Q2 Fund ON InvFund ------

CI G5|20 2039 Q3 Fund ON InvFund ------

CI G5|20 2040 Q1 Fund ON InvFund ------

CI G5|20i 2035 Q1 Fund ON InvFund ------

CI G5|20i 2035 Q2 Fund ON InvFund ------

CI G5|20i 2036 Q1 Fund ON InvFund ------

CI G5|20i 2036 Q2 Fund ON InvFund ------

CI G5|20i 2040 Q4 Fund ON InvFund ------

CI Galaxy Bitcoin ETF ON InvFund ------

CI Galaxy Bitcoin Fund ON InvFund ------

CI Global Asset Allocation Private Pool ON InvFund ------

CI Global Balanced Yield Private Pool ON InvFund ------

CI Global Concentrated Equity Private Pool ON InvFund ------

CI Global Enhanced Government Bond ON InvFund ------Private Pool

CI Global Equity Alpha Private Pool ON InvFund ------

CI Global Equity Core Private Pool ON InvFund ------

CI Global Equity Momentum Private Pool ON InvFund ------

CI Global Health Sciences Corporate Class CI Global Health Sciences ON InvFund ------Sector Fund

CI Global High Dividend Advantage ON InvFund ------Corporate Class

CI Global High Dividend Advantage Fund Global High Dividend ON InvFund ------Advantage Fund 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)

CI Global High Yield Credit Private Pool ON InvFund ------

CI Global Infrastructure Private Pool ON InvFund ------

CI Global Investment Grade Credit Private ON InvFund ------Pool

CI Global Longevity Economy Fund ON InvFund ------

CI Global Real Asset Private Pool ON InvFund ------

CI Global REIT Private Pool ON InvFund ------

CI Global Smaller Companies Private Pool ON InvFund ------

CI Global Stock Selection Fund Harbour Global Analyst ON InvFund ------Fund

CI Global Unconstrained Bond Private Pool ON InvFund ------

CI Global Value Balanced Fund (fomrerly Sentry Global Monthly ON InvFund ------Sentry Global Monthly Income Fund) Income Fund; Sentry Global Balanced Income Fund

CI Global Value Corporate Class CI Global Value Sector ON InvFund ------Fund

CI Global Value Fund Hansberger Value Fund ON InvFund ------

CI Gold Bullion Fund ON InvFund ------

CI ICBCCS S&P China 500 Index ETF WisdomTree ICBCCS S&P ON InvFund ------China 500 Index ETF

CI Income Fund CI Income Advantage Fund; ON InvFund ------Select Income Advantage Managed Fund

CI International Equity Alpha Private Pool ON InvFund ------

CI International Equity Growth Private Pool ON InvFund ------

CI International Equity Value Private Pool ON InvFund ------

CI International Value Corporate Class CI International Value ON InvFund ------Sector Fund

CI International Value Fund Hansberger International ON InvFund ------Fund

CI Investment Grade Bond Fund ON InvFund ------

CI Lawrence Park Alternative Investment Lawrence Park Alternative ON InvFund ------Grade Credit Fund Investment Grade Credit Fund

CI Marret Alternative Absolute Return Bond Marret Alternative Absolute ON InvFund ------Fund Return Bond Fund

CI Marret Alternative Enhanced Yield Fund ON InvFund ------

CI Money Market Class Sentry Money Market Class; ON InvFund ------Sentry Select Money Market Class

CI Money Market Fund ON InvFund ------

CI Mosaic Balanced ETF Portfolio ON InvFund ------

CI Mosaic Balanced Growth ETF Portfolio ON InvFund ------

CI Mosaic Balanced Income ETF Portfolio ON InvFund ------

CI Mosaic Growth ETF Portfolio ON InvFund ------

CI Mosaic Income ETF Portfolio ON InvFund ------

CI MSCI World ESG Impact Fund ON 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)

CI Munro Alternative Global Growth Fund Munro Alternative Global ON InvFund ------Growth Fund

CI Munro Global Growth Equity Fund Munro Global Growth Equity ON InvFund ------Fund

CI North American Dividend Fund Sentry Growth and Income ON InvFund ------Fund; Sentry Select Growth & Income Fund

CI North American Small/Mid Cap Equity ON InvFund ------Private Pool

CI ONE Global Equity ETF ONE Global Equity ETF; ON InvFund ------Questrade Global Total Equity ETF

CI ONE North American Core Plus Bond ONE North American Core ON InvFund ------ETF Plus Bond ETF

CI Short-Term Corporate Class CI Short-Term Sector fund ON InvFund ------

CI Short-Term US$ Corporate Class CI Short-Term US$ Sector ON InvFund ------Fund

CI US Money Market Fund ON InvFund ------

CI U.S. Equity Private Pool ON InvFund ------

CI U.S. Income US$ Pool ON InvFund ------

CI WisdomTree Canada Quality Dividend WisdomTree Canada ON InvFund ------Growth Index ETF Quality Dividend Growth Index ETF

CI WisdomTree Emerging Markets Dividend WisdomTree Emerging ON InvFund ------Index ETF Markets Dividend Index ETF

CI WisdomTree Europe Hedged Equity WisdomTree Europe ON InvFund ------Index ETF Hedged Equity Index ETF

CI WisdomTree International Quality WisdomTree International ON InvFund ------Dividend Growth Index ETF Quality Dividend Growth Index ETF

CI WisdomTree International Quality WisdomTree International ON InvFund ------Dividend Growth Variably Hedged Index ETF Quality Dividend Growth Variably Hedged Index ETF; WisdomTree International Quality Dividend Growth Dynamic Hedged Index ETF

CI WisdomTree Japan Equity Index ETF WisdomTree Japan Equity ON InvFund ------Index ETF

CI WisdomTree U.S. MidCap Dividend Index WisdomTree U.S. MidCap ON InvFund ------ETF Dividend Index ETF

CI WisdomTree U.S. Quality Dividend WisdomTree U.S. Quality ON InvFund ------Growth Index ETF Dividend Growth Index ETF

CI WisdomTree U.S. Quality Dividend WisdomTree U.S. Quality ON InvFund ------Growth Variably Hedged Index ETF Dividend Growth Variably Hedged Index ETF; WisdomTree U.S. Quality Dividend Growth Dynamic Hedged Index ETF

CI Yield Enhanced Canada Aggregate Bond WisdomTree Yield ON InvFund ------Index ETF Enhanced Canada Aggregate Bond Index ETF

CI Yield Enhanced Canada Short-Term WisdomTree Yield ON InvFund ------Aggregate Bond Index ETF Enhanced Canada Short-Term Aggregate Bond Index ETF 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)

CIBC Active Investment Grade Corporate ON InvFund ------Bond ETF

CIBC Active Investment Grade Floating Rate ON InvFund ------Bond ETF

CIBC Asia Pacific Fund CIBC Far East Prosperity ON InvFund ------Fund

CIBC Asia Pacific Index Fund ON InvFund ------

CIBC Balanced Fund CIBC Balanced Income and ON InvFund ------Growth Fund

CIBC Balanced Growth Passive Portfolio ON InvFund ------

CIBC Balanced Index Fund 5-Year Protected Balanced ON InvFund ------Index Fund

CIBC Balanced Passive Portfolio ON InvFund ------

CIBC Canadian Bond Fund ON InvFund ------

CIBC Canadian Bond Index ETF ON InvFund ------

CIBC Canadian Bond Index Fund ON InvFund ------

CIBC Canadian Equity Fund CIBC Core Canadian Equity ON InvFund ------Fund; CIBC Canadian Equity Fund

CIBC Canadian Equity Index ETF ON InvFund ------

CIBC Canadian Equity Value Fund Canadian Imperial Equity ON InvFund ------Fund; CIBC Core Canadian Equity Fund

CIBC Canadian Index Fund ON InvFund ------

CIBC Canadian Real Estate Fund ON InvFund ------

CIBC Canadian Resources Fund ON InvFund ------

CIBC Canadian Short-Term Bond Index CIBC Canadian Short-Term ON InvFund ------Fund Bond Fund

CIBC Canadian Small-Cap Fund CIBC Capital Appreciation ON InvFund ------Fund

CIBC Canadian T-Bill Fund CIBC Premium Canadian ON InvFund ------T-Bill Fund

CIBC Capital Trust ON Non------InvFund

CIBC Conservative Fixed Income Pool ON InvFund ------

CIBC Conservative Passive Portfolio ON InvFund ------

CIBC Core Fixed Income Pool ON InvFund ------

CIBC Core Plus Fixed Income Pool ON InvFund ------

CIBC Dividend Growth Fund CIBC Dividend Fund; CIBC ON InvFund ------Equity Income Fund

CIBC Dividend Income Fund CIBC Diversified Income ON InvFund ------Fund

CIBC Emerging Market Equity Index ETF ON InvFund ------

CIBC Emerging Markets Fund CIBC Emerging Economies ON InvFund ------Fund

CIBC Emerging Markets Index Fund ON InvFund ------

CIBC Energy Fund ON InvFund ------

CIBC European Equity Fund ON 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)

CIBC European Index Fund ON InvFund ------

CIBC Financial Companies Fund ON InvFund ------

CIBC Flexible Yield ETF (CAD-Hedged) ON InvFund ------

CIBC Global Bond ex-Canada Index ETF ON InvFund ------(CAD-Hedged)

CIBC Global Bond Fund ON InvFund ------

CIBC Global Bond Index Fund ON InvFund ------

CIBC Global Equity Fund ON InvFund ------

CIBC Global Growth ETF ON InvFund ------

CIBC Global Monthly Income Fund ON InvFund ------

CIBC Global Technology Fund ON InvFund ------

CIBC International Equity ETF ON InvFund ------

CIBC International Equity Fund CIBC Disciplined ON InvFund ------International Equity Fund

CIBC International Equity Index ETF ON InvFund ------

CIBC International Index Fund ON InvFund ------

CIBC International Small Companies Fund ON InvFund ------

CIBC Managed Aggressive Growth Portfolio CIBC Managed Aggressive ON InvFund ------Growth RRSP Portfolio

CIBC Managed Balanced Growth Portfolio CIBC Managed Balanced ON InvFund ------Growth RRSP Portfolio

CIBC Managed Balanced Portfolio ON InvFund ------

CIBC Managed Growth Portfolio CIBC Managed Growth ON InvFund ------RRSP Portfolio

CIBC Managed Income Plus Portfolio ON InvFund ------

CIBC Managed Income Portfolio ON InvFund ------

CIBC Managed Monthly Income Balanced ON InvFund ------Portfolio

CIBC Money Market Fund ON InvFund ------

CIBC Monthly Income Fund ON InvFund ------

CIBC Multi-Asset Absolute Return Strategy ON InvFund ------

CIBC Multifactor Canadian Equity ETF ON InvFund ------

CIBC Multifactor U.S. Equity ETF ON InvFund ------

CIBC Nasdaq Index Fund ON InvFund ------

CIBC Precious Metals Fund ON InvFund ------

CIBC Short-Term Income Fund CIBC Mortgage and ON InvFund ------Short-Term Income Fund; CIBC Mortgage Fund; CIBC Mortgage Investment Fund

CIBC Smart Balanced Growth Solution ON InvFund ------

CIBC Smart Balanced Income Solution ON InvFund ------

CIBC Smart Balanced Solution ON InvFund ------

CIBC Smart Growth Solution ON InvFund ------

CIBC Smart Income Solution ON 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) CIBC U.S. Broad Market Index Fund CIBC U.S. Equity Index ON InvFund ------Fund; CIBC U.S. Equity Fund

CIBC U.S. Dollar Managed Balanced ON InvFund ------Portfolio

CIBC U.S. Dollar Managed Growth Portfolio ON InvFund ------

CIBC U.S. Dollar Managed Income Portfolio ON InvFund ------

CIBC U.S. Dollar Money Market Fund ON InvFund ------

CIBC U.S. Equity Fund CIBC Disciplined U.S. ON InvFund ------Equity Fund

CIBC U.S. Equity Index ETF ON InvFund ------

CIBC U.S. Index Fund CIBC U.S. Index RRSP ON InvFund ------Fund

CIBC U.S. Small Companies Fund CIBC U.S. Opportunities ON InvFund ------Fund

CIBT Education Group Inc. BC Non------InvFund

CIC Capital Fund Ltd. CIC Capital Ltd. (formerly BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2011/06/13 CIC Mining Resources InvFund 1e, 3 Ltd.); CIC Mining Resources Ltd.; Providence Diamond Corp.

CIC Mining Corporation SK Non------InvFund

Cielo Waste Solutions Corp. Cielo Gold Corp. BC Non------InvFund

CIM International Group Inc. Golden Bridge ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2020/06/22 Development Corporation; InvFund Golden Bridge Mining Corporation; Greater China Capital Inc.

Cimatec Environmental Engineering Inc. ON Non- Yes/Oui 1b, 1c, 1e, 2a, 2c Yes/Oui 2007/12/04 InvFund

Cinaport Acquisition Corp. III ON Non------InvFund

Cincinnati Energy Corp. -- Non- -- -- Yes/Oui 1984/12/14 InvFund

Cinemars Entertainment Investments Ltd. -- Non- -- -- Yes/Oui 1990/10/29 InvFund

Cinemars II Film and Company Limited -- Non- -- -- Yes/Oui 1990/10/29 Partnership InvFund

Cineplex Inc. ON Non------InvFund

Cinequity Corporation -- Non- -- -- Yes/Oui 1984/01/04 InvFund

Cinram International Limited Partnership ON Non- Yes/Oui 1c, 1e Yes/Oui 2013/03/06 InvFund

Cintech Solutions, Inc. Cintech Tele-Management ON Non- -- -- Yes/Oui 2003/07/18 Systems, Inc. InvFund

Cipher Pharmaceuticals Inc. ON Non------InvFund

Circa Enterprises Inc. AB Non------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)

Circle of Two -- Non- -- -- Yes/Oui 1982/09/10 InvFund

Circus Tivoli -- Non- -- -- Yes/Oui 1985/08/28 InvFund

CIS Commax Hedge Fund ON InvFund -- -- Yes/Oui 1995/10/03

CIS Global Telcommunications Fund ON InvFund -- -- Yes/Oui 1995/10/03

Citadel Income Fund Crown Hill Fund; MACCs ON InvFund ------Sustainable Yield Trust

Citigroup Inc. Travelers Group Inc.; ON Non------Travelers Inc., The InvFund

Citrine Holdings Limited BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/03/13 InvFund

City View Green Holdings Inc. ICON Exploration Inc.; ON Non------Samaranta Mining InvFund Corporation

CJL Capital Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/09 InvFund

Clairvest Group Inc. ON Non------InvFund

Claremont Industries Inc. -- Non- -- -- Yes/Oui 1989/08/15 InvFund

Clarendon Apartments (1963) Limited -- Non- -- -- Yes/Oui 1994/06/01 InvFund

Clarepine Industries Inc. -- Non- -- -- Yes/Oui 1990/06/19 InvFund

Clareview Gardens Apartment Project -- Non- -- -- Yes/Oui 1989/01/04 InvFund

Clarion Resources Ltd. Clarion Environmental -- Non- -- -- Yes/Oui 2001/03/09 Technologies, Inc. InvFund

Clarity Gold Corp. BC Non------InvFund

Clarke Inc. NS Non------InvFund

Clarocity Corporation Zaio Corporation AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

Class 1 Nickel and Technologies Limited Lakefield Marketing ON Non------Corporation; Lakefield InvFund Minerals Ltd.

Claudio's Restaurant Group Inc. -- Non- -- -- Yes/Oui 1999/06/25 InvFund

Claymore Alternative Energy/Eco ETF ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

Claymore Canadian Balanced CorePortfolio Claymore Global All Equity ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- -- ETF ETF; Claymore Global Balanced ETF

Clean Air Metals Inc. Regency Gold Corp.; Silvio ON Non------Ventures Inc.; PanGeo InvFund Pharma Inc.; Pharmex Industries Inc.

Clean Harbors, Inc. AB Non------InvFund

Clean Power Capital Corp. Organic Flower Investments BC Non------Group Inc. 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) Clean Seed Capital Group Ltd. BC Non------InvFund

Clean TeQ Holdings Limited ON Non------InvFund

Cleanfield Alternative Energy Inc. Strike Resources Ltd. ON Non- Yes/Oui 1c, 1e Yes/Oui 2013/05/03 InvFund

CleanSoils Limited -- Non- -- -- Yes/Oui 1998/06/16 InvFund

Clearford Water Systems Inc. Clearford Industries Inc.; ON Non------Innovative Water & Sewer InvFund Systems Inc.; Red Oak Trail Corp.

ClearStream Energy Services Inc. Tuckamore Capital AB Non------Management Inc.; Newport InvFund Inc.

Clearwater Technologies, Inc. -- Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2003/08/27 InvFund

Cleghorn Minerals Ltd. QC Non------InvFund

Cliffmont Resources Ltd. Atlas Minerals Inc.; Cumbre BC Non------Ventures Inc. InvFund

Cliffside Capital Ltd. ON Non------InvFund

Clipper Apartment Project MB Non------InvFund

CLN Ventures Inc. Nickeldale Resources Inc. -- Non- Yes/Oui 1a, 1b, 3 Yes/Oui 2003/08/27 InvFund

Cloud Nine Web3 Technologies Inc. LIMITLESS BLOCKCHAIN BC Non------TECHNOLOGIES INC.; InvFund Cloud Nine Education Group Ltd.

CloudMD Software & Services Inc. Premier Health Group Inc. BC Non------InvFund

CLS Holdings USA, Inc. ON Non------InvFund

Cluny Capital Corp. ON Non------InvFund

CME Capital Inc. -- Non- -- -- Yes/Oui 1995/08/20 InvFund

CMP 2020 Resource Limited Partnership ON InvFund ------

CMP 2021 Resource Limited Partnership ON InvFund ------

CMX Gold & Silver Corp. Liard Resources Ltd.; AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/22 Encee Group Ltd. InvFund

CNH Capital Canada Receivables Trust ON Non------InvFund

CNH Capital Canada Wholesale Trust ON Non------InvFund

CNOOC Limited AB Non------InvFund

Co-operators General Insurance Company ON Non------InvFund

CO2 GRO Inc. Blueocean Nutrasciences ON Non------Inc.; Solutions4CO2 Inc. 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)

CO2 Solutions Inc. CO2 Solution Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 -- -- InvFund

Coastal Plain Resources Ltd. -- Non- -- -- Yes/Oui 2001/07/10 InvFund

Cobalt Blockchain Inc. Peat Resources Limited ON Non------InvFund

Cobalt Provincial Mining Company Limited -- Non- -- -- Yes/Oui 1988/06/15 InvFund

Cobatec Inc. Ego Resources Limited -- Non- -- -- Yes/Oui 1999/06/25 InvFund

Cobrun Mining Corporation -- Non- Yes/Oui 1a Yes/Oui 2002/03/25 InvFund

Cockfield Brown Inc. -- Non- -- -- Yes/Oui 1983/06/28 InvFund

Codebase Ventures Inc. 360 Blockchain Inc.; 360 BC Non------Capital Financial Services InvFund Group Inc.

Coeur Mining, Inc. Coeur d'Alene Mines ON Non------Corporation InvFund

Cogeco Communications Inc. Cogeco Cable Inc. QC Non------InvFund

Cogeco Inc. QC Non------InvFund

Cogent Capital Corp. Cree Lake Resources -- Non- Yes/Oui 1a Yes/Oui 2002/09/24 Corp. InvFund

Cogient Corp. Tellerian Capital Corp.; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/08/10 Concho Resources & InvFund Energy Inc.

Cognetivity Neurosciences Ltd. BC Non------InvFund

CohBar, Inc. BC Non------InvFund

COIN HODL INC. Malbex Resources Inc.; ON Non------Malbex Resources Ltd.; InvFund Arapaho Capital Corp.

Colabor Group Inc. Conjuchem QC Non------Biotechnologies Inc. InvFund

Colborne Centre I Limited Partnership -- Non- -- -- Yes/Oui 1989/10/02 InvFund

Cold Creek Capital Inc. AB Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2009/05/11 InvFund

Colibri Resource Corporation NB Non------InvFund

Colliers International Group Inc. FirstService Corporation; ON Non------Firstservice Corporation InvFund

Collingwood Resources Corp. BC Non------InvFund

Colonial Coal International Corp. Ananda Capital Corp. BC Non------InvFund

Colorado Resources Ltd. BC Non------InvFund

Colossus Minerals Inc. ON Non- Yes/Oui 1b, 1c, 1d, 1e, 3 Yes/Oui 2014/04/29 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)

Colours International Inc. -- Non- -- -- Yes/Oui 1988/07/20 InvFund

Colson Capital Corp. AB Non------InvFund

Colt Resources Inc. Colt Capital Corp. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/08 InvFund

Columbia Care Inc. Canaccord Genuity Growth ON Non------Corp. InvFund

Comet Explorations Inc. -- Non- -- -- Yes/Oui 1991/01/24 InvFund

Cominar Real Estate Investment Trust QC Non------InvFund

Commerce Resources Corp. BC Non------InvFund

Commercial Consolidators Corp. Balmoral Capital Corp. -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2003/08/01 InvFund

Commercial Oil and Gas Ltd. -- Non- -- -- Yes/Oui 1990/07/10 InvFund

Communicorp Corporation Great Lakes Minerals Inc. -- Non- Yes/Oui 1b, 3 Yes/Oui 2003/12/05 InvFund

Compass Balanced Growth Portfolio AB InvFund ------

Compass Balanced Portfolio AB InvFund ------

Compass Conservative Balanced Portfolio AB InvFund ------

Compass Conservative Portfolio AB InvFund ------

Compass Gold Corporation ON Non------InvFund

Compass Growth Portfolio AB InvFund ------

Compass Maximum Growth Portfolio AB InvFund ------

Compel Capital Inc. Slocan-Rambler Mines ON Non------(1947) Limited InvFund

Composite Alliance Group Inc. CanAsia Financial Inc.; AB Non------CanAsia Financial Inc. InvFund

Compressario Corporation First Canadian Gold -- Non- Yes/Oui 1b Yes/Oui 2003/05/22 Corporation Inc. InvFund

Computer Modelling Group Ltd. AB Non------InvFund

Comstock Metals Ltd. Tectonic Minerals BC Non------Corporation; Tectonic InvFund Capital Corp.

Comterm Inc. -- Non- -- -- Yes/Oui 1991/01/16 InvFund

Concert Industries Ltd. QC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/08/16 InvFund 1e, 3

Concord Capital Corp. -- Non- -- -- Yes/Oui 1991/12/19 InvFund

Condor Gold Corp. Ripped Canada Artists Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/04/06 Findore Gold Resources InvFund Ltd.

Condor Gold plc ON Non------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) Condor Petroleum Inc. AB Non------InvFund

Condor Resources Inc. BC Non------InvFund

Confederation Life Insurance Company -- Non- -- -- Yes/Oui 1994/09/08 InvFund

Conifex Timber Inc. BC Non------InvFund

ConjuChem Biotechnologies Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2010/10/04 InvFund

Connor, Clark & Lunn 2008 Flow-Through ON InvFund Yes/Oui 1a, 1b, 1c, 3 -- -- Limited Partnership

Connor, Clark & Lunn 2009 Flow-Through ON InvFund Yes/Oui 1a, 1c, 3 -- -- Limited Partnership

Connor, Clark & Lunn 2010 Flow-Through ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- -- Limited Partnership

Conpak Seafoods Inc. -- Non- -- -- Yes/Oui 1998/02/24 InvFund

Conquest Resources Limited Conquest Yellowknife ON Non------Resources Ltd. InvFund

Conservative Fund ON InvFund ------

Conservative Income Portfolio ON InvFund ------

Conservative Monthly Income Fund ON InvFund ------

Consolidated Canorama Explorations Ltd. -- Non- -- -- Yes/Oui 1975/04/11 InvFund

Consolidated Care Point Medical Centres BC Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2004/10/18 Ltd. InvFund

Consolidated Firstfund Capital Corp. BC Non------InvFund

Consolidated HCI Holdings Corporation ON Non------InvFund

Consolidated Imperial Resources Inc. -- Non- -- -- Yes/Oui 1992/11/25 InvFund

Consolidated Louanna Gold Mines Limited -- Non- -- -- Yes/Oui 1991/10/22 InvFund

Consolidated NRD Resources Ltd. -- Non- -- -- Yes/Oui 1998/06/08 InvFund

Consolidated Oil & Gas, Inc. -- Non- -- -- Yes/Oui 1989/04/27 InvFund

Consolidated Tanager Limited ON Non------InvFund

Constantine Metal Resources Ltd. BC Non------InvFund

Constellation Copper Corporation Summo Minerals ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/01/06 Corporation InvFund

Constellation Software Inc. ON Non------InvFund

Contact Gold Corp. BC Non------InvFund

Continental Coach Ltd. -- Non- -- -- Yes/Oui 1989/11/30 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) Continental Home Healthcare Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2006/05/12 InvFund 1e, 3

Converge Technology Solutions Corp. Norwick Capital Corp. ON Non------InvFund

Copper Mesa Mining Corporation Ascendant Copper BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2010/04/23 Corporation InvFund

Copper Mountain Mining Corporation BC Non------InvFund

Copperbank Resources Corp. BC Non------InvFund

Corby Spirit and Wine Limited Corby Distilleries Limited ON Non------InvFund

Cordell Gold Mines Limited -- Non- -- -- Yes/Oui 1975/04/23 InvFund

Cordex Petroleums Inc. -- Non- -- -- Yes/Oui 1999/07/08 InvFund

CordovaCann Corp. LiveReel Media ON Non------Corporation; Noble House InvFund Entertainment Inc.; First Empire Corporation Inc.; First Empire Entertainment.com Inc.; BioLink Corp.; I.D. Investments Inc.

Core Assets Corp. BC Non------InvFund

Core Canadian Dividend Trust ON InvFund ------

Core One Labs Inc. Lifestyle Delivery Systems BC Non------Inc.; Kariana Resources InvFund Inc.

Cornerstone Capital Resources Inc. ON Non------InvFund

Cornish Metals Inc. Strongbow Exploration Inc. BC Non------InvFund

Corsa Coal Corp. Corsa Capital Ltd. ON Non------InvFund

Cortus Metals Inc. BC Non------InvFund

Corus Entertainment Inc. ON Non------InvFund

Corvus Gold Inc. BC Non------InvFund

Cosgrove-Moore Bindery Services Limited -- Non- -- -- Yes/Oui 2001/08/03 InvFund

Costigan Gold Corporation -- Non- -- -- Yes/Oui 1994/06/01 InvFund

Cotinga Pharmaceuticals Inc. Critical Outcome ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/10/14 Technologies Inc. InvFund

Counsel All Equity Portfolio ON InvFund ------

Counsel Balanced Portfolio ON InvFund ------

Counsel Canadian Core Fixed Income ON InvFund ------

Counsel Canadian Dividend ON InvFund ------

Counsel Canadian Growth ON 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)

Counsel Canadian Value ON InvFund ------

Counsel Conservative Portfolio ON InvFund ------

Counsel Defensive Global Equity ON InvFund ------

Counsel Fixed Income Counsel Fixed Income ON InvFund ------Portfolio

Counsel Global Dividend ON InvFund ------

Counsel Global Fixed Income Fund ON InvFund ------

Counsel Global Low Volatility Equity ON InvFund ------

Counsel Global Real Estate ON InvFund ------

Counsel Global Small Cap Counsel Select Small Cap ON InvFund ------

Counsel Global Trend Strategy ON InvFund ------

Counsel Growth Portfolio ON InvFund ------

Counsel High Income Portfolio Counsel Managed High ON InvFund ------Yield Portfolio

Counsel High Yield Fixed Income ON InvFund ------

Counsel Income Trend Strategy Counsel Retirement ON InvFund ------Income Portfolio

Counsel International Growth ON InvFund ------

Counsel International Value ON InvFund ------

Counsel Money Market ON InvFund ------

Counsel Monthly Income Portfolio Counsel Regular Pay ON InvFund ------Portfolio

Counsel North American High Yield Bond ON InvFund ------

Counsel Retirement Accumulation Portfolio ON InvFund ------

Counsel Retirement Foundation Portfolio ON InvFund ------

Counsel Retirement Preservation Portfolio ON InvFund ------

Counsel Short Term Bond ON InvFund ------

Counsel U.S. Growth ON InvFund ------

Counsel U.S. Value ON InvFund ------

CounterPath Corporation BC Non------InvFund

County Capital 2 Ltd. ON Non------InvFund

Coupon Corporation Ltd. QC Non------InvFund

Covalon Technologies Ltd. Seder Capital Corp. ON Non------InvFund

Cover Technologies Inc. Mag One Products Inc.; BC Non------Acana Capital Corp. InvFund

Covington Fund II Inc. ON InvFund ------

Covington International Limited -- Non- -- -- Yes/Oui 1994/01/18 InvFund

CP HOLDRS ON Non------InvFund

CPI Card Group Inc. BC Non------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)

CPI Plastics Group Limited Waterford Capital ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/08/25 Management Inc.; Hydra InvFund Capital Corp.

Craig Wireless Systems Ltd. SSQ Acquisitions Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/01/05 InvFund

Craigmont Mines Limited -- Non- -- -- Yes/Oui 1985/07/22 InvFund

Crailar Technologies Inc. Naturally Advanced BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/09/02 Technologies Inc. InvFund

Credit Suisse AG Credit Suisse ON Non------InvFund

Crescent Point Energy Corp. AB Non------InvFund

Crescita Therapeutics Inc. ON Non------InvFund

Cresco Labs Inc. BC Non------InvFund

Crest Resources Inc. BC Non------InvFund

Crestview Exploration Inc. BC Non------InvFund

Crew Energy Inc. AB Non------InvFund

CRH Medical Corporation Medsurge Medical Products BC Non------Corp. InvFund

Crombie Real Estate Investment Trust NS Non------InvFund

Cronos Group Inc. PharmaCan Capital Corp.; ON Non------Searchtech Ventures Inc. InvFund

Cross Border Capital I Inc. ON Non------InvFund

Cross River Ventures Corp. BC Non------InvFund

Crossover -- Non- -- -- Yes/Oui 1984/12/05 InvFund

Crosswinds Holdings Inc. C.A. Bancorp Inc.; Masthead ON Non------Resources Ltd. InvFund

Crown Capital Partners Inc. AB Non------InvFund

Crown Mining Corp. Crown Gold Corporation ON Non------InvFund

Crown Point Energy Inc. Crown Point Ventures Ltd. AB Non------InvFund

Crown Trust Company -- Non- -- -- Yes/Oui 1983/06/17 InvFund

Crownbridge Industries Inc. -- Non- -- -- Yes/Oui 1992/02/06 InvFund

CRS Electronics Inc. Podium Capital Corporation ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/05/05 InvFund

CRS Preferred NT Ltd. ON Non- Yes/Oui 1a, 1b -- -- InvFund

Cruz Cobalt Corp. BC Non------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)

Cryptologic Corp. Vogogo Inc.; SouthTech ON Non------Capital Corporation InvFund

CryptoStar Corp. Aumento Capital VI ON Non------Corporation InvFund

Crystal Bridge Enterprises Inc. BC Non------InvFund

Crystal Graphite Corporation BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/09/15 InvFund

Crystal Peak Minerals Inc. EPM Mining Ventures Inc.; ON Non------Westhope Capital Corp.; InvFund Reed Lake Exploration Ltd.

Crystallex International Corporation ON Non- Yes/Oui 1c, 1e, 3 Yes/Oui 2012/04/13 InvFund

CST Advantage Plan Canadian Scholarship ON InvFund ------Trust Group Savings Plan 2001

CST Bright Plan Bright Plan ON InvFund ------

CT Developers Ltd. ON Non------InvFund

CT Real Estate Investment Trust ON Non------InvFund

CTM Cafes Inc. Norvane Explorations Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/01/18 InvFund

CU Inc. AB Non------InvFund

Cub Energy Inc. 3P International Energy AB Non------Corp.; Colonnade Capital InvFund Corp.

Cubacan Exploration Inc. -- Non- -- -- Yes/Oui 2003/06/12 InvFund

CubicFarm Systems Corp. BC Non------InvFund

Cuda Oil and Gas Inc. Junex Inc. QC Non------InvFund

Cuervo Resources Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/08/06 InvFund

Cumulus Ventures Ltd. Cumulus Technology Ltd. -- Non- -- -- Yes/Oui 2001/09/20 InvFund

Curaleaf Holdings, Inc. Lead Ventures Inc.; Maccabi BC Non------Ventures Inc. InvFund

Curragh Inc. -- Non- -- -- Yes/Oui 1993/12/22 InvFund

Currency Exchange International, Corp. ON Non------InvFund

CurrencyWorks Inc. ICOX Innovations Inc. BC Non------InvFund

Current Water Technologies Inc. Enpar Technologies Inc. ON Non------InvFund

Currie Rose Resources Inc. ON Non------InvFund

Curtains AB Non------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)

Cuspis Capital II Ltd. ON Non------InvFund

Cuspis Capital Ltd. ON Non------InvFund

Custom Cryogenic Grinding Corporation -- Non- -- -- Yes/Oui 1998/06/08 InvFund

Cuvier Mines Inc. -- Non- -- -- Yes/Oui 1989/06/30 InvFund

CVF Technologies Corporation CVF Corporation ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/12/08 InvFund

CWB Core Equity Fund AB InvFund ------

CWB Onyx Balanced Solution AB InvFund ------

CWB Onyx Canadian Equity Fund AB InvFund ------

CWB Onyx Conservative Solution AB InvFund ------

CWB Onyx Diversified Income Fund AB InvFund ------

CWB Onyx Global Equity Fund AB InvFund ------

CWB Onyx Growth Solution AB InvFund ------

CWC Energy Services Corp. CWC Well Services Corp.; AB Non------Central Alberta Well InvFund Services Corp.

CY Oriental Holdings Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/07/08 InvFund

Cybersurf Corp. AB Non- -- -- Yes/Oui 2009/01/05 InvFund

Cybin Inc. ON Non------InvFund

Cycomm International Inc. -- Non- -- -- Yes/Oui 1999/09/08 InvFund

CYGAM Energy Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/13 InvFund

Cymat Technologies Ltd. ON Non------InvFund

Cymbria Corporation ON Non------InvFund

CYNTAR VENTURES INC. BC Non------InvFund

Cypherpunk Holdings Inc. Khan Resources Inc. ON Non------InvFund

Cypress Development Corp. BC Non------InvFund

Cytrigen International Inc. -- Non- -- -- Yes/Oui 1990/02/10 InvFund

C.B.R. Holdings Inc. ON Non- -- -- Yes/Oui 1986/05/30 InvFund

C.F.P.C. (1990) Limited Partnership ON Non- -- -- Yes/Oui 1990/07/20 InvFund D

D-Box Technologies Inc. QC Non------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) Dakota Mining Corporation -- Non- -- -- Yes/Oui 1998/05/25 InvFund

Daleco Resources Corporation -- Non- Yes/Oui 1a, 1d Yes/Oui 1999/04/20 InvFund

Dallas Enviro-Health Systems Ltd. -- Non- -- -- Yes/Oui 1989/09/06 InvFund

Damara Gold Corp. Solomon Resources BC Non------Limited InvFund

Danavation Technologies Corp. Wolf's Den Capital Corp.; BC Non------Wolfpack Brands InvFund Corporation; Josephine Mining Corp.; Green Park Capital Corp.

Danco Industries Ltd. -- Non- -- -- Yes/Oui 1992/10/07 InvFund

Danier Leather Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/02/17 InvFund

Darkhorse Technologies Ltd. The Mosport Park QC Non------Entertainment Corporation InvFund

DATA Communications Management Corp. Data Group Ltd.; Data ON Non------Group Inc. InvFund

Datable Technology Corporation 3TL Technologies Corp. BC Non------InvFund

Datalex Corp. -- Non- -- -- Yes/Oui 2000/10/04 InvFund

DataMetrex AI Limited Everfront Ventures Corp. ON Non------InvFund

Datec Group Ltd. Brocker Technology Group AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2006/06/06 Ltd.; Brocker Investments InvFund 1e, 3 Ltd.

Datum Ventures Inc. BC Non- Yes/Oui 3 -- -- InvFund

David S. Reid Limited -- Non- Yes/Oui 1a, 3 Yes/Oui 2003/08/28 InvFund

Davie Yards Inc. QC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2010/04/30 InvFund

Davis-Rea Equity Fund ON InvFund ------

Davis-Rea Fixed Income Fund ON InvFund ------

Davis Distributing Limited -- Non- -- -- Yes/Oui 1997/07/30 InvFund

Dayton Porcupine Gold Mines Ltd. -- Non- -- -- Yes/Oui 1992/03/20 InvFund

Daytona Shores Limited Partnership -- Non- -- -- Yes/Oui 1993/08/10 InvFund

Dean Witter Canada Education Savings ON InvFund ------Plan, The

Deans Knight Income Corporation BC InvFund ------

Death Bite -- Non- -- -- Yes/Oui 1983/10/17 InvFund

Debut Diamonds Inc. Debuts Diamonds Inc ON Non------InvFund

Decibel Cannabis Company Inc. Westleaf Inc. AB Non------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)

DecisionPoint Systems, Inc. Comamtech Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Decisive Dividend Corporation BC Non------InvFund

Decklar Resources Inc. Asian Mineral Resources BC Non------Limited InvFund

DeepRock Minerals Inc. BC Non------InvFund

DeepSpatial Inc. Aylen Capital Inc. ON Non------InvFund

Deer Horn Capital Inc. Deer Horn Metals Inc. BC Non------InvFund

Deer Ridge Village Limited Partnership -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 1998/05/25 InvFund

Deer Valley Shopping Centre Limited MB Non- Yes/Oui 1c, 1e Yes/Oui 2006/09/18 Partnership InvFund

DeFi Technologies Inc. Routemaster Capital Inc.; ON Non------Rodinia Lithium Inc. InvFund

Delano Technology Corporation ON Non- Yes/Oui 1a, 1b, 1c, 1e, Yes/Oui 2009/04/27 InvFund 1g, 3

Delhi Pacific Resources Ltd. -- Non- -- -- Yes/Oui 1986/06/23 InvFund

Delic Holdings Inc. Molystar Resources Inc. BC Non------InvFund

Delicious Alternative Desserts Ltd. -- Non- -- -- Yes/Oui 2001/02/06 InvFund

DelphX Capital Markets Inc. Seaside Exploration ON Non------Partners Corp. InvFund

Delta 9 Cannabis Inc. MB Non------InvFund

Delta Resources Limited Golden Hope Mines Limited ON Non------InvFund

Delta Systems, Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2007/12/18 InvFund

Delta TM Montreal Hotel and Company, -- Non- -- -- Yes/Oui 1994/05/31 Limited Partnership InvFund

Delta Uranium Inc. Wavepower Systems ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/11/07 International Inc.; InvFund Breckenridge Minerals Inc.; Breckenridge Technologies Inc.; Birch Capital Inc.

Deltona Industries Inc. -- Non- -- -- Yes/Oui 1995/10/05 InvFund

Denbury Inc. Denbury Resources Inc.; AB Non------Newscope Resources Ltd. InvFund

Dengas Explorations & Holdings Limited -- Non- -- -- Yes/Oui 1984/05/22 InvFund

Denison Mines Corp. International Uranium ON Non------Corporation; Thornbury InvFund Capital Corporation

Denninghouse Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2007/08/07 InvFund 1e, 3 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) Derlak Enterprises Inc. Derlak Gold Inc. BC Non- Yes/Oui 1a, 1b Yes/Oui 2003/05/23 InvFund

Desert Eagle Resources Ltd. Garrison International Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/11/07 InvFund

Desert Mountain Energy Corp. African Queen Mines Ltd. BC Non------InvFund

Desjardins 1-5 year Laddered Canadian QC InvFund ------Corporate Bond Index ETF

Desjardins 1-5 year Laddered Canadian QC InvFund ------Government Bond Index ETF

Desjardins Alt Long/Short Equity Market QC InvFund ------Neutral ETF

Desjardins Alt Long/Short Equity Market QC InvFund ------Neutral ETF Fund

Desjardins American Equity Growth QC InvFund ------Currency Neutral Fund

Desjardins American Equity Growth Fund Desjardins CI Value Trust QC InvFund ------Corporate Class Fund; Desjardins CI Value Trust Sector Fund

Desjardins American Equity Value Fund QC InvFund ------

Desjardins Canada Multifactor-Controlled QC InvFund ------Volatility ETF

Desjardins Canadian Bond Fund Desjardins Bond Fund QC InvFund ------

Desjardins Canadian Equity Fund QC InvFund ------

Desjardins Canadian Equity Income Fund QC InvFund ------

Desjardins Canadian Equity Value Fund QC InvFund ------

Desjardins Canadian Preferred Share Fund QC InvFund ------

Desjardins Canadian Preferred Share Index QC InvFund ------ETF

Desjardins Canadian Short Term Bond QC InvFund ------Index ETF

Desjardins Canadian Small Cap Equity Desjardins Growth Fund QC InvFund ------Fund

Desjardins Canadian Universe Bond Index QC InvFund ------ETF

Desjardins Developed ex-USA ex-Canada QC InvFund ------Multifactor-Controlled Volatility ETF

Desjardins Dividend Growth Fund QC InvFund ------

Desjardins Dividend Income Fund Desjardins Dividend Fund QC InvFund ------

Desjardins Emerging Markets Bond Fund QC InvFund ------

Desjardins Emerging Markets Fund QC InvFund ------

Desjardins Emerging Markets QC InvFund ------Multifactor-Controlled Volatility ETF

Desjardins Emerging Markets Opportunities QC InvFund ------Fund

Desjardins Enhanced Bond Fund QC InvFund ------

Desjardins Floating Rate Income Fund QC 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) Desjardins Global Balanced Growth Fund Desjardins Tactical QC InvFund ------(formely Desjardins Tactical Balanced Balanced Fund (formely Fund) Desjardins Canadian Balanced Fund); Desjardins Canadian Balanced Fund; Desjardins Balanced Fund

Desjardins Global Balanced Strategic QC InvFund ------Income Fund

Desjardins Global Bond Fund Desjardins IBrix Global QC InvFund ------Bond Fund

Desjardins Global Corporate Bond Fund QC InvFund ------

Desjardins Global Dividend Fund Desjardins Global Equity QC InvFund ------Value Fund; Desjardins International Fund

Desjardins Global Equity Fund QC InvFund ------

Desjardins Global Equity Growth Fund ON InvFund ------

Desjardins Global High Yield Bond Fund QC InvFund ------

Desjardins Global Infrastructure Fund QC InvFund ------

Desjardins Global Small Cap Equity Fund Desjardins Fidelity Small QC InvFund ------Cap America Fund

Desjardins Global Tactical Bond Fund QC InvFund ------

Desjardins Global Total Return Bond Fund Desjardins Global Inflation QC InvFund ------Linked Bond Fund; Desjardins Completion Investments Fund; Desjardins Alternative Investments Fund

Desjardins Low Volatility Canadian Equity QC InvFund ------Fund

Desjardins Low Volatility Global Equity Fund Desjardins IBrix Low QC InvFund ------Volatility Global Equity Fund

Desjardins Money Market Fund QC InvFund ------

Desjardins Overseas Equity Fund Desjardins Overseas Equity QC InvFund ------Value Fund; Desjardins Europe Fund

Desjardins Overseas Equity Growth Fund QC InvFund ------

Desjardins Québec Balanced Fund Desjardins Quebec Fund QC InvFund ------

Desjardins RI Active Canadian Bond - Low QC InvFund ------CO2 ETF

Desjardins RI Canada - Low CO2 Index ETF QC InvFund ------

Desjardins RI Canada Multifactor - Low ON InvFund ------CO2 ETF

Desjardins RI Developed ex-USA QC InvFund ------ex-Canada - Low CO2 Index ETF

Desjardins RI Developed ex-USA QC InvFund ------ex-Canada Multifactor - Low CO2 ETF

Desjardins RI Emerging Markets - Low CO2 QC InvFund ------Index ETF

Desjardins RI Emerging Markets Multifactor QC InvFund ------Low CO2 ETF

Desjardins RI Global Multifactor - Fossil QC InvFund ------Fuel Reserves Free ETF 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)

Desjardins RI USA - Low CO2 Index ETF QC InvFund ------

Desjardins RI USA Multifactor - Low CO2 QC InvFund ------ETF

Desjardins Short-Term Income Fund Desjardins Mortgage Fund QC InvFund ------

Desjardins SocieTerra American Equity QC InvFund ------Fund

Desjardins SocieTerra Canadian Bond QC InvFund ------Fund

Desjardins SocieTerra Canadian Equity QC InvFund ------Fund

Desjardins SocieTerra Cleantech Fund QC InvFund ------

Desjardins SocieTerra Diversity Fund QC InvFund ------

Desjardins SocieTerra Emerging Markets QC InvFund ------Equity Fund

Desjardins SocieTerra Environment Fund Desjardins Environment QC InvFund ------Fund

Desjardins SocieTerra Environmental Bond QC InvFund ------Fund

Desjardins SocieTerra Global Bond Fund QC InvFund ------

Desjardins SocieTerra International Equity QC InvFund ------Fund

Desjardins SocieTerra Positive Change QC InvFund ------Fund

Desjardins USA Multifactor-Controlled QC InvFund ------Volatility ETF

Deutsche Bank Aktiengesellschaft ON Non------InvFund

Deveron Corp. Deveron UAS Corp.; ON Non------Deveron Resources Ltd. InvFund

Devine Entertainment Corporation ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/05/14 InvFund

Devon Resources Limited -- Non- -- -- Yes/Oui 1986/09/04 InvFund

Devonian Health Group Inc. QC Non------InvFund

Dexterra Group Inc. Horizon North Logistics Inc. AB Non------InvFund

Dexx Corporation Dura Products International ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/05/04 Inc.; Transway Capital Inc. InvFund

DFA Canadian Core Equity Fund BC InvFund ------

DFA Canadian Vector Equity Fund BC InvFund ------

DFA Five-Year Global Fixed Income Fund BC InvFund ------

DFA Global 40EQ-60FI Portfolio DFA Global Conservative BC InvFund ------Fund

DFA Global 50EQ-50FI Portfolio BC InvFund ------

DFA Global 60EQ-40FI Portfolio DFA Global Balanced Fund BC InvFund ------

DFA Global 70EQ-30FI Portfolio BC InvFund ------

DFA Global 80EQ-20FI Portfolio BC InvFund ------

DFA Global Equity Portfolio DFA Global Equity Fund BC 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)

DFA Global Fixed Income Portfolio BC InvFund ------

DFA Global Investment Grade Fixed Income DFA Investment Grade BC InvFund ------Fund Fixed Income Fund

DFA Global Real Estate Securities Fund BC InvFund ------

DFA Global Sustainability Core Equity Fund BC InvFund ------

DFA Global Targeted Credit Fund BC InvFund ------

DFA International Core Equity Fund BC InvFund ------

DFA International Vector Equity Fund DFA International Value BC InvFund ------Fund

DFA U.S. Core Equity Fund BC InvFund ------

DFA U.S. Vector Equity Fund DFA U.S. Value Fund BC InvFund ------

DFA World Equity Portfolio BC InvFund ------

DGTL Holdings Inc. Conscience Capital Inc. ON Non------InvFund

Diadem Resources Ltd. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/10/09 InvFund

Diagem Inc. Diagem International QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/11/04 Resource Corp. InvFund

Diagnos Inc. Goths Resources Inc. QC Non------InvFund

Dialogue Health Technologies Inc. QC Non------InvFund

DiaMedica Therapeutics Inc. DiaMedica Inc. MB Non------InvFund

Diamond Estates Wines & Spirits Inc. WhiteKnight Acquisitions II ON Non------Inc. InvFund

Diamond Fields Resources Inc. Diamond Fields BC Non------International Ltd. InvFund

Diamond Ridge BC Non- -- -- Yes/Oui 1986/09/16 InvFund

Dianor Resources Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/07 InvFund

Diepdaume Mines Limited -- Non- -- -- Yes/Oui 1992/06/12 InvFund

DigiCrypts Blockchain Solutions Inc. TJR Coatings Inc. ON Non------InvFund

Digital Consumer Dividend Fund AB InvFund ------

Digital Duplication Inc. Charrington Business -- Non- Yes/Oui 1a Yes/Oui 2003/01/09 Consultants Inc. InvFund

Dimension Five Technologies Inc. BC Non------InvFund

Dimensional Media Inc. -- Non- Yes/Oui 1a, 1b, 1d, 1f, 3, Yes/Oui 2003/05/08 InvFund 4

Dinnerex Limited Partnership IX -- Non- Yes/Oui 1b Yes/Oui 2003/06/04 InvFund

Dinnerex Limited Partnership VIII ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/03/02 InvFund

Dinnerex Limited Partnership X ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/06/08 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) Dinnerex Limited Partnership XI -- Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2003/06/04 InvFund

Dinnerex National III Limited Partnership ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/06/06 InvFund

Dinnerex National IV Limited Partnership ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/06/02 InvFund

Dino International Inc. -- Non- -- -- Yes/Oui 1993/12/23 InvFund

Dion Entertainment Corp. BC Non- Yes/Oui 1b Yes/Oui 2003/06/05 InvFund

Dionymed Brands Inc. Sixonine Ventures Corp.; BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2019/12/05 Homeland Energy Group InvFund Ltd.; Chrysalis Capital IV Corporation

Direct Communication Solutions, Inc. BC Non------InvFund

DIRTT Environmental Solutions Ltd. AB Non------InvFund

Discover Wellness Solutions Inc. RMMI Corp. AB Non------InvFund

Discovery 2020 Short Duration LP AB InvFund ------

Discovery Air Inc. ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2018/05/07 InvFund

Discovery Metals Corp. ON Non------InvFund

Discovery One Investment Corp. BC Non------InvFund

Discovery Quay-Building I Limited BC Non- -- -- Yes/Oui 1986/09/16 Partnership InvFund

Disenco Energy PLC BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/05/20 InvFund

Distinct Infrastructure Group Inc. ON Non- Yes/Oui 1a, 1c, 1e, 2b, 3 Yes/Oui 2019/02/15 InvFund

Distinction Balanced Class QC InvFund ------

Distinction Bold Class QC InvFund ------

Distinction Conservative Class QC InvFund ------

Distinction Energy Corp. Delphi Energy Corp. AB Non------InvFund

Distinction Growth Class QC InvFund ------

Distinction Prudent Class QC InvFund ------

Divcom Lighting Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/04/08 InvFund

Diversafile International Inc. Ansell Lake Resources Ltd. -- Non- -- -- Yes/Oui 1998/08/06 InvFund

Diversified Royalty Corp. BENEV Capital Inc.; Bennett BC Non------Environmental Inc. InvFund

Divestco Inc. International Datashare AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 Corporation; Riley's InvFund Datashare International Ltd.

Dividend 15 Split Corp. ON InvFund ------

Dividend 15 Split Corp. II ON 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)

Dividend Growth Split Corp. ON InvFund ------

Dividend Select 15 Corp. ON InvFund ------

Divot Golf Corporation Brassie Golf Corporation QC Non- -- -- Yes/Oui 1999/06/28 InvFund

Dixie Road Partnership -- Non- -- -- Yes/Oui 1994/05/25 InvFund

DLV Resources Ltd. DV Resources Ltd.; Dolly BC Non------Varden Resources Inc.; InvFund New Dolly Varden Minerals Inc.

DMG Blockchain Solutions Inc. Aim Explorations Ltd. BC Non------InvFund

DMP Power Global Growth Class ON InvFund ------

DMP Resource Class Canada Dominion ON InvFund ------Resource Fund Ltd.; StrategicNova Canada Dominion Resource Fund Ltd.

DMP Value Balanced Class ON InvFund ------

DMR Resources Ltd. Dome Mountain Resources -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/02/25 Ltd. InvFund

DNI Metals Inc. Dumont Nickel Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/07 InvFund

Docebo Inc. ON Non------InvFund

Dollarama Inc. QC Non------InvFund

Dolly Varden Silver Corporation BC Non------InvFund

Doman Industries Limited BC Non- Yes/Oui 1c, 1e Yes/Oui 2004/12/10 InvFund

Dome Petroleum Limited -- Non------InvFund

Dominion Bioresources Inc. -- Non- -- -- Yes/Oui 1988/07/20 InvFund

Dominion Citrus Income Fund ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2016/12/05 InvFund

Dominion International Investments Inc. Conex Continental Inc.; -- Non- Yes/Oui 1b Yes/Oui 2001/07/23 Continental Exploration & InvFund Development Ltd.

Dominion Lending Centres Inc. Founders Advantage AB Non------Capital Corp.; FCF Capital InvFund Inc. (formerly, Brilliant Resources Inc.)

Dominion Water Reserves Corp. BC Non------InvFund

Domtar Corporation QC Non------InvFund

Donnelley Financial Solutions, Inc. ON Non------InvFund

Dore Copper Mining Corp. ChaiNode Opportunities ON Non------Corp. 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) Dorel Industries Inc. QC Non------InvFund

Dotodo Urban Logistics, Inc. Vanrocco Financial Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

Double Negative -- Non- -- -- Yes/Oui 1992/09/30 InvFund

DoveCorp Enterprises Inc. Binscarth PVC Ventures Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/01/09 InvFund

Dovetec Corporation -- Non- -- -- Yes/Oui 1994/11/24 InvFund

Draganfly Inc. SK Non------InvFund

Dragon Legend Entertainment (Canada) DGS Minerals Inc. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2017/06/05 Inc. InvFund

DragonWave Inc. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2017/11/03 InvFund

Dream Impact Trust Dream Hard Asset ON Non------Alternatives Trust InvFund

Dream Industrial Real Estate Investment Dundee Industrial Real ON Non------Trust Estate Investment Trust InvFund

Dream Office Real Estate Investment Trust Dundee Real Estate ON Non------Investment Trust InvFund

DREAM Unlimited Corp. ON Non------InvFund

Dresdner RCM Investment Funds Inc. Dresdner RCM Europe ON InvFund Yes/Oui 1a, 1b, 3 -- -- Fund Inc.; Emerging Germany Fund Inc., The

DRI Healthcare Trust ON Non------InvFund

Drone Delivery Canada Corp. Asher Resources ON Non------Corporation InvFund

Dubenski Gold Mines Limited -- Non- -- -- Yes/Oui 1992/04/02 InvFund

Dubuisson Explorations Limited -- Non- -- -- Yes/Oui 1983/09/23 InvFund

Dufault Contact Mines Limited -- Non- -- -- Yes/Oui 1978/09/15 InvFund

Duncan Gold Resources Inc. -- Non- -- -- Yes/Oui 1992/06/12 InvFund

Dundee Corporation Dundee Bancorp Inc. ON Non------InvFund

Dundee Energy Limited Eurogas Corporation ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

Dundee Global Resource Class ON InvFund ------

Dundee Precious Metals Inc. BGR Precious Metals Inc. ON Non------InvFund

Dundee Sustainable Technologies Inc. QC Non------InvFund

Dunes Exploration Ltd. (prev. Dynamic Dynamic Resources Corp. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/05/14 Resources Corp.) InvFund

Dunhill Estates -- Non- -- -- Yes/Oui 1985/01/11 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)

Duometal (1984) Inc. -- Non- -- -- Yes/Oui 1985/03/07 InvFund

Duration Mines Ltd. -- Non- -- -- Yes/Oui 1990/12/19 InvFund

DURO METALS INC AB Non------InvFund

DXI Capital Corp. DXI Energy Inc.; Dejour BC Non------Energy Inc.; Dejour InvFund Enterprises Ltd.; Dejour Mines Limited

DXStorm.com Inc. ON Non------InvFund

Dye & Durham Limited ON Non------InvFund

dynaCERT Inc. Dynamic Fuel Systems Inc.; ON Non------Chancellor Enterprises InvFund Holdings Inc.; First Wave Technology Industries Inc.

Dynacor Gold Mines Inc. QC Non------InvFund

Dynamar Energy Limited -- Non- -- -- Yes/Oui 1988/06/16 InvFund

Dynamic Active Canadian Dividend ETF Dynamic iShares Active ON InvFund ------Canadian Dividend ETF

Dynamic Active Canadian Dividend Fund ON InvFund ------

Dynamic Active Core Bond Private Pool ON InvFund ------

Dynamic Active Credit Strategies Private ON InvFund ------Pool

Dynamic Active Crossover Bond ETF Dynamic iShares Active ON InvFund ------Crossover Bond ETF

Dynamic Active Crossover Bond Fund ON InvFund ------

Dynamic Active Global Dividend ETF Dynamic iShares Active ON InvFund ------Global Dividend ETF

Dynamic Active Global Dividend Fund ON InvFund ------

Dynamic Active Global Financial Services Dynamic iShares Active ON InvFund ------ETF Global Financial Services ETF

Dynamic Active Global Financial Services ON InvFund ------Fund

Dynamic Active Global Infrastructure ETF ON InvFund ------

Dynamic Active International Dividend ETF ON InvFund ------

Dynamic Active International ETF ON InvFund ------

Dynamic Active Investment Grade Floating Dynamic iShares Active ON InvFund ------Rate ETF Investment Grade Floating Rate ETF

Dynamic Active Investment Grade Floating ON InvFund ------Rate Fund

Dynamic Active Preferred Shares ETF Dynamic iShares Active ON InvFund ------Preferred Shares ETF

Dynamic Active Preferred Shares Fund ON InvFund ------

Dynamic Active Retirement Income+ ETF ON 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)

Dynamic Active Tactical Bond ETF Dynamic iShares Active ON InvFund ------Tactical Bond ETF

Dynamic Active Tactical Bond Fund ON InvFund ------

Dynamic Active U.S. Dividend ETF Dynamic iShares Active ON InvFund ------U.S. Dividend ETF

Dynamic Active U.S. Dividend Fund ON InvFund ------

Dynamic Active U.S. Mid-Cap ETF Dynamic iShares Active ON InvFund ------U.S. Mid-Cap ETF

Dynamic Active U.S. Mid-Cap Fund ON InvFund ------

Dynamic Advantage Bond Class ON InvFund ------

Dynamic Advantage Bond Fund Dynamic World Convertible ON InvFund ------Debentures Fund; StrategicNova World Convertible Debentures Fund

Dynamic Alpha Performance II Fund ON InvFund ------

Dynamic Alternative Managed Risk Private Dynamic Alternative ON InvFund ------Pool Class Investments Private Pool Class

Dynamic Alternative Yield Class ON InvFund ------

Dynamic Alternative Yield Fund ON InvFund ------

Dynamic American Class Dynamic American Value ON InvFund ------Class

Dynamic American Fund Dynamic American Value ON InvFund ------Fund; Dynamic Americas Fund; Dynamic American Fund

Dynamic Asia Pacific Equity Fund Dynamic Far East Value ON InvFund ------Fund; Dynamic Far East Fund

Dynamic Asset Allocation Private Pool ON InvFund ------

Dynamic Blue Chip Balanced Fund Dynamic Focus+ Balanced ON InvFund ------Fund; Dynamic Focus Plus Income and Growth Fund; Dynamic Infinity Income and Growth Fund; Infinity Income and Growth Fund; Infinity Income Fund; Dolphin Income Fund; Confed Mortgage Fund

Dynamic Blue Chip Equity Fund Dynamic Focus+ Equity ON InvFund ------Fund; Dynamic Focus + Canadian Fund; Dynamic Focus Plus Canadian Fund; Dynamic Infinity Canadian Fund; Infinity Canadian Fund; Infinity Canadian Balanced Fund; Marlborough Canadian Balanced Fund

Dynamic Canadian Bond Fund Dynamic Income Fund ON InvFund ------

Dynamic Canadian Dividend Fund ON InvFund ------

Dynamic Canadian Equity Private Pool ON InvFund ------Class

Dynamic Canadian Value Class ON 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)

Dynamic Conservative Yield Private Pool ON InvFund ------

Dynamic Conservative Yield Private Pool ON InvFund ------Class

Dynamic Corporate Bond Strategies Class ON InvFund ------

Dynamic Corporate Bond Strategies Fund ON InvFund ------

Dynamic Credit Absolute Return II Fund ON InvFund ------

Dynamic Credit Spectrum Fund Dynamic High Yield Credit ON InvFund ------Fund

Dynamic Diversified Real Asset Fund ON InvFund ------

Dynamic Dividend Advantage Class ON InvFund ------

Dynamic Dividend Advantage Fund Dynamic Dividend Value ON InvFund ------Fund; Dynamic Dividend Growth Fund

Dynamic Dividend Fund ON InvFund ------

Dynamic Dividend Income Class ON InvFund ------

Dynamic Dividend Income Fund ON InvFund ------

Dynamic Dollar-Cost Averaging Fund Dundee Dollar-Cost ON InvFund ------Averaging Fund; Dynamic Dollar-Cost Averaging Fund

Dynamic Emerging Markets Equity Fund ON InvFund ------

Dynamic Energy Evolution Fund ON InvFund ------

Dynamic Energy Income Fund Dynamic Focus+ Energy ON InvFund ------Income Trust Fund

Dynamic Equity Income Fund Dynamic Focus+ Diversified ON InvFund ------Income Fund; Dynamic Focus+ Diversified Income Trust Fund; Dynamic Diversified Income Fund; Dynamic T-Bill Fund; Dynamic Infinity T-Bill Fund; Infinity T-Bill Fund; Burgeonvest T-Bill Fund; Marlborough Fund, The

Dynamic European Equity Fund Dynamic European Value ON InvFund ------Fund; Dynamic Europe Fund

Dynamic Financial Services Fund Dynamic Focus+ Wealth ON InvFund ------Management Fund; Dynamic Wealth Management Fund; Dynamic Infinity Wealth Management Fund; Infinity Wealth Management Fund; Dolphin Growth Fund; Confed Growth Fund

Dynamic Global All-Terrain Fund ON InvFund ------

Dynamic Global Asset Allocation Class ON InvFund ------

Dynamic Global Asset Allocation Fund Dynamic Global Value ON InvFund ------Balanced Fund

Dynamic Global Balanced Fund ON InvFund ------

Dynamic Global Discovery Class ON 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) Dynamic Global Discovery Fund Dynamic Global Small Cap ON InvFund ------Value Fund; Dynamic U.S. Small Cap Value Fund; StrategicNova U.S. Small Cap Fund

Dynamic Global Dividend Class Dynamic Global Dividend ON InvFund ------Value Class

Dynamic Global Dividend Fund Dynamic Global Dividend ON InvFund ------Value Fund; Dynamic Global Dividend Fund

Dynamic Global Equity Fund ON InvFund ------

Dynamic Global Equity Income Fund ON InvFund ------

Dynamic Global Equity Private Pool Class ON InvFund ------

Dynamic Global Infrastructure Class ON InvFund ------

Dynamic Global Infrastructure Fund ON InvFund ------

Dynamic Global Real Estate Fund Dynamic Focus+ Real ON InvFund ------Estate Fund; Dynamic Canadian Real Estate Fund

Dynamic Global Strategic Yield Fund ON InvFund ------

Dynamic Global Yield Private Pool ON InvFund ------

Dynamic Global Yield Private Pool Class ON InvFund ------

Dynamic High Yield Bond Fund Dynamic Canadian High ON InvFund ------Yield Bond Fund; Dynamic Canadian High Yield Bond Fund I; StrategicNova Canadian High Yield Bond Fund; O'Donnell High Income Fund

Dynamic International Discovery Fund ON InvFund ------

Dynamic International Dividend Private Pool ON InvFund ------

Dynamic International Equity Fund Dynamic Global Value ON InvFund ------Fund; Dynamic International Value Fund; Dynamic International Fund

Dynamic Investment Grade Floating Rate ON InvFund ------Fund

Dynamic Money Market Class ON InvFund ------

Dynamic Money Market Fund StrategicNova Canadian ON InvFund ------Money Market Fund; StrategicNova Money Market Fund; Nova Short Term Fund; CENTREPOST Short Term Fund; OHA Short Term Fund

Dynamic North American Dividend Private ON InvFund ------Pool

Dynamic Power American Growth Class ON InvFund ------

Dynamic Power American Growth Fund Dynamic Power American ON InvFund ------Fund; Power American Fund

Dynamic Power Balanced Fund Power Balanced Fund ON InvFund ------

Dynamic Power Canadian Growth Fund Dynamic Canadian Growth ON InvFund ------Fund

Dynamic Power Global Balanced Class ON 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)

Dynamic Power Global Growth Class ON InvFund ------

Dynamic Power Global Growth Fund ON InvFund ------

Dynamic Power Global Navigator Class ON InvFund ------

Dynamic Power Growth & Dividend Fund ON InvFund ------

Dynamic Power Small Cap Fund StrategicNova Canadian ON InvFund ------Small Cap Fund; O'Donnell Canadian Emerging Growth Fund

Dynamic Precious Metals Fund Dynamic Canadian ON InvFund ------Precious Metals Fund; Dynamic Precious Metals Fund

Dynamic Preferred Yield Class ON InvFund ------

Dynamic Premium Bond Private Pool ON InvFund ------

Dynamic Premium Bond Private Pool Class ON InvFund ------

Dynamic Premium Yield Class ON InvFund ------

Dynamic Premium Yield Fund ON InvFund ------

Dynamic Premium Yield PLUS Fund ON InvFund ------

Dynamic Real Estate & Infrastructure ON InvFund ------Income II Fund

Dynamic Retirement Income+ Fund ON InvFund ------

Dynamic Russian Resource Fund Dynamic Asia Venture ON InvFund Yes/Oui 1a, 3 -- -- Fund; Private Investors Trust, The

Dynamic Short Term Bond Fund ON InvFund ------

Dynamic Small Business Fund Dynamic Focus+ Small ON InvFund ------Business Fund; Dynamic Small Cap Fund

Dynamic Strategic Energy Class Dynamic Global Energy ON InvFund ------Class

Dynamic Strategic Gold Class ON InvFund ------

Dynamic Strategic Resource Class ON InvFund ------

Dynamic Strategic Yield Class ON InvFund ------

Dynamic Strategic Yield Fund ON InvFund ------

Dynamic Tactical Bond Private Pool ON InvFund ------

Dynamic Technologies Group Inc. Empire Industries Ltd.; AB Non------RYJENCAP Inc. InvFund

Dynamic Total Return Bond Class Dynamic Aurion Total ON InvFund ------Return Bond Class

Dynamic Total Return Bond Fund Dynamic Aurion Total ON InvFund ------Return Bond Fund

Dynamic U.S. Balanced Class Dynamic Power U.S. ON InvFund ------Balanced Class; Dynamic Blue Chip U.S. Balanced Class; Dynamic Blue Chip Balanced Class; Dynamic Focus+ Balanced Class

Dynamic U.S. Dividend Advantage Fund ON InvFund ------

Dynamic U.S. Equity Income Fund ON InvFund ------

Dynamic U.S. Equity Private Pool Class ON 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)

Dynamic U.S. Monthly Income Fund Dynamic U.S. Value ON InvFund ------Balanced Fund

Dynamic U.S. Sector Focus Class ON InvFund ------

Dynamic U.S. Strategic Yield Fund ON InvFund ------

Dynamic Value Balanced Class ON InvFund ------

Dynamic Value Balanced Fund StrategicNova Canadian ON InvFund ------Balanced Fund; Nova Balanced Fund; CENTREPOST Balanced Fund; OHA Balanced Fund

Dynamic Value Fund of Canada Dynamic Fund of Canada; ON InvFund ------Dynamic Fund of Canada Ltd.

DynamicEdge Balanced Class Portfolio ON InvFund ------

DynamicEdge Balanced Growth Class ON InvFund ------Portfolio

DynamicEdge Balanced Growth Portfolio ON InvFund ------

DynamicEdge Balanced Income Portfolio Dynamic Strategic Income ON InvFund ------Portfolio; Dynamic Strategic All Income Portfolio

DynamicEdge Balanced Portfolio ON InvFund ------

DynamicEdge Conservative Class Portfolio ON InvFund ------

DynamicEdge Defensive Portfolio ON InvFund ------

DynamicEdge Equity Class Portfolio ON InvFund ------

DynamicEdge Equity Portfolio ON InvFund ------

DynamicEdge Growth Class Portfolio ON InvFund ------

DynamicEdge Growth Portfolio ON InvFund ------

Dynamo Capital Corp. BC Non------InvFund

Dynasty Components Inc. -- Non- -- -- Yes/Oui 2002/10/28 InvFund

Dynasty TMT Corporation -- Non- Yes/Oui 1a, 1d Yes/Oui 1998/06/11 InvFund

Dynex Petroleum Ltd. -- Non- -- -- Yes/Oui 1993/12/17 InvFund E

E-L Financial Corporation Limited ON Non------InvFund

E-Manufacturing Networks Inc. Harrier Capital Corporation ON Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2003/05/28 InvFund

E Split Corp. AB InvFund ------

E Ventures Inc. Telecommerce ON Non- Yes/Oui 1a Yes/Oui 2003/05/23 Corporation, The InvFund

E2Gold Inc. ON Non------InvFund

E3 Metals Corp. Savannah Gold Corp.; AB Non------Mexigold Corp.; BCY InvFund Resources Inc.; BCY LifeSciences Inc.; BCY Ventures Inc. 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)

E79 Resources Corp. Top Exploration Inc. BC Non------InvFund

Eagle Credit Card Trust ON Non------InvFund

Eagle Graphite Incorporated Amerix Precious Metals ON Non------Corporation; New Bullet InvFund Group Inc.

Eaglet Mines Limited BC Non- -- -- Yes/Oui 1990/10/31 InvFund

Earth Alive Clean Technologies Inc. QC Non------InvFund

EarthRenew Inc. Valencia Ventures Inc.; ON Non------William Multi-Tech Inc.; InvFund William Resources Inc.

Earthstone Energy, Inc. BC Non------InvFund

East Coast Energy Limited -- Non- -- -- Yes/Oui 1985/06/14 InvFund

Eastern Platinum Limited BC Non------InvFund

EastSiberian Plc PetroKamchatka Plc AB Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2019/02/05 InvFund

Eastview Mines Limited -- Non- -- -- Yes/Oui 1975/04/09 InvFund

Eastwood Bio-Medical Canada Inc. BC Non------InvFund

Easy Technologies Inc. Easymed Technologies BC Non- Yes/Oui 3 Yes/Oui 2017/10/05 Inc.; EasyMed Services Inc.; InvFund InCana Investment Inc.

Eat Beyond Global Holdings Inc. BC Non------InvFund

Echelon Capital Corporation ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

Echo Energy Canada Inc. Pifher Resources Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/07/02 InvFund

Eclipse Gold Mining Corporation BC Non------InvFund

ECN Capital Corp. ON Non- Yes/Oui 3 -- -- InvFund

Eco Oro Minerals Corp. Greystar Resources Ltd. BC Non------InvFund

Eco Technologies International Inc. Environmental ON Non- -- -- Yes/Oui 2001/05/25 Technologies International InvFund Inc.

Eco (Atlantic) Oil & Gas Ltd. Goldbard Capital ON Non------Corporation InvFund

Economic Investment Trust Limited ON Non------InvFund

Ecosse Energy Corp. Yonge Street Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

EcoSynthetix Inc. ON Non------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) EDCI Holdings, Inc. Entertainment Distribution AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/02/22 Company, Inc.; Glenayre InvFund Technologies Inc.

Eden Empire Inc. BC Non------InvFund

Eden Roc Mineral Corp. -- Non- Yes/Oui 1a, 1d Yes/Oui 2002/05/28 InvFund

Edgemont Gold Corp. BC Non------InvFund

EdgePoint Canadian Growth & Income ON InvFund ------Portfolio

EdgePoint Canadian Portfolio ON InvFund ------

EdgePoint Global Growth & Income Portfolio ON InvFund ------

EdgePoint Global Portfolio ON InvFund ------

Edgewater Wireless Systems Inc. ON Non------InvFund

Edison Cobalt Corp. Power Americas Minerals BC Non------Corp.; Victory Ventures Inc. InvFund

Educators Balanced Fund Ontario Teachers' Group ON InvFund ------Balanced Fund; Ontario Teachers' Group Investment Fund - Balanced Section; Ontario Teachers' Group Investment Fund - Balance Section

Educators Bond Fund ON InvFund ------

Educators Dividend Fund Ontario Teachers' Group ON InvFund ------Dividend Fund

Educators Growth Fund Ontario Teachers' Group ON InvFund ------Growth Fund; Ontario Teachers' Group Investment Fund - Growth Section

Educators Money Market Fund Ontario Teachers' Group ON InvFund ------Money Market Fund; Ontario Teachers' Group Fixed Value Fund; Ontario Teachers' Group Investment Fund - Fixed Value Section

Educators Monitored Aggressive Portfolio ON InvFund ------

Educators Monitored Balanced Portfolio ON InvFund ------

Educators Monitored Conservative Portfolio ON InvFund ------

Educators Monitored Growth Portfolio ON InvFund ------

Educators Monthly Income Fund ON InvFund ------

Educators Mortgage & Income Fund Ontario Teachers' Group ON InvFund ------Mortgage & Income Fund; Ontario Teachers' Group Mortgage Fund; Ontario Teachers' Group Investment Fund - Mortgage Income Section 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) Educators U.S. Equity Fund Educators North American ON InvFund ------Diversified Fund; Educators Diversified Fund; Educators Group Diversified Fund; Ontario Teachers' Group Diversified Fund; Ontario Teachers' Group Investment Fund - Diversified Section

Eesti Kodu Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 -- -- InvFund

EFFICACIOUS ELK CAPITAL CORP. BC Non------InvFund

EFH Holdings Inc. Echelon Financial Holdings ON Non------Inc.; EGI Financial Holdings InvFund Inc.

eFunds Bloomberg U.S. Internet Index Fund ON InvFund Yes/Oui 1b, 3 -- --

EGF Theramed Health Corp. Theramed Health BC Non------Corporation; Evitrade InvFund Health Systems Corp.; Auxellence Health Corporation

Eguana Technologies Inc. Sustainable Energy AB Non------Technologies Ltd.; RTM InvFund Holdings Inc.

EHP Advantage Alternative Fund ON InvFund ------

EHP Advantage International Alternative ON InvFund ------Fund

EHP Foundation Alternative Fund EHP Guardian Alternative ON InvFund ------Fund

EHP Foundation International Alternative EHP Guardian International ON InvFund ------Fund Alternative Fund

EHP Global Arbitrage Alternative Fund ON InvFund ------

EHP Select Alternative Fund ON InvFund ------

Eight Solutions Inc. Gener8 Media Corp.; Delon BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2019/06/05 Resources Corp. InvFund

Elcora Advanced Materials Corp. Elcora Resources Corp. NS Non------InvFund

Eldorado Gold Corporation Eldorado Corporation Ltd. BC Non------InvFund

Electric-Spin Ltd. Park Avenue Investment ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/02/08 Corporation InvFund

Electric Royalties Ltd. Rebel Capital Inc. BC Non------InvFund

Electro-Knit Fabrics (Canada) Ltd. -- Non- -- -- Yes/Oui 1982/05/10 InvFund

Electrovaya Inc. Electrofuel Inc. ON Non------InvFund

Element 29 Resources Inc. BC Non------InvFund

Element Fleet Management Corp. Element Financial ON Non------Corporation 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) Elemental Royalties Corp. Fengro Industries Corp.; BC Non------DuSolo Fertilizers Inc.; InvFund Eagle Star Minerals Corp.; Eagle Star Petroleum Corp.; Ordorado Resources Corp.

Elementos Limited BC Non------InvFund

EleTel Inc. -- Non- Yes/Oui 1a Yes/Oui 2003/06/19 InvFund

Elite Technical Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/01/05 InvFund

Elixxer Ltd. LGC Capital Ltd.; Knowlton QC Non------Capital Inc.; Buzz InvFund Telecommunications Services Inc.; Knowlton Capital Inc.

Ellipsiz Communications Ltd. NXA Inc.; Nextair Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/22 Scorpion Minerals Inc.; InvFund Dundee-Palliser Resources Inc.

Elora Gold Mines Limited -- Non- -- -- Yes/Oui 1980/07/22 InvFund

Eloro Resources Ltd. Cleyo Resources Inc. ON Non------InvFund

Else Nutrition Holdings Inc. BC Non------InvFund

Ely Gold Royalties Inc. BC Non------InvFund

Elys Game Technology, Corp. ON Non------InvFund

EmberClear Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/11/06 InvFund

Emblem Corp. ON Non------InvFund

Emera Incorporated NS Power Holdings NS Non------Incorporated InvFund

Emerald Health Therapeutics, Inc. BC Non------InvFund

Emerald Place I BC Non- -- -- Yes/Oui 1986/09/16 InvFund

Emerge ARK AI & Big Data ETF ON InvFund ------

Emerge ARK Autonomous Tech & Robotics ON InvFund ------ETF

Emerge ARK Fintech Innovation ETF ON InvFund ------

Emerge ARK Genomics & Biotech ETF ON InvFund ------

Emerge ARK Global Disruptive Innovation ON InvFund ------ETF

Emerge ARK Space Exploration Fund ON InvFund ------

Emerge Commerce Ltd. Aumento Capital VII ON Non------Corporation InvFund

Emergence Global Enterprises Inc. Velocity Data Inc.; GTO BC Non------Resources Inc. InvFund

Emergia Inc. Aydon Income Properties BC Non- Yes/Oui 3 -- -- Inc.; The Delma Group Inc. 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)

Emerging Markets Equity Corporate Class ON InvFund ------

Emerging Markets Equity Fund Primus Capital Advisors ON InvFund ------Emerging Markets Equity Fund

Emerging Markets Equity Pool ON InvFund ------

Emerita Resources Corp. Emerita Gold Corp. ON Non------InvFund

Emfax International Ltd. ON Non- -- -- Yes/Oui 1980/11/30 InvFund

Empire Alliance Properties Inc. BC Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/03/11 InvFund

Empire Company Limited NS Non------InvFund

Empire Life Dividend Growth Mutual Fund ON InvFund ------

Empire Life Emblem Aggressive Growth ON InvFund ------Portfolio

Empire Life Emblem Balanced Portfolio ON InvFund ------

Empire Life Emblem Conservative Portfolio ON InvFund ------

Empire Life Emblem Diversified Income ON InvFund ------Portfolio

Empire Life Emblem Growth Portfolio ON InvFund ------

Empire Life Emblem Moderate Growth ON InvFund ------Portfolio

Empire Life Monthly Income Mutual Fund ON InvFund ------

Empirical Inc. True North Corporation ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/07 InvFund

Empower Clinics Inc. Adira Energy Ltd. BC Non------InvFund

Empower Technologies Corporation BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/07/22 InvFund

Empress Royalty Corp. BC Non------InvFund

Enablence Technologies Inc. Pacific Northwest Partners ON Non- -- -- Yes/Oui 2020/06/09 Limited; Aventine Ventures InvFund Inc.; Mercury Scheduling Systems Inc.

eNblast productions inc. Charityville.com ON Non- Yes/Oui 1a Yes/Oui 2003/05/23 International Inc.; Pure Zinc InvFund Technologies Inc.; San-Mar Environmental Corp.; Clonus Corporation; Megasol Corporation

Enbridge Gas Inc. ON Non------InvFund

Enbridge Inc. IPL Energy Inc. AB Non------InvFund

Enbridge Pipelines Inc. Interprovincial Pipe Line Inc. AB Non------InvFund

Encanto Potash Corp. BC Non------InvFund

Encasa Canadian Bond Fund Social Housing Canadian ON InvFund ------Bond Fund 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)

Encasa Canadian Short-Term Bond Fund Social Housing Canadian ON InvFund ------Short-Term Bond Fund

Encasa Equity Fund Social Housing Canadian ON InvFund ------Equity Fund

enCore Energy Corp. Wolfpack Gold Corp.; Tigris BC Non------Uranium Corp.; Dauntless InvFund Capital Corp.

Endeavour Mining Corporation Endeavour Financial BC Non------Corporation; Endeavour InvFund Mining Capital Corp.

Endeavour Silver Corp. BC Non------InvFund

Endo International plc QC Non------InvFund

Endocan Solutions Inc. (formerly Worldwide Worldwide Marijuana Inc.; BC Non------Marijuana Inc.) Inexco Mining Corp. InvFund

Endurance Gold Corporation BC Non------InvFund

Enerdynamic Hybrid Technologies Corp. MCM Capital One Inc. ON Non------InvFund

Enerflex Ltd. AB Non------InvFund

Energem Resources Inc. DiamondWorks Ltd. BC Non- Yes/Oui 1a, 1c, 1d, 1e Yes/Oui 2009/04/15 InvFund

Energex Minerals Ltd. BC Non- -- -- Yes/Oui 1998/02/10 InvFund

Energold Drilling Corp. BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2019/10/03 InvFund

EnerGulf Resources Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/07/05 InvFund

Energy Conversion Technologies Inc. 1364971 Ontario Inc. ON Non- -- -- Yes/Oui 2009/11/05 InvFund

Energy Fuels Inc. Volcanic Metals Exploration ON Non------Inc.; Orogrande Resources InvFund Inc.

Energy Income Fund Sustainable Production ON InvFund ------Energy Trust

EnerNorth Industries Inc. Energy Power Systems ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/03/16 Limited; Engineering Power InvFund Systems Limited; Engineering Power Systems Group Inc.; Van Ollie Explorations Limited

Enerplus Corporation AB Non------InvFund

EnerSpar Corp. Walmer Capital Corp. AB Non------InvFund

Enertec Corporation -- Non- -- -- Yes/Oui 1986/06/12 InvFund

Enertopia Corp. BC Non------InvFund

Enfield Exploration Corp. BC Non------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) Engagement Labs Inc. Parta Dialogue Inc.; Parta ON Non------Sustainable Solutions Inc.; InvFund Parta Growth Capital I Inc.

Enghouse Systems Limited ON Non------InvFund

Engine Media Holdings, Inc. Torque Esports Corp.; ON Non------Millennial Esports Corp.; InvFund Stratton Capital Corp.

Enhanced Income Corporate Class ON InvFund ------

Enhanced Income Pool Enhanced Markets Income ON InvFund ------Pool

Enhanced Income Portfolio ON InvFund ------

Enlighta Inc. HooXi Network Inc.; Liberty BC Non------Biopharma Inc. InvFund

EnQuest Energy Services Corp. Sikanni Services Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/05/13 InvFund

EnQuest PLC AB Non------InvFund

Enseco Energy Services Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/12/08 InvFund

Ensign Energy Services Inc. Ensign Resource Services AB Non------inc.; Ensign Resource InvFund Service Group Inc.

Enssolutions Group Inc. Chrysalis Capital V ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2018/09/05 Corporation InvFund

Enterprise Group, Inc. Enterprise Oilfield Group, AB Non------Inc. InvFund

Enterra Communications Inc. Kingman Capital ON Non- -- -- Yes/Oui 2001/01/22 Corporation InvFund

Entheon Biomedical Corp. MPV Exploration Inc.; BC Non------M.P.V.Explorations Inc. InvFund

Enthusiast Gaming Holdings Inc. J55 Capital Corp. ON Non------InvFund

ENTREC Corporation Entrec Transportation AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2020/05/25 Services Ltd. InvFund

Entree Resources Ltd. Entree Gold Inc. BC Non------InvFund

Enviro Waste Corporation AB Non- -- -- Yes/Oui 1987/04/30 InvFund

Enviro Waste Limited Partnership AB Non- -- -- Yes/Oui 1987/06/12 InvFund

EnviroLeach Technologies Inc. BC Non------InvFund

Environmental Reclamation Inc. Envirothermic Technologies ON Non- -- -- Yes/Oui 2000/12/20 Limited InvFund

Environmental Risk Holdings Inc. -- Non- -- -- Yes/Oui 1993/07/02 InvFund

Environmental Waste International Inc. ON Non------InvFund

Enviropro International Inc. -- Non- -- -- Yes/Oui 1995/06/06 InvFund

EnWave Corporation BC Non------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) eOptimize Advanced Systems Inc. First Tower Enterprises Inc. BC Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2005/09/08 InvFund

EPCOR Utilities Inc. AB Non------InvFund

ePhone Telecom, Inc. ON Non- Yes/Oui 1b Yes/Oui 2003/12/19 InvFund

Epic Energy Inc. AB Non- Yes/Oui 1a Yes/Oui 2003/07/25 InvFund

Epic Fusion Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

ePlay Digital Inc. Network Life Sciences Inc.; AB Non- Yes/Oui 3 -- -- Network Oncology Inc. InvFund (formerly Organach Beverage Acquisition Corp.)

Epoch Global Equity Class TD Global Growth Class ON InvFund ------

Epoch Global Equity Fund TD Global Growth Fund; TD ON InvFund ------Global Select Fund; Green Line Global Select Fund

Epoch Global Shareholder Yield Fund TD Global Dividend Fund ON InvFund ------

Epoch International Equity Fund TD International Equity ON InvFund ------Fund

Epoch U.S. Blue Chip Equity Currency TD Private U.S. Blue Chip ON InvFund ------Neutral Fund Equity Currency Neutral Fund; TD Private U.S. Large-Cap Currency Neutral Fund

Epoch U.S. Blue Chip Equity Fund TD Private U.S. Blue Chip ON InvFund ------Equity Fund; TD Private U.S. Equity Fund; TD Private U.S. Equity Growth Fund; CT Private U.S. Equity/Growth Fund

Epoch U.S. Large-Cap Value Class TD U.S. Large-Cap Value ON InvFund ------Class

Epoch U.S. Large-Cap Value Fund TD U.S. Large-Cap Value ON InvFund ------Fund

Epoch U.S. Shareholder Yield Fund TD U.S. Shareholder Yield ON InvFund ------Fund

Epsilon Energy Ltd. AB Non------InvFund

EQ Inc. Cyberplex Inc.; Newpath ON Non------Capital Corporation InvFund

eQube Gaming Limited Triox Limited AB Non------InvFund

Equinox Gold Corp. Trek Mining Inc.; JDL Gold BC Non------Corp. InvFund

Equitable Group Inc. ON Non------InvFund

Equitech Corporation AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/12/16 InvFund

Equity Capital Investments Ltd. ON Non- -- -- Yes/Oui 1990/10/01 InvFund

Erdene Resource Development Corporation Erdene Gold Inc. NS Non------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)

Erg Resources Inc. ON Non- -- -- Yes/Oui 1990/12/03 InvFund

Ero Copper Corp. BC Non------InvFund

Erra Resources 1990 Exploration and ON Non- -- -- Yes/Oui 1991/02/21 Development LImited Partnership InvFund

ESG GLOBAL IMPACT CAPITAL INC. Block One Capital Inc.; BC Non------Essex Angel Capital Inc. InvFund

ESI Energy Services Inc. AB Non------InvFund

Eskay Mining Corp. ON Non------InvFund

Esrey Resources Ltd. Esrey Energy Ltd.; LNG BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/02/03 Energy Ltd. InvFund

ESSA Pharma Inc. BC Non------InvFund

Essential Energy Services Ltd. AB Non------InvFund

Essex Oil Ltd. Titan Employment Services ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/11/03 Ltd.; P.A.I. Source Ltd. InvFund

Esto Mutual Fund Limited ON InvFund -- -- Yes/Oui 1978/11/20

Etac Sales Ltd. ON Non- -- -- Yes/Oui 1994/05/26 InvFund

Ether Capital Corporation ON Non------InvFund

Ethos Gold Corp. Ethos Capital Corp. BC Non------InvFund

Etrion Corporation PetroFalcon Corporation BC Non------InvFund

Etruscus Resources Corp. BC Non------InvFund

Eupraxia Pharmaceuticals Inc. BC Non------InvFund

Eureka 93 Inc. LiveWell Canada Inc.; Percy ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2019/09/05 Street Capital Corporation InvFund

Euro-Net Investments Ltd. Reclamation Management ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2003/05/27 Limited InvFund

Euro Asia Pay Holdings Inc. BC Non------InvFund

Euro Manganese Inc. BC Non------InvFund

EURO Ressources S.A. Guyanor Ressources S.A. ON Non------InvFund

Euro Sun Mining Inc. Carpathian Gold Inc.; ON Non------Ore-Leave Capital Inc. InvFund

Eurogas International Inc. ON Non------InvFund

Euromax Resources Ltd. ON Non------InvFund

European Electric Metals Inc. Tirex Resources Ltd. BC Non------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) European Residential Real Estate European Commercial ON Non------Investment Trust Real Estate Investment InvFund Trust

Eurotin Inc. ON Non------InvFund

Eve & Co Incorporated Carlaw Capital V Corp. ON Non------InvFund

Even Technologies Inc. Vertigo Software Corp.; BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/14 Vertigo 3D, Inc.; Easynet InvFund Data Corporation

Everbright Capital Corporation ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2009/08/24 InvFund

Evergold Corp. ON Non------InvFund

Evergreen International Corp. ON Non- -- -- Yes/Oui 1988/06/02 InvFund

Everock Inc. Canadian Everock ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2007/05/04 Explorations Inc.; Digital InvFund Cybernet Corporation

Evertz Technologies Limited ON Non------InvFund

Eviana Health Corporation BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/11/01 InvFund

Evolution Global Frontier Ventures Corp. BC Non------InvFund

Evolve Active Canadian Preferred Share Evolve Active Canadian ON InvFund ------Fund Preferred Share ETF

Evolve Active Core Fixed Income Fund Evolve Active Core Fixed ON InvFund ------Income ETF

Evolve Active Global Fixed Income Fund Evolve Active Global Fixed ON InvFund ------Income ETF

Evolve Automobile Innovation Index Fund Evolve Automobile ON InvFund ------Innovation Index ETF

Evolve Cloud Computing Index Fund ON InvFund ------

Evolve Cyber Security Index Fund Evolve Cyber Security Index ON InvFund ------ETF

Evolve Dividend Stability Preferred Share ON InvFund ------Index ETF

Evolve E-Gaming Index ETF ON InvFund ------

Evolve Future Leadership Fund ON InvFund ------

Evolve Global Healthcare Enhanced Yield Evolve Global Healthcare ON InvFund ------Fund Enhanced Yield ETF

Evolve Global Materials & Mining Enhanced ON InvFund ------Yield Index ETF

Evolve Gold Miners Fund ON InvFund ------

Evolve Innovation Index Fund Evolve Innovation Index ETF ON InvFund ------

Evolve US Banks Enhanced Yield Fund Evolve US Banks Enhanced ON InvFund ------Yield ETF

Evolved Digital Systems Inc. Electromed Inc.; QC Non- -- -- Yes/Oui 2008/04/08 Itec-Mineral Inc. InvFund

Evolving Gold Corp. BC Non------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) exactEarth Ltd. ON Non------InvFund

Exall Energy Corporation AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/04/22 InvFund

Excam Developments Inc. Consolidated African Mining BC Non- Yes/Oui 1a, 1b Yes/Oui 2002/09/25 Corporation InvFund

Excellon Resources Inc. Excellon Resources ON Non------InvFund

Excelsior Mining Corp. BC Non------InvFund

Exchange Income Corporation MB Non------InvFund

Exclamation Investments Corporation Chrysalis Capital VI ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/09/02 Corporation InvFund

Exco Technologies Limited ON Non------InvFund

eXeBlock Technology Corporation BC Non------InvFund

Exelerate Capital Corp. BC Non------InvFund

ExelTech Aerospace Inc. NordTech Aerospace Inc.; QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2010/03/10 Canadian Public Venture InvFund Capital 1 Inc.

Exemplar Growth and Income Fund ON InvFund ------

Exemplar Investment Grade Fund ON InvFund ------

Exemplar Performance Fund ON InvFund ------

EXFO Inc. EXFO Electro-Optical QC Non------Engineering Inc.; InvFund Electro-Optical Engineering Inc.

ExGen Resources Inc. Boxxer Gold Corp. BC Non------InvFund

EXMceuticals Inc. BC Non- Yes/Oui 3 -- -- InvFund

EXO U Inc. Aumento Capital III QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2017/03/08 Corporation InvFund

Experion Holdings Ltd. Viridium Pacific Group Ltd.; BC Non------Morro Bay Resources Ltd.; InvFund Morro Bay Capital Ltd.

Exploits Discovery Corp. Mariner Resources Corp. BC Non------InvFund

Exploration Aurtois Inc. Communications DVR inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/05/07 InvFund

Explorers Alliance Corporation Prospectors Alliance ON Non- Yes/Oui 1b Yes/Oui 2002/01/30 Corporation; Montclerg InvFund Resources Limited

Exploro Minerals Corporation Ltd. Kenridge Investment Corp.; ON Non- -- -- Yes/Oui 1999/03/18 Valavaara Environmental InvFund Technologies Ltd.

Exro Technologies Inc. BioDE Ventures Ltd. AB Non------InvFund

Extendicare Inc. ON Non------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)

Extenway Solutions Inc. Canadian Public Venture QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/01/08 Finance I Inc. InvFund

Extreme Vehicle Battery Technologies Corp. Global Elsimate Capital BC Non- Yes/Oui 3 -- -- Corp.; Cryptobloc InvFund Technologies Corp.; Global Remote Technologies Ltd.

Eyefi Technologies Inc. BC Non------InvFund É

Énergir Inc. Gaz Métro inc.; Gaz QC Non------Metropolitain, inc.; Gaz InvFund Metropolitain, Inc. F

Fabien Explorations Inc. ON Non- -- -- Yes/Oui 1984/06/29 InvFund

Facedrive Inc. High Mountain Capital ON Non------Corporation InvFund

Faircourt Gold Income Corp. ON InvFund ------

Faircourt Split Trust ON InvFund ------

Fairfax Financial Holdings Limited ON Non------InvFund

Fairfax India Holdings Corporation ON Non------InvFund

FairWest Energy Corporation AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

Falco Resources Ltd. QC Non------InvFund

Falcon Gold Corp. Chesstown Capital Inc. BC Non------InvFund

Falcon Group Ltd. QC Non- -- -- Yes/Oui 1994/09/01 InvFund

Falcon Oil & Gas Ltd. BC Non------InvFund

Falcon Well Services Ltd. East Indies Mining ON Non- -- -- Yes/Oui 1999/06/11 Corporation; Chance Mining InvFund and Exploration Company Limited

Falconridge Estates Limited Partnership QC Non- -- -- Yes/Oui 1998/06/03 InvFund

Faleck & Margolies Ltd. ON Non- -- -- Yes/Oui 1989/06/01 InvFund

Family Films Limited Partnership -- Non- -- -- Yes/Oui 1989/09/06 InvFund

Family Single Student Education Savings USC Family Single Student ON InvFund ------Plan Education Savings Plan

Fancamp Exploration Ltd. Fancamp Resources Ltd. BC Non------InvFund

Fandom Sports Media Corp. Hatch Interactive BC Non------Technologies Corporation; InvFund Tosca Resources Corp.

FansUnite Entertainment Inc. BC Non------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)

Fantom Technologies Inc. Iona Appliances Inc. ON Non- Yes/Oui 1a, 1d Yes/Oui 2004/07/20 InvFund

Far City Mining Limited ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2014/02/06 InvFund

Far Resources Ltd. BC Non------InvFund

Fareport Capital Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/07/23 InvFund

Farini Companies Inc., The Farini Group Inc., The; Solex ON Non- Yes/Oui 1a, 1f Yes/Oui 2002/05/24 Capital Inc. InvFund

Farmers Edge Inc. MB Non------InvFund

Fasttask Technologies Inc. HeyBryan Media Inc. BC Non------InvFund

FAX Capital Corp. God's Lake Resources Inc.; ON Non------GGD Resources Inc.; Great InvFund Grandad Resources Limited

FaxMate.Com Inc. PatCall Inc. QC Non- Yes/Oui 1a, 1b Yes/Oui 2002/03/11 InvFund

FDP Balanced Growth Portfolio Professionals' Balanced QC InvFund ------Growth Fund

FDP Balanced Income Portfolio Professionals' Retirement QC InvFund ------Balanced Fund

FDP Balanced Portfolio Professionals' Balanced QC InvFund ------Fund

FDP Canadian Bond Portfolio Professionals' Bond Fund QC InvFund ------

FDP Canadian Equity Portfolio Professionals' Canadian QC InvFund ------Equity Fund

FDP Canadien Dividend Equity Portfolio Professionals' Canadian QC InvFund ------Dividend Fund

FDP Cash Management Portfolio Professionals' Short Term QC InvFund ------Fund

FDP Emerging Markets Equity Portfolio Professionals' Emerging QC InvFund ------Markets Equity Fund

FDP Global Equity Portfolio Professionals' Global QC InvFund ------Equity Fund

FDP Global Fixed Income Portfolio Professionals' Global Fixed QC InvFund ------Income Fund

FDP US Equity Portfolio FDP US Index Equity QC InvFund ------Portfolio; Professionals' American Index Fund

Federal Group Inc., The ON Non- -- -- Yes/Oui 1992/06/23 InvFund

Federated Hermes Strategic Value U.S. Federated Strategic Value BC InvFund ------Equity Dividend Fund U.S. Equity Dividend Fund

Fédération des caisses Desjardins du QC Non------Québec InvFund

Feld Temagami Mines Limited -- Non- -- -- Yes/Oui 1975/02/04 InvFund

FenixOro Gold Corp. American Battery Metals BC Non------Corp.; First Division InvFund Ventures Inc. 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)

Fennec Pharmaceuticals Inc. Adherex Technologies Inc. ON Non------InvFund

Ferau Resources Inc. ON Non- -- -- Yes/Oui 1999/09/08 InvFund

FÉRIQUE Aggressive Growth Portfolio QC InvFund ------

FÉRIQUE American Equity Fund FÉRIQUE AMERICAN Fund QC InvFund ------

FÉRIQUE Asian Equity Fund FÉRIQUE ASIAN Fund QC InvFund ------

FÉRIQUE Balanced Portfolio FÉRIQUE BALANCED Fund QC InvFund ------

FÉRIQUE Canadian Bond Fund FÉRIQUE BOND Fund QC InvFund ------

FÉRIQUE Canadian Dividend Equity Fund FÉRIQUE DIVIDEND FUND QC InvFund ------

FÉRIQUE Canadian Equity Fund FÉRIQUE EQUITY Fund QC InvFund ------

FÉRIQUE Conservative Portfolio QC InvFund ------

FÉRIQUE Emerging Markets Equity Fund FÉRIQUE Emerging QC InvFund ------Markets Fund

FÉRIQUE European Equity Fund FÉRIQUE EUROPEAN QC InvFund ------Fund

FÉRIQUE Global Innovation Equity Fund QC InvFund ------

FÉRIQUE Global Sustainable Development QC InvFund ------Bond Fund

FÉRIQUE Global Sustainable Development QC InvFund ------Equity Fund

FÉRIQUE Globally Diversified Income Fund FÉRIQUE Diversified QC InvFund ------Income Fund

FÉRIQUE Growth Portfolio FÉRIQUE BALANCED QC InvFund ------GROWTH Fund

FÉRIQUE Moderate Portfolio FÉRIQUE MODERATE QC InvFund ------BALANCED FUND

FÉRIQUE Short-Term Income Fund QC InvFund ------

FÉRIQUE World Dividend Equity Fund FÉRIQUE WORLD Fund; QC InvFund ------Ferique International Fund

Feronia Inc. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2020/07/22 InvFund

Fidelity - IG Canadian Equity Pool MB InvFund ------

Fidelity American Balanced Currency ON InvFund ------Neutral Fund

Fidelity American Balanced Fund ON InvFund ------

Fidelity American Disciplined Equity Class ON InvFund ------

Fidelity American Disciplined Equity ON InvFund ------Currency Neutral Class

Fidelity American Disciplined Equity Fund ON InvFund ------

Fidelity American Equity Class ON InvFund ------

Fidelity American Equity Currency Neutral ON InvFund ------Class

Fidelity American Equity Fund Fidelity American Value ON InvFund ------Fund

Fidelity American Equity Systematic ON InvFund ------Currency Hedged Fund 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) Fidelity American High Yield Currency ON InvFund ------Neutral Fund

Fidelity American High Yield Fund Fidelity Emerging Markets ON InvFund ------Bond Fund

Fidelity AsiaStar Class ON InvFund ------

Fidelity AsiaStar Fund ON InvFund ------

Fidelity Asset Allocation Currency Neutral ON InvFund ------Private Pool

Fidelity Asset Allocation Private Pool ON InvFund ------

Fidelity Balanced Class Portfolio ON InvFund ------

Fidelity Balanced Currency Neutral Private ON InvFund ------Pool

Fidelity Balanced Income Currency Neutral ON InvFund ------Private Pool

Fidelity Balanced Income Private Pool ON InvFund ------

Fidelity Balanced Managed Risk Portfolio ON InvFund ------

Fidelity Balanced Portfolio ON InvFund ------

Fidelity Balanced Private Pool ON InvFund ------

Fidelity Canadian Asset Allocation Class ON InvFund ------

Fidelity Canadian Asset Allocation Fund ON InvFund ------

Fidelity Canadian Balanced Class ON InvFund ------

Fidelity Canadian Balanced Fund ON InvFund ------

Fidelity Canadian Bond Fund ON InvFund ------

Fidelity Canadian Core Equity Fund ON InvFund ------

Fidelity Canadian Disciplined Equity Class Fidelity Disciplined Equity ON InvFund ------Class

Fidelity Canadian Disciplined Equity Fund Fidelity Disciplined Equity ON InvFund ------Fund

Fidelity Canadian Equity Multi-Asset Base Fidelity Canadian Equity ON InvFund ------Fund Investment Trust

Fidelity Canadian Equity Private Pool ON InvFund ------

Fidelity Canadian Focused Equity Fidelity Canadian Focused ON InvFund ------Multi-Asset Base Fund Equity Investment Trust

Fidelity Canadian Fundamental Equity ON InvFund ------Multi-Asset Base Fund

Fidelity Canadian Government Long Bond ON InvFund ------Index Multi-Asset Base Fund

Fidelity Canadian Growth Company Class ON InvFund ------

Fidelity Canadian Growth Company Fund ON InvFund ------

Fidelity Canadian High Dividend Index ETF ON InvFund ------

Fidelity Canadian High Dividend Index ETF ON InvFund ------Fund

Fidelity Canadian High Quality Index ETF ON InvFund ------

Fidelity Canadian High Quality Index ETF ON InvFund ------Fund

Fidelity Canadian Large Cap Class ON InvFund ------

Fidelity Canadian Large Cap Fund Fidelity Capital Builder Fund ON 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)

Fidelity Canadian Low Volatility Index ETF ON InvFund ------

Fidelity Canadian Low Volatility Index ETF ON InvFund ------Fund

Fidelity Canadian Momentum Index ETF ON InvFund ------

Fidelity Canadian Money Market Fund Fidelity Canadian Short ON InvFund ------Term Asset Fund

Fidelity Canadian Money Market Investment ON InvFund ------Trust

Fidelity Canadian Monthly High Income ETF ON InvFund ------

Fidelity Canadian Monthly High Income ETF ON InvFund ------Fund

Fidelity Canadian Opportunities Class ON InvFund ------

Fidelity Canadian Opportunities Fund Fidelity Canadian ON InvFund ------Aggressive Fund

Fidelity Canadian Real Return Bond Index Fidelity Canadian Real ON InvFund ------Multi-Asset Base Fund Return Bond Index Investment Trust

Fidelity Canadian Short Term Bond Fund Fidelity Canadian Income ON InvFund ------Fund

Fidelity Canadian Short Term Corporate ON InvFund ------Bond ETF

Fidelity Canadian Short Term Corporate ON InvFund ------Bond ETF Fund

Fidelity Canadian Short Term Fixed Income Fidelity Canadian Short ON InvFund ------Multi-Asset Base Fund Term Fixed Income Investment Trust

Fidelity Canadian Short Term Income Class ON InvFund ------

Fidelity Canadian Value Index ETF ON InvFund ------

Fidelity CanAM Opportunities Class ON InvFund ------

Fidelity CanAM Opportunities Currency ON InvFund ------Neutral Class

Fidelity China Class ON InvFund ------

Fidelity China Fund ON InvFund ------

Fidelity ClearPath 2005 Portfolio ON InvFund ------

Fidelity ClearPath 2010 Portfolio ON InvFund ------

Fidelity ClearPath 2015 Portfolio ON InvFund ------

Fidelity ClearPath 2020 Portfolio ON InvFund ------

Fidelity ClearPath 2025 Portfolio ON InvFund ------

Fidelity ClearPath 2030 Portfolio ON InvFund ------

Fidelity ClearPath 2035 Portfolio ON InvFund ------

Fidelity ClearPath 2040 Portfolio ON InvFund ------

Fidelity ClearPath 2045 Portfolio ON InvFund ------

Fidelity ClearPath 2050 Portfolio ON InvFund ------

Fidelity ClearPath 2055 Portfolio ON InvFund ------

Fidelity ClearPath Income Portfolio ON InvFund ------

Fidelity ClearPath® 2060 Portfolio ON 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) Fidelity Concentrated Canadian Equity Fidelity Concentrated ON InvFund ------Multi-Asset Base Fund Canadian Equity Investment Trust

Fidelity Concentrated Canadian Equity ON InvFund ------Private Pool

Fidelity Concentrated Value Investment ON InvFund ------Trust

Fidelity Concentrated Value Private Pool ON InvFund ------

Fidelity Conservative Income Fund ON InvFund ------

Fidelity Conservative Income Private Pool ON InvFund ------

Fidelity Conservative Managed Risk ON InvFund ------Portfolio

Fidelity Convertible Securities Multi-Asset Fidelity Convertible ON InvFund ------Base Fund Securities Investment Trust

Fidelity Corporate Bond Class Fidelity Corporate Bond ON InvFund ------Capital Yield Class

Fidelity Corporate Bond Fund ON InvFund ------

Fidelity Dividend Class ON InvFund ------

Fidelity Dividend Fund ON InvFund ------

Fidelity Dividend Multi-Asset Base Fund Fidelity Dividend Investment ON InvFund ------Trust

Fidelity Dividend Plus Class ON InvFund ------

Fidelity Dividend Plus Fund Fidelity Income Trust Fund ON InvFund ------

Fidelity Emerging Markets Class ON InvFund ------

Fidelity Emerging Markets Debt Multi-Asset Fidelity Emerging Markets ON InvFund ------Base Fund Debt Investment Trust

Fidelity Emerging Markets Equity Multi-Asset Fidelity Emerging Markets ON InvFund ------Base Fund Equity Investment Trust

Fidelity Emerging Markets Fund Fidelity Emerging Markets ON InvFund ------Portfolio Fund

Fidelity Emerging Markets Local Currency Fidelity Emerging Markets ON InvFund ------Debt Multi-Asset Base Fund Local Currency Debt Investment Trust

Fidelity Europe Class Fidelity European Growth ON InvFund ------Class

Fidelity Europe Fund Fidelity European Growth ON InvFund ------Fund

Fidelity Far East Class ON InvFund ------

Fidelity Far East Fund ON InvFund ------

Fidelity Floating Rate High Income Currency ON InvFund ------Neutral Fund

Fidelity Floating Rate High Income Currency ON InvFund ------Neutral Multi-Asset Base Fund

Fidelity Floating Rate High Income Fund ON InvFund ------

Fidelity Floating Rate High Income Fidelity Floating Rate High ON InvFund ------Multi-Asset Base Fund Income Investment Trust

Fidelity Founders Class ON InvFund ------

Fidelity Founders Currency Neutral Class ON InvFund ------

Fidelity Founders Investment Trust ON 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)

Fidelity Frontier Emerging Markets Fund Fidelity Latin America Fund; ON InvFund ------Fidelity Latin American Growth Fund

Fidelity Global Asset Allocation Currency ON InvFund ------Neutral Private Pool

Fidelity Global Asset Allocation Fund Fidelity Asset Manager ON InvFund ------Fund

Fidelity Global Asset Allocation Private Pool ON InvFund ------

Fidelity Global Balanced Class Portfolio ON InvFund ------

Fidelity Global Balanced Portfolio ON InvFund ------

Fidelity Global Bond Currency Neutral Fund ON InvFund ------

Fidelity Global Bond Currency Neutral Fidelity Global Bond ON InvFund ------Multi-Asset Base Fund Currency Neutral Investment Trust

Fidelity Global Bond Fund ON InvFund ------

Fidelity Global Bond Multi-Asset Base Fund Fidelity Global Bond ON InvFund ------Investment Trust

Fidelity Global Class Fidelity International ON InvFund ------Portfolio Class

Fidelity Global Concentrated Equity Class ON InvFund ------

Fidelity Global Concentrated Equity ON InvFund ------Currency Neutral Fund

Fidelity Global Concentrated Equity Fund Fidelity Global ON InvFund ------Opportunities Fund

Fidelity Global Consumer Industries Class Fidelity Focus Consumer ON InvFund ------Industries Class

Fidelity Global Consumer Industries Fund Fidelity Focus Consumer ON InvFund ------Industries Fund

Fidelity Global Core Plus Bond ETF Fidelity Global Core Plus ON InvFund ------ETF

Fidelity Global Core Plus Bond ETF Fund Fidelity Global Core Plus ON InvFund ------ETF Fund

Fidelity Global Credit Ex-U.S. Currency ON InvFund ------Neutral Multi-Asset Base Fund

Fidelity Global Credit Ex-U.S. Investment ON InvFund ------Trust

Fidelity Global Disciplined Equity Class ON InvFund ------

Fidelity Global Disciplined Equity Currency ON InvFund ------Neutral Class

Fidelity Global Disciplined Equity Fund ON InvFund ------

Fidelity Global Dividend Class ON InvFund ------

Fidelity Global Dividend Fund ON InvFund ------

Fidelity Global Dividend Investment Trust ON InvFund ------

Fidelity Global Equity Currency Neutral ON InvFund ------Private Pool

Fidelity Global Equity Investment Trust ON InvFund ------

Fidelity Global Equity Private Pool ON InvFund ------

Fidelity Global Financial Services Class Fidelity Focus Financial ON InvFund ------Services Class 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)

Fidelity Global Financial Services Fund Fidelity Focus Financial ON InvFund ------Services Fund

Fidelity Global Fund Fidelity International ON InvFund ------Portfolio Fund

Fidelity Global Growth and Value Class ON InvFund ------

Fidelity Global Growth and Value Currency ON InvFund ------Neutral Class

Fidelity Global Growth and Value Investment ON InvFund ------Trust

Fidelity Global Growth Class Portfolio ON InvFund ------

Fidelity Global Growth Portfolio ON InvFund ------

Fidelity Global Health Care Class Fidelity Focus Health Care ON InvFund ------Class

Fidelity Global Health Care Fund Fidelity Focus Health Care ON InvFund ------Fund

Fidelity Global High Yield Multi-Asset Base Fidelity Global High Yield ON InvFund ------Fund Investment Trust

Fidelity Global Income Class Portfolio ON InvFund ------

Fidelity Global Income Portfolio ON InvFund ------

Fidelity Global Innovators Class ON InvFund ------

Fidelity Global Innovators Currency Neutral ON InvFund ------Class

Fidelity Global Innovators Investment Trust ON InvFund ------

Fidelity Global Intrinsic Value Class ON InvFund ------

Fidelity Global Intrinsic Value Currency ON InvFund ------Neutral Class

Fidelity Global Intrinsic Value Investment ON InvFund ------Trust

Fidelity Global Investment Grade Bond ETF ON InvFund ------

Fidelity Global Investment Grade Bond ETF ON InvFund ------Fund

Fidelity Global Large Cap Class ON InvFund ------

Fidelity Global Large Cap Currency Neutral ON InvFund ------Class

Fidelity Global Large Cap Fund ON InvFund ------

Fidelity Global Monthly High Income ETF ON InvFund ------

Fidelity Global Monthly High Income ETF ON InvFund ------Fund

Fidelity Global Monthly Income Currency ON InvFund ------Neutral Fund

Fidelity Global Monthly Income Fund ON InvFund ------

Fidelity Global Natural Resources Class Fidelity Focus Natural ON InvFund ------Resources Class

Fidelity Global Natural Resources Fund Fidelity Focus Natural ON InvFund ------Resources Fund

Fidelity Global Real Estate Class ON InvFund ------

Fidelity Global Real Estate Fund ON 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) Fidelity Global Real Estate Multi-Asset Base Fidelity Global Real Estate ON InvFund ------Fund Investment Trust

Fidelity Global Small Cap Fund ON InvFund ------

Fidelity Global Value Long/Short Fund ON InvFund ------

Fidelity Greater Canada Class ON InvFund ------

Fidelity Greater Canada Fund ON InvFund ------

Fidelity Growth Class Portfolio ON InvFund ------

Fidelity Growth Portfolio ON InvFund ------

Fidelity High Income Commercial Real ON InvFund ------Estate Currency Neutral Multi-Asset Base Fund

Fidelity High Income Commercial Real Fidelity High Income ON InvFund ------Estate Multi-Asset Base Fund Commercial Real Estate Investment Trust

Fidelity Income Allocation Fund Fidelity Monthly High ON InvFund ------Income Fund

Fidelity Income Class Portfolio ON InvFund ------

Fidelity Income Portfolio ON InvFund ------

Fidelity Insights Class ON InvFund ------

Fidelity Insights Currency Neutral Class ON InvFund ------

Fidelity Insights Currency Neutral ON InvFund ------Multi-Asset Base Fund

Fidelity Insights Investment Trust ON InvFund ------

Fidelity Insights Systematic Currency ON InvFund ------Hedged Fund

Fidelity International Concentrated Equity ON InvFund ------Currency Neutral Fund

Fidelity International Concentrated Equity Fidelity International Value ON InvFund ------Fund Fund

Fidelity International Disciplined Equity ON InvFund ------Class

Fidelity International Disciplined Equity ON InvFund ------Currency Neutral Class

Fidelity International Disciplined Equity Fund ON InvFund ------

Fidelity International Equity Currency Neutral ON InvFund ------Investment Trust

Fidelity International Equity Currency Neutral ON InvFund ------Private Pool

Fidelity International Equity Investment Trust ON InvFund ------

Fidelity International Equity Multi-Asset Base ON InvFund ------Fund

Fidelity International Equity Private Pool ON InvFund ------

Fidelity International Growth Class ON InvFund ------

Fidelity International Growth Currency ON InvFund ------Neutral Multi-Asset Base Fund

Fidelity International Growth Fund Fidelity Overseas Fund ON InvFund ------

Fidelity International Growth Multi-Asset Fidelity International Growth ON InvFund ------Base Fund Investment Trust 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) Fidelity International High Dividend Index ON InvFund ------ETF

Fidelity International High Dividend Index ON InvFund ------ETF Fund

Fidelity International High Quality Index ETF ON InvFund ------

Fidelity International High Quality Index ETF ON InvFund ------Fund

Fidelity International Low Volatility Index ETF ON InvFund ------

Fidelity International Low Volatility Index ETF ON InvFund ------Fund

Fidelity International Momentum Index ETF ON InvFund ------

Fidelity International Value Index ETF ON InvFund ------

Fidelity Investment Grade Total Bond ON InvFund ------Currency Neutral Fund

Fidelity Investment Grade Total Bond Fund ON InvFund ------

Fidelity Japan Class Fidelity Japanese Growth ON InvFund ------Class

Fidelity Japan Fund Fidelity Japanese Growth ON InvFund ------Fund

Fidelity Long-Term Leaders Currency ON InvFund ------Neutral Fund

Fidelity Long-Term Leaders Fund ON InvFund ------

Fidelity Long/Short Alternative Fund ON InvFund ------

Fidelity Market Neutral Alternative Fund ON InvFund ------

Fidelity Minerals Corp. Montan Mining Corp.; Strait BC Non------Minerals Inc.; Strait Gold InvFund Corporation

Fidelity Monthly Income Class ON InvFund ------

Fidelity Monthly Income Fund Fidelity Diversified Income ON InvFund ------& Growth Fund

Fidelity Multi-Sector Bond Currency Neutral ON InvFund ------Fund

Fidelity Multi-Sector Bond Fund ON InvFund ------

Fidelity North American Equity Class ON InvFund ------

Fidelity North American Equity Investment ON InvFund ------Trust

Fidelity NorthStar Balanced Currency ON InvFund ------Neutral Fund

Fidelity NorthStar Balanced Fund ON InvFund ------

Fidelity NorthStar Class ON InvFund ------

Fidelity NorthStar Currency Neutral Class ON InvFund ------

Fidelity NorthStar Fund ON InvFund ------

Fidelity Premium Fixed Income Private Pool ON InvFund ------

Fidelity Premium Fixed Income Private Pool Fidelity Premium Fixed ON InvFund ------Class Income Capital Yield Private Pool

Fidelity Premium Money Market Private Pool ON 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) Fidelity Premium Tactical Fixed Income Fidelity Premium Tactical ON InvFund ------Private Pool Fixed Income Capital Yield Private Pool

Fidelity Small Cap America Class ON InvFund ------

Fidelity Small Cap America Currency ON InvFund ------Neutral Class

Fidelity Small Cap America Fund ON InvFund ------

Fidelity Small Cap America Systematic ON InvFund ------Currency Hedged Fund

Fidelity Special Situations Class ON InvFund ------

Fidelity Special Situations Fund ON InvFund ------

Fidelity Strategic Income Currency Neutral ON InvFund ------Fund

Fidelity Strategic Income Fund ON InvFund ------

Fidelity Sustainable World ETF ON InvFund ------

Fidelity Sustainable World ETF Fund ON InvFund ------

Fidelity Systematic Canadian Bond Index ON InvFund ------ETF

Fidelity Systematic Canadian Bond Index ON InvFund ------ETF Fund

Fidelity Systematic U.S. High Yield Bond Fidelity Fundamental High ON InvFund ------Currency Neutral ETF Yield Currency Neutral ETF

Fidelity Systematic U.S. High Yield Bond Fidelity Fundamental High ON InvFund ------Currency Neutral ETF Fund Yield Currency Neutral ETF Fund

Fidelity Systematic U.S. High Yield Bond Fidelity Fundamental High ON InvFund ------ETF Yield ETF

Fidelity Systematic U.S. High Yield Bond Fidelity Fundamental High ON InvFund ------ETF Fund Yield ETF Fund

Fidelity Tactical Fixed Income Fund ON InvFund ------

Fidelity Tactical Global Dividend ETF Fund ON InvFund ------

Fidelity Tactical High Income Currency ON InvFund ------Neutral Fund

Fidelity Tactical High Income Fund ON InvFund ------

Fidelity Tactical Strategies Fund ON InvFund ------

Fidelity Technology Innovators Class Fidelity Global Technology ON InvFund ------Class; Fidelity Focus Technology Class

Fidelity Technology Innovators Fund Fidelity Global Technology ON InvFund ------Fund; Fidelity Focus Technology Fund

Fidelity Trend Fund ON InvFund Yes/Oui 1a, 1b, 3 -- --

Fidelity True North Class ON InvFund ------

Fidelity True North Fund ON InvFund ------

Fidelity U.S. All Cap Class ON InvFund ------

Fidelity U.S. All Cap Currency Neutral Class ON InvFund ------

Fidelity U.S. All Cap Fund ON InvFund ------

Fidelity U.S. Bond Currency Neutral ON InvFund ------Multi-Asset Base Fund 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)

Fidelity U.S. Bond Multi-Asset Base Fund Fidelity U.S. Bond ON InvFund ------Investment Trust

Fidelity U.S. Core Equity Fund ON InvFund ------

Fidelity U.S. Dividend Currency Neutral Fund ON InvFund ------

Fidelity U.S. Dividend for Rising Rates ON InvFund ------Currency Neutral Index ETF

Fidelity U.S. Dividend for Rising Rates ON InvFund ------Currency Neutral Index ETF Fund

Fidelity U.S. Dividend for Rising Rates Index ON InvFund ------ETF

Fidelity U.S. Dividend for Rising Rates Index ON InvFund ------ETF Fund

Fidelity U.S. Dividend Fund ON InvFund ------

Fidelity U.S. Dividend Investment Trust ON InvFund ------

Fidelity U.S. Dividend Private Pool ON InvFund ------

Fidelity U.S. Dividend Registered Fund ON InvFund ------

Fidelity U.S. Dividend Systematic Currency ON InvFund ------Hedged Fund

Fidelity U.S. Equity Currency Neutral Private ON InvFund ------Pool

Fidelity U.S. Equity Investment Trust ON InvFund ------

Fidelity U.S. Equity Private Pool ON InvFund ------

Fidelity U.S. Focused Stock Class Fidelity Growth America ON InvFund ------Class

Fidelity U.S. Focused Stock Currency ON InvFund ------Neutral Class

Fidelity U.S. Focused Stock Fund Fidelity Growth America ON InvFund ------Fund

Fidelity U.S. Focused Stock Systematic ON InvFund ------Currency Hedged Fund

Fidelity U.S. Growth and Income Private ON InvFund ------Pool

Fidelity U.S. Growth Opportunities Class ON InvFund ------

Fidelity U.S. Growth Opportunities ON InvFund ------Investment Trust

Fidelity U.S. Growth Opportunities ON InvFund ------Systematic Currency Hedged Class

Fidelity U.S. High Dividend Currency Neutral ON InvFund ------Index ETF

Fidelity U.S. High Dividend Currency Neutral ON InvFund ------Index ETF Fund

Fidelity U.S. High Dividend Index ETF ON InvFund ------

Fidelity U.S. High Dividend Index ETF Fund ON InvFund ------

Fidelity U.S. High Quality Currency Neutral ON InvFund ------Index ETF

Fidelity U.S. High Quality Currency Neutral ON InvFund ------Index ETF Fund

Fidelity U.S. High Quality Index ETF ON InvFund ------

Fidelity U.S. High Quality Index ETF Fund ON 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)

Fidelity U.S. Low Volatility Currency Neutral ON InvFund ------Index ETF

Fidelity U.S. Low Volatility Currency Neutral ON InvFund ------Index ETF Fund

Fidelity U.S. Low Volatility Index ETF ON InvFund ------

Fidelity U.S. Low Volatility Index ETF Fund ON InvFund ------

Fidelity U.S. Momentum Currency Neutral ON InvFund ------Index ETF

Fidelity U.S. Momentum Index ETF ON InvFund ------

Fidelity U.S. Money Market Fund ON InvFund ------

Fidelity U.S. Money Market Investment Trust ON InvFund ------

Fidelity U.S. Monthly Income Currency ON InvFund ------Neutral Fund

Fidelity U.S. Monthly Income Fund ON InvFund ------

Fidelity U.S. Multi-Cap Multi-Asset Base Fidelity U.S. Multi-Cap ON InvFund ------Fund Investment Trust

Fidelity U.S. Small/Mid-Cap Equity Fidelity U.S. Small/Mid Cap ON InvFund ------Multi-Asset Base Fund Equity Investment Trust

Fidelity U.S. Value Currency Neutral Index ON InvFund ------ETF

Fidelity U.S. Value Index ETF ON InvFund ------

Fidelity Women's Leadership Fund ON InvFund ------

Fidelity Women's Leadership Systematic ON InvFund ------Currency Hedged Fund

Field Trip Health Ltd. ON Non------InvFund

Fiera Capital Corporation Fiera Sceptre Inc.; Sceptre QC Non------Investment Counsel InvFund Limited

Filo Mining Corp. BC Non------InvFund

Final Assignment -- Non- -- -- Yes/Oui 1982/09/10 InvFund

Financial 15 Split Corp. ON InvFund ------

FinCanna Capital Corp. Astar Minerals Ltd. BC Non------InvFund

Findev Inc. TransGaming Inc.; Taos ON Non------Capital Inc. InvFund

Fineqia International Inc. NanoStruck Technologies BC Non------Inc.; Blue Gold Water InvFund Technologies Ltd.; Golden Cross Resources Inc.

Finish Line Racing Stables Limited -- Non- -- -- Yes/Oui 1994/06/22 Partnership InvFund

Finishing Touch -- Non- -- -- Yes/Oui 1986/07/04 InvFund

Finline Technologies Ltd. ON Non- Yes/Oui 1a, 1d Yes/Oui 2003/07/24 InvFund

Finning International Inc. Finning Ltd. BC Non------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)

Fintech Select Ltd. SelectCore Ltd.; Ribbon ON Non------Capital Corp. InvFund

Fiore Cannabis Ltd. Citation Growth Corp.; Liht BC Non------Cannabis Corp.; InvFund Marapharm Ventures Inc.

Firan Technology Group Corporation Circuit World Corporation ON Non------InvFund

Fire River Gold Corp. BC Non------InvFund

Fire & Flower Holdings Corp. Cinaport Acquisition Corp. II ON Non------InvFund

FireFox Gold Corp. BC Non------InvFund

Fireweed Zinc Ltd. BC Non------InvFund

Firm Capital Apartment Real Estate Firm Capital American ON Non------Investment Trust Realty Partners Trust InvFund

Firm Capital Mortgage Investment ON Non------Corporation InvFund

Firm Capital Property Trust ON Non------InvFund

First Asset Canadian Convertible Bond Canadian Convertible Bond ON InvFund ------Fund Fund

First Asset Canadian Dividend Opportunity ON InvFund ------Fund

First Asset REIT Income Fund Criterion REIT Income Fund ON InvFund ------

First Asset Utility Plus Fund Criterion Utility Plus Fund ON InvFund ------

First Canadian Land Investors (Brampton) ON Non- -- -- Yes/Oui 1993/01/26 Inc. InvFund

First Capital Real Estate Investment Trust ON Non------InvFund

First Choice Products Inc. ITI World Investment Group BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/02/11 Inc. InvFund

First Cobalt Corp. ON Non------InvFund

First Eastern Equities Inc. ON Non- -- -- Yes/Oui 1991/11/14 InvFund

First Energy Metals Limited BC Non------InvFund

First Global Data Limited Rockstar Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/04 InvFund

First Growth Funds Limited BC Non------InvFund

First Interactive Inc. Zacherra Holdings Inc. ON Non- -- -- Yes/Oui 2000/10/24 InvFund

First Leaside Properties Fund ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/07 InvFund

FIRST LIGHT CAPITAL CORP. BC Non------InvFund

First Majestic Silver Corp. First Majestic Resource BC Non------Corp. 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) First Metals Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/05/09 InvFund

First Mining Gold Corp. First Mining Finance Corp.; BC Non------Albion Petroleum Ltd. InvFund

First National Financial Corporation ON Non------InvFund

First Nickel Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/12/04 InvFund

First Quantum Minerals Ltd. ON Non------InvFund

First Responder Technologies Inc. BC Non------InvFund

First Strike Diamonds Inc. Vertex Ventures Inc.; ON Non- Yes/Oui 1a, 3 Yes/Oui 2003/09/25 Midswana Diamond InvFund Exploration Corp.

First Trust AlphaDEX Emerging Market ON InvFund ------Dividend ETF (CAD-Hedged)

First Trust AlphaDEX European Dividend ON InvFund ------Index ETF (CAD-Hedged)

First Trust AlphaDEX U.S. Health Care ON InvFund ------Sector Index ETF

First Trust AlphaDEX U.S. Industrials Sector ON InvFund ------Index ETF

First Trust AlphaDEX U.S. Technology ON InvFund ------Sector Index ETF

First Trust Canadian Capital Strength ETF First Trust AlphaDEX U.S. ON InvFund ------Consumer Staples Sector Index ETF; First Trust Canadian Capital Strength Portfolio; RBC Dominion Securities Canadian Focus List Portfolio; RBC Investments Focus List Trust; RBC Investments Focus List Trust, 2001 Portfolio

First Trust Cboe Vest U.S. Equity Buffer ETF First Trust Cboe Vest U.S. ON InvFund ------August Equity Buffer ETF - June

First Trust Cboe Vest U.S. Equity Buffer ETF ON InvFund ------February

First Trust Cboe Vest U.S. Equity Buffer ETF ON InvFund ------May

First Trust Cboe Vest U.S. Equity Buffer ETF ON InvFund ------November

First Trust Cboe Vest U.S. Equity Deep First Trust Cboe Vest U.S. ON InvFund ------Buffer ETF - August Equity Deep Buffer ETF - June

First Trust Cboe Vest U.S. Equity Deep ON InvFund ------Buffer ETF - February

First Trust Cboe Vest U.S. Equity Deep ON InvFund ------Buffer ETF - May

First Trust Cboe Vest U.S. Equity Deep ON InvFund ------Buffer ETF - November

First Trust Cloud Computing ETF First Trust AlphaDEX U.S. ON InvFund ------Utilities Sector Index ETF 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)

First Trust Dow Jones Internet ETF First Trust AlphaDEX U.S. ON InvFund ------Consumer Staples Sector Index ETF

First Trust Global Risk Managed Income ON InvFund ------Index ETF

First Trust Indxx Innovative Transaction and ON InvFund ------Process ETF

First Trust Indxx NextG ETF First Trust AlphaDEX U.S. ON InvFund ------Energy Sector Index ETF

First Trust International Capital Strength ON InvFund ------ETF

First Trust JFL Fixed Income Core Plus ETF ON InvFund ------

First Trust JFL Global Equity ETF ON InvFund ------

First Trust Morningstar Dividend Leaders First Trust Dorsey Wright ON InvFund ------ETF (CAD-Hedged) U.S. Sector Rotation Index ETF (CAD-Hedged); First Trust Dorsey Wright Dynamic U.S. Sector Rotation Index ETF (CAD-Hedged)

First Trust Nasdaq Cybersecurity ETF First Trust AlphaDEX U.S. ON InvFund ------Consumer Discretionary Sector Index ETF

First Trust NASDAQ® Clean Edge® Green First Trust AlphaDEX U.S. ON InvFund ------Energy ETF Financial Sector Index ETF

First Trust NYSE Arca Biotechnology ETF First Trust AlphaDEX U.S. ON InvFund ------(fomerly, First Trust AlphaDEX U.S. Materials Sector Index ETF Materials Sector Index ETF)

First Trust Senior Loan ETF (CAD-Hedged) ON InvFund ------

First Trust Tactical Bond Index ETF ON InvFund ------

First Trust Value Line® Dividend Index ETF First Trust AlphaDEX U.S. ON InvFund ------(CAD-Hedged) previously, First Trust Dividend ETF AlphaDEX U.S. Dividend ETF (CAD-Hedged) (CAD-Hedged); First Trust AlphaDEX U.S. Dividend Plus ETF (CAD-Hedged)

First United Capital Inc. ON Non- -- -- Yes/Oui 1986/02/12 InvFund

First Vanadium Corp. Cornerstone Metals Inc.; BC Non------Appleton Exploration Inc. InvFund

First Western Minerals Inc. BC Non- -- -- Yes/Oui 1992/07/24 InvFund

Firstgold Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/06/11 InvFund

Firstlane Inc. ON Non- Yes/Oui 1a Yes/Oui 2003/01/21 InvFund

FIRSTSERVICE CORPORATION ON Non------InvFund

FirstSmart Sensor Corp. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/01/20 InvFund

Fission Uranium Corp. BC Non------InvFund

Five Nines Ventures Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/11/10 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) FL Master Sherman, Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/07 InvFund

Flagship Communities Real Estate ON Non------Investment Trust InvFund

Flaherty & Crumrine Investment Grade Flaherty & Crumrine ON InvFund ------Preferred Income Fund Investment Grade Fixed Income Fund

Flemdon Ltd. ON Non- -- -- Yes/Oui 1975/04/09 InvFund

Fletcher Nickel Inc. ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2015/05/08 InvFund

Flex First Plan ON InvFund ------

Flexwork Properties Ltd. Reliant Gold Corp.; REC ON Non------Minerals Corp.; Richmond InvFund Energy Corp.

Floorco Ltd. ON Non- Yes/Oui 1a, 1d Yes/Oui 1996/06/17 InvFund

Flow Capital Corp. LOGiQ Asset Management ON Non------Inc.; Aston Hill Financial Inc. InvFund

Flow Metals Corp. BC Non------InvFund

Flower One Holdings Inc. ON Non------InvFund

Flutter Entertainment plc ON Non------InvFund

FMF Capital Group Ltd. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2008/01/23 InvFund

FMI Holdings Ltd. Forbes Medi-Tech Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2011/10/19 InvFund 1e, 3

Focus Graphite Inc. Focus Metals Inc.; 3D Visit ON Non------Inc. InvFund

FogChain Corp. Mukuba Resources BC Non------Limited; BF Minerals Ltd.; InvFund Redaurum Limited

Fonds Matiq40 QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- --

Foot Locker, Inc. Venator Group, Inc.; ON Non------Woolworth Corporation InvFund

Foraco International SA ON Non------InvFund

Foran Mining Corporation BC Non------InvFund

Forbes Energy Services Ltd. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2020/12/08 InvFund

Ford Auto Securitization Trust ON Non------InvFund

Ford Credit Canada Company Ford Credit Canada Limited ON Non------InvFund

Ford Motor Company ON Non------InvFund

Forefront Consolidated Explorations Ltd. ON Non- -- -- Yes/Oui 1981/01/13 InvFund

Foremost Income Fund AB Non------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)

Forest Gate Energy Inc. Forest Gate Resources Inc. QC Non- -- -- Yes/Oui 2012/05/07 InvFund

Forest Hill Capital Corporation Equashare Management ON Non- -- -- Yes/Oui 1999/04/15 Corporation InvFund

Forge First Conservative Alternative Fund ON InvFund ------

Forge First Long Short Alternative Fund ON InvFund ------

Forsys Metals Corp Forsys Technologies Inc.; ON Non------Forsys Corporation; Ottawa InvFund Structural Services Ltd.

Fort St. James Nickel Corp. OroAndes Resource Corp.; BC Non------Avalanche Minerals Ltd.; InvFund Avalanche Networks Corporation

Fortaleza Energy Inc. Alvopetro Inc.; Fortress AB Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2016/05/10 Energy Inc. InvFund

Forterra Environmental Corp. reWORKS ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/16 ENVIRONMENTAL CORP. InvFund

Fortified Trust ON Non------InvFund

Fortis Inc. ON Non------InvFund

FortisAlberta Inc. AB Non------InvFund

FortisBC Energy Inc. Terasen Gas Inc.; BC Gas BC Non------Utility Ltd. InvFund

FortisBC Inc. Aquila Networks Canada BC Non------(British Columbia) Ltd.; InvFund Utilicorp Networks Canada (British Columbia) Ltd.; West Kootenay Power Ltd.

Fortress Global Enterprises Inc. Fortress Paper Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

Fortress Technologies Inc. Fortress Blockchain Corp.; BC Non------Focused Capital II Corp. InvFund

Fortuna Silver Mines Inc. BC Non------InvFund

Fortune Bay Corp. NS Non------InvFund

Fortune Minerals Limited ON Non------InvFund

Forza Petroleum Limited Oryx Petroleum Corporation AB Non------Limited InvFund

Fossil Oil & Gas Limited AB Non------InvFund

Foundation Wealth Diversifier Pool ON InvFund ------

Foundation Wealth Equity Pool ON InvFund ------

Foundation Wealth Income Pool ON InvFund ------

Founder Resources Inc. ON Non- Yes/Oui 1a, 1b, 1d, 1g Yes/Oui 1995/11/03 InvFund

Founders Metals Inc. Avalon Works Corp. BC Non------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) Fountain Asset Corp. GC-Global Capital Corp. ON Non------InvFund

Four Nines Gold Inc. BC Non------InvFund

Fox River Resources Corporation ON Non------InvFund

Foxgrove Exploration Ltd. -- Non- -- -- Yes/Oui 1992/06/23 InvFund

FP Newspapers Inc. MB Non------InvFund

FPX Nickel Corp. First Point Minerals Corp. BC Non------InvFund

Fracmaster Ltd. Canadian Fracmaster Ltd. AB Non- -- -- Yes/Oui 1999/05/28 InvFund

Franchise Services of North America Inc. AB Non- -- -- Yes/Oui 2014/04/08 InvFund

FranchiseMaster Technologies Inc. Renaissance Golf BC Non- Yes/Oui 1a Yes/Oui 2002/04/08 (Canada) Inc. InvFund

Franco-Nevada Corporation ON Non------InvFund

Franklin ActiveQuant Canadian Fund Franklin Bissett All ON InvFund ------Canadian Focus Fund; Bissett All Canadian Focus Fund

Franklin ActiveQuant U.S. Fund Franklin Bissett U.S. Focus ON InvFund ------Fund; Bissett U.S. Focus Fund

Franklin Bissett Canada Plus Equity Fund ON InvFund ------

Franklin Bissett Canadian Balanced Fund Bissett Canadian Balanced ON InvFund ------Fund; Bissett Retirement Fund

Franklin Bissett Canadian Bond Fund ON InvFund ------

Franklin Bissett Canadian Dividend Fund Bissett Canadian Dividend ON InvFund ------Fund; Bissett Income Trust and Dividend Fund

Franklin Bissett Canadian Equity Fund Bissett Canadian Equity ON InvFund ------Fund

Franklin Bissett Canadian Government ON InvFund ------Bond Fund

Franklin Bissett Core Plus Bond Fund Franklin Bissett Bond Fund; ON InvFund ------Bissett Bond Fund

Franklin Bissett Corporate Bond Fund Bissett Corporate Bond ON InvFund ------Fund

Franklin Bissett Dividend Income Fund Bissett Dividend Income ON InvFund ------Fund

Franklin Bissett Money Market Fund Franklin Templeton Money ON InvFund ------Market Fund; Bissett Money Market Fund

Franklin Bissett Monthly Income and Growth ON InvFund ------Fund

Franklin Bissett Short Duration Bond Fund Franklin Bissett Canadian ON InvFund ------Short Term Bond Fund; Bissett Canadian Short Term Bond Fund 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)

Franklin Bissett Small Cap Fund Bissett Small Cap Fund ON InvFund ------

Franklin Canadian Core Equity Fund ON InvFund ------

Franklin Conservative Income ETF Portfolio ON InvFund ------

Franklin Core ETF Portfolio ON InvFund ------

Franklin Emerging Markets Core Equity ON InvFund ------Fund

Franklin FTSE Canada All Cap Index ETF ON InvFund ------

Franklin FTSE Europe ex U.K. Index ETF ON InvFund ------

Franklin FTSE Japan Index ETF ON InvFund ------

Franklin FTSE U.S. Index ETF ON InvFund ------

Franklin Global Aggregate Bond Fund ON InvFund ------

Franklin Global Growth Active ETF ON InvFund ------

Franklin Global Growth Fund Franklin World Growth Fund ON InvFund ------

Franklin Growth ETF Portfolio ON InvFund ------

Franklin High Income Fund Franklin AGE High Income ON InvFund ------Fund

Franklin Innovation Active ETF ON InvFund ------

Franklin Innovation Fund ON InvFund ------

Franklin International Core Equity Fund ON InvFund ------

Franklin Liberty Canadian Investment Grade ON InvFund ------Corporate ETF

Franklin Liberty Core Balanced ETF ON InvFund ------

Franklin Liberty Core Plus Bond ETF ON InvFund ------

Franklin Liberty Global Aggregate Bond ETF ON InvFund ------(CAD-Hedged)

Franklin Liberty Risk Managed Canadian ON InvFund ------Equity ETF

Franklin Liberty Short Duration Bond ETF ON InvFund ------

Franklin Liberty U.S. Investment Grade ON InvFund ------Corporate ETF (CAD-Hedged)

Franklin LibertyQT Emerging Markets Index ON InvFund ------ETF

Franklin LibertyQT Global Dividend Index ON InvFund ------ETF

Franklin LibertyQT International Equity Index ON InvFund ------ETF

Franklin LibertyQT U.S. Equity Index ETF ON InvFund ------

Franklin Mutual Global Discovery Fund Mutual Global Discovery ON InvFund ------Fund; Mutual Discovery Fund

Franklin Mutual Global Discovery Fund II ON InvFund ------

Franklin Quotential Balanced Growth Quotential Balanced Growth ON InvFund ------Portfolio Portfolio; Franklin Templeton Balanced Growth Portfolio 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) Franklin Quotential Balanced Income Quotential Balanced ON InvFund ------Portfolio Income Portfolio; Franklin Templeton Balanced Income Portfolio

Franklin Quotential Diversified Equity Franklin Quotential Global ON InvFund ------Portfolio Growth Portfolio; Quotential Global Growth Portfolio; Franklin Templeton Global Growth Portfolio

Franklin Quotential Diversified Income Quotential Diversified ON InvFund ------Portfolio Income Portfolio; Franklin Templeton Diversified Income Portfolio

Franklin Quotential Growth Portfolio Quotential Growth Portfolio; ON InvFund ------Franklin Templeton Growth Portfolio

Franklin Strategic Income Fund ON InvFund ------

Franklin U.S. Core Equity Fund ON InvFund ------

Franklin U.S. Monthly Income Fund Franklin Income Fund ON InvFund ------

Franklin U.S. Opportunities Fund Franklin Flex Cap Growth ON InvFund ------Fund; Franklin U.S. Small-Mid Cap Growth Fund; Franklin U.S. Small Cap Growth Fund

Franklin U.S. Rising Dividends Fund Franklin Templeton U.S. ON InvFund ------Rising Dividends Fund; Bissett American Equity Fund

Fraser Papers Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2011/03/10 InvFund

Freegold Ventures Limited International Freegold BC Non------Mineral Development Inc. InvFund

Freehold Royalties Ltd. AB Non------InvFund

Freeman Gold Corp. Lodge Resources Inc. BC Non------InvFund

Freshii Inc. ON Non------InvFund

Friedberg Asset Allocation Fund ON InvFund ------

Friedberg Asset Allocation Fund Limited ON InvFund ------Partnership

Friedberg Global-Macro Hedge Fund ON InvFund ------

Friedberg Global-Macro Hedge Fund ON InvFund ------Limited Partnership

Fronsac Real Estate Investment Trust QC Non------InvFund

Frontenac Mortgage Investment Corporation ON Non------InvFund

Frontera Energy Corporation Pacific Exploration & ON Non------Production Corporation; InvFund Pacific Rubiales Energy Corp.

Frontier Lithium Inc. Houston Lake Mining Inc. ON Non------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) Frontline Gold Corporation Chrysos Capital ON Non------Corporation InvFund

Frontline Technologies Inc. Belzberg Technologies Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 Belzberg Financial Markets InvFund & News International Inc.

FSD Pharma Inc. Century Financial Capital ON Non------Group Inc.; Olympic Rom InvFund World Inc.

FT Balanced Growth Private Wealth Pool FT Balanced Growth Pool ON InvFund ------

FT Balanced Income Private Wealth Pool FT Balanced Income Pool ON InvFund ------

FT Capital Ltd. BC Non- Yes/Oui 1a, 1d Yes/Oui 2003/07/30 InvFund

FT Growth Private Wealth Pool FT Growth Pool ON InvFund ------

Fuel Cell Technologies Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2007/05/03 InvFund

FuelPositive Corporation EEStor Corporation; ZENN ON Non- Yes/Oui 3 -- -- Motor Company Inc.; Feel InvFund Good Cars Corporation; MCL Capital Inc.

Fulcrum Resources Inc. Vital Resources Corp. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/03/10 InvFund

Full Metal Minerals Ltd. BC Non------InvFund

Funtime Hospitality Corp. W.I.N. Gaming Corp.; Red ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/03/03 Rocket Explorations Inc. InvFund

Fury Gold Mines Limited Auryn Resources Inc. ON Non------InvFund

Fuse Cobalt Inc. LiCo Energy Metals Inc.; BC Non------Wildcat Exploration Ltd. InvFund

Fusion Pharmaceuticals Inc. ON Non------InvFund

Future Beach Corporation QC Non- Yes/Oui 1a, 1d, 3 Yes/Oui 2004/02/26 InvFund

Future Farm Technologies Inc. Arcturus Growthstar BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/08/18 Technologies Inc. InvFund

Futureline Communications Co. Ltd. ON Non- -- -- Yes/Oui 2001/05/25 InvFund

FW Omnimedia Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2005/05/09 InvFund G

G Mining Ventures Corp. Kanadario Gold Inc. BC Non------InvFund

G2 Goldfields Inc. Sandy Lake Gold Inc.; Lago ON Non------Dourado Minerals Ltd. InvFund

G2 Technologies Corp. Green 2 Blue Energy Corp. BC Non------InvFund

Gabriel Resources Ltd. BC Non------InvFund

GABY Inc. Gabriella's Kitchen Inc. AB Non------InvFund

Gage Growth Corp. ON Non------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)

Gaia Grow Corp. Spirit Bear Capital Corp. BC Non------InvFund

Galane Gold Ltd. Carlaw Capital III Corp. ON Non------InvFund

Galantas Gold Corporation European Gold Resources ON Non------Inc.; Montemor Resources InvFund Inc.; Consolidated Deer Creek Resources Limited

GalaVu Entertainment Inc. Garrison International Inc. ON Non- -- -- Yes/Oui 2000/03/03 InvFund

GalaxiWorld.com Limited GLC Limited; Gaming -- Non- -- -- Yes/Oui 1999/11/08 Lottery Corporation InvFund

Galaxy Digital Holdings Ltd. Bradmer Pharmaceuticals ON Non------Inc. InvFund

Galaxy Lithium One Inc. ON Non- Yes/Oui 3 -- -- InvFund

Galaxy Minerals, Inc. -- Non- -- -- Yes/Oui 1984/07/10 InvFund

Galaxy Online Inc. Rux Resources Inc.; Lago ON Non- -- -- Yes/Oui 2002/05/22 Resources Ltd.; Brew Kettle InvFund Corporation

Galaxy Resources Limited ON Non------InvFund

Galiano Gold Inc. Asanko Gold Inc.; Keegan BC Non------Resources Inc. InvFund

Galileo Webtrack Systems Corp. RCP Capital Corp. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/05/26 InvFund

Gallagher Security Corp. Hilltop Cybersecurity Inc.; BC Non------Big Wind Capital Inc.; TORO InvFund RESOURCES CORP.

Galleon Gold Corp. Pure Nickel Inc. ON Non------InvFund

Gallery Resources Limited BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/11/02 InvFund

Galway Gold Inc. ON Non------InvFund

Galway Metals Inc. ON Non------InvFund

Gambier Gold Corp. Canadian Energy Materials BC Non------Corp.; Canadian InvFund International Minerals Inc.

Gambit Consolidated Explorations Ltd. -- Non- -- -- Yes/Oui 1981/01/13 InvFund

Gambol Group Incorporated -- Non- -- -- Yes/Oui 1999/06/11 InvFund

Gamehost Inc. AB Non------InvFund

GameSquare Esports Inc. Magnolia Colombia Ltd.; ON Non------Stetson Oil & Gas Ltd. InvFund

Gamesys Group plc JPJ Group plc; Jackpotjoy ON Non------plc InvFund

Gandalf Technologies Inc. ON Non- -- -- Yes/Oui 1997/09/24 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)

Garda World Security Corporation QC Non------InvFund

Gaslite Petroleum Ltd. -- Non- -- -- Yes/Oui 1985/05/14 InvFund

Gastem Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/07 InvFund

Gas, the Fright, Comics -- Non- -- -- Yes/Oui 1984/06/25 InvFund

Gatekeeper Systems Inc. Indigo Sky Capital Corp. BC Non------InvFund

Gatos Silver, Inc. Sunshine Silver Mining & ON Non------Refining Corporation InvFund

GBLT Corp. CUP Capital Corp. BC Non------InvFund

GBO Inc. Groupe Bocenor Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/11/03 InvFund

GBS Gold International Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/15 InvFund

GC One Equity Portfolio ON InvFund ------

GC One Fixed Income Portfolio ON InvFund ------

GCC Global Capital Corporation CWN Mining Acquisition BC Non------Corporation InvFund

GDI Global Data Inc. Telular Canada Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2005/06/14 InvFund

GDI Integrated Facility Services Inc. Medwell Capital Corp.; QC Non------BioMS Medical Corp. InvFund

GDL Evergreen Inc. ON Non- -- -- Yes/Oui 2001/05/25 InvFund

GE Capital Canada Funding Company ON Non------InvFund

Gear Energy Ltd. AB Non------InvFund

gearunlimited.com Inc. Vogue Resources Inc. ON Non- Yes/Oui 1b Yes/Oui 2001/12/14 InvFund

Gelum Capital Ltd. Jagercor Energy Corp.; BC Non------Jager Metal Corp. InvFund

Gemoscan Canada, Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/03/04 InvFund

Gemstone X.Change Corp., The The Gemstone X.Change ON Non- Yes/Oui 1a, 1d Yes/Oui 2002/06/21 Corp.; PharmaGeneric Inc. InvFund

Gencan Capital Inc. ON Non------InvFund

General Allied Oil & Gas Co. -- Non- -- -- Yes/Oui 1986/06/02 InvFund

General Gas and Oil Company Limited -- Non- -- -- Yes/Oui 1982/09/23 InvFund

General Gold Resources Inc. Cellstop Systems Inc.; BC Non------Appareo Software Inc.; InvFund Group West Systems Ltd.

General Leaseholds Limited -- Non- -- -- Yes/Oui 1996/10/15 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) General Moly, Inc. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2020/11/20 InvFund

General Motors Company ON Non------InvFund

Generation Mining Limited ON Non------InvFund

Generic Gold Corp. ON Non------InvFund

Genesis Acquisition Corp. BC Non------InvFund

Genesis Hydrogen Systems Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Genesis Land Development Corp. AB Non------InvFund

Genesis Metals Corp Entourage Metals Ltd. BC Non------InvFund

Genesis Trust II ON Non------InvFund

Genesis Worldwide Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/05/15 InvFund

GENIUS METALS INC. QC Non------InvFund

Genoil Inc. Continental Fashion Group AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/05/09 Inc. InvFund

Genoray Advanced Technologies Ltd. Soundcache.com Inc.; AB Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2004/03/23 Shadow Capital Corp. InvFund

Gensource Potash Corporation Gensource Capital SK Non------Corporation; Augen Capital InvFund Corp

Gentor Resources Inc. ON Non------InvFund

Geodrill Limited ON Non------InvFund

GeoGlobal Resources Inc. Suite101.com, Inc.; Kinetic AB Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2013/04/23 Ventures Ltd.; Neuro InvFund Navigational Corporation

Geographics, Inc. -- Non- -- -- Yes/Oui 1998/09/10 InvFund

Geomega Resources Inc. QC Non------InvFund

GeoPetro Resources Company AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/26 InvFund

George Weston Limited ON Non------InvFund

Georgian Bancorp Inc. ON Non- -- -- Yes/Oui 2000/12/06 InvFund

GeoVenCap Inc. China 88 Capital Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

Geovic Mining Corp. Resource Equity Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/15 InvFund

Geraldton Longlac Gold Inc. ON Non- -- -- Yes/Oui 1999/09/08 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) Gerido Lake Mines Limited -- Non- -- -- Yes/Oui 1975/02/13 InvFund

German House Toronto Inc. -- Non- -- -- Yes/Oui 1986/06/24 InvFund

Getchell Gold Corp. Wabi Exploration Inc.; ON Non------Mikotel Networks Inc.; InvFund Nufort Resources Inc.

GetSwift Technologies Limited BC Non------InvFund

Getty Copper Inc. Getty Copper Corp. BC Non------InvFund

GFG Resources Inc. Crest Petroleum Corp. BC Non------InvFund

GFL Environmental Inc. ON Non------InvFund

Ghana Gold Mines Limited -- Non- -- -- Yes/Oui 2000/11/23 InvFund

GHP Noetic Science-Psychedelic Pharma ON Non------Inc. InvFund

Gibraltar Springs Capital Corporation QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2006/04/12 InvFund

Gibson Energy Inc. AB Non------InvFund

GIGA Metals Corporation Hard Creek Nickel BC Non------Corporation InvFund

Gildan Activewear Inc. QC Non------InvFund

GINSMS Inc. AB Non------InvFund

Gitennes Exploration Inc. BC Non------InvFund

Giyani Metals Corp. Giyani Gold Corp.; 99 ON Non------Capital Corporation InvFund

GK Resources Ltd. BC Non------InvFund

Glacier Credit Card Trust Canadian Tire Receivables ON Non------Trust InvFund

Glacier Media Inc. Glacier Ventures BC Non------International Corp.; InvFund Sevenway Capital Corporation; XL Foods Ltd.

Gladstone Pacific Nickel Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/06/14 InvFund

Glenbriar Technologies Inc. BC Non------InvFund

Glenbrook Plaza Limited Partnership -- Non- -- -- Yes/Oui 1988/07/18 InvFund

Glendale International Corp. Firan Corporation ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2010/03/12 InvFund

GLG Life Tech Corporation GLG Life Tech Limited BC Non------InvFund

Global Atomic Corporation Silvermet Inc.; Atikokan ON Non------Resources Inc. 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)

Global Battery Metals Ltd. Redzone Resources Ltd. BC Non------InvFund

Global Biotech Inc. Heritage Living Canada ON Non- Yes/Oui 1a, 1b, 1d -- -- Corp. InvFund

Global Cannabis Applications Corp. Fundamental Applications BC Non------Corp. InvFund

Global Care Capital Inc. Resinco Capital Partners BC Non------Inc.; Longview Capital InvFund Partners Incorporated

Global Crossing Airlines Group Inc. Global Crossing Airlines BC Non------Inc.; Canada Jetlines Ltd.; InvFund Jet Metal Corp.; Crosshair Energy Corporation; Crosshair Exploration & Mining Corp.

Global Dividend Growers Income Fund AB InvFund ------

Global Dividend Growth Split Corp. ON InvFund ------

Global Equity Allocation Pool ON InvFund ------

Global Equity Pool ON InvFund ------

Global Fixed Income Corporate Class ON InvFund ------

Global Fixed Income Pool Assante Global Fixed ON InvFund ------Income Pool; Optima Strategy Global Fixed Income Pool; Optima Strategy International Fund - Global Fixed Income Section

Global Gaming Technologies Corp. Global Blockchain BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2020/01/07 Technologies Corp.; Carrus InvFund Capital Corporation; BioWest Therapeutics Inc.

Global Gardens Group Inc. Global Gardens Group BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/02/01 Acquisition Corp. InvFund

Global Health Clinics Ltd Leo Resources Inc. BC Non------InvFund

Global Healthcare Dividend Fund AB InvFund ------

Global Hemp Group Inc. Arris Holdings Inc. BC Non------InvFund

Global Iman Fund ON InvFund ------

Global Innovation Dividend Fund AB InvFund ------

Global Key Investment Limited BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/15 InvFund

Global Li-Ion Graphite Corp. BC Non------InvFund

Global Managed Volatility Fund ON InvFund ------

Global Real Estate & E-Commerce AB InvFund ------Dividend Fund

Global SeaFarms Corporation QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/12/09 InvFund

Global Telecom & Utilities Income Fund Global Advantaged ON InvFund ------Telecom & Utilities Income Fund 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) Global UAV Technologies Ltd. Alta Vista Ventures Ltd. BC Non------InvFund

Global Water Resources, Inc. GWR Global Water ON Non------Resources Corp. InvFund

Global Wellness Strategies Inc. Redfund Capital Corp.; BC Non------Parana Copper InvFund Corporation; AAN Ventures Inc.; Ona Power Corp.; Ona Energy Inc.; Ona Exploration Inc.

Globalive Technology Inc. Corporate Catalyst ON Non------Acquisition Inc. InvFund

GlobeTel Communications Limited BC Non- Yes/Oui 1a Yes/Oui 2003/07/31 InvFund

Globevest Capital Tactical Covered Options QC InvFund ------Fund

GlobeX Data Ltd. BC Non------InvFund

Globex Mining Enterprises Inc. ON Non------InvFund

Glorious Creation Limited BC Non------InvFund

Glow Lifetech Corp. Ateba Resources Inc.; ON Non------Ateba Technology & InvFund Environmental Inc.; Ateba Mines Inc.

Gnomestar Craft Inc. Vodis Pharmaceuticals Inc.; BC Non------Southbridge Resources InvFund Corp.

Go Capital I, Inc. ON Non- -- -- Yes/Oui 2014/05/07 InvFund

Go Metals Corp. Go Cobalt Mining Corp.; BC Non------Gorilla Minerals Corp. InvFund

Go Vacations 1985 Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Go Vacations 1986-A Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Go Vacations 1986 Limited Partnership -- Non- -- -- Yes/Oui 1993/07/13 InvFund

Go Vacations 1987-A Limited Partnership -- Non- -- -- Yes/Oui 1995/01/27 InvFund

Go Vacations 1987-B Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Go Vacations 1987 Limited Partnership -- Non- -- -- Yes/Oui 1995/04/28 InvFund

Go Vacations 1988-B Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Go Vacations 1988-C Limited Partnership -- Non- -- -- Yes/Oui 1995/05/09 InvFund

Go Vacations 1988 - A Limited Partnership -- Non- -- -- Yes/Oui 1995/05/09 InvFund

Go Vacations 1989-A Limited Partnership -- Non- -- -- Yes/Oui 1995/05/09 InvFund

Go Vacations 1989-B Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 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)

Go Vacations 1990-A Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Go Vacations Inc. -- Non- -- -- Yes/Oui 1995/03/29 InvFund

goeasy Ltd. Easyhome Ltd.; RTO ON Non------Enterprises Inc. InvFund

Gogama Resources Inc. -- Non- -- -- Yes/Oui 1989/11/30 InvFund

GoGold Resources Inc. NS Non------InvFund

Golcap Resources Corp. BC Non------InvFund

GOLD'N FUTURES MINERAL CORP. European Metals Corp.; ON Non------Gondwana Oil Corp. InvFund

Gold Basin Resources Corporation Fiorentina Minerals Inc. BC Non------InvFund

Gold Hunter Resources Inc. BC Non------InvFund

Gold Line Resources Ltd. Tilting Capital Corp.; BC Non------Ignition Point Technologies InvFund Corp.; Telelink Communications Corporation

Gold Lion Resources Inc. BC Non------InvFund

Gold Mountain Mining Corp. Freeform Capital Partners BC Non------Inc. InvFund

Gold Port Corporation Corsurex Resource Corp.; BC Non------Gold Port Resources Ltd. InvFund

Gold Reserve Inc. Gold Reserve Corporation ON Non------InvFund

Gold Ridge Mines Inc. -- Non- -- -- Yes/Oui 1981/07/08 InvFund

Gold Royalty Corp. BC Non------InvFund

Gold Rush Cariboo Corp. Cava Resources Inc.; Sea ON Non------Green Capital Corp.; InvFund Capture.Net Technologies Inc.; Taltal Gold Corp.

Gold Springs Resource Corp. TriMetals Mining Inc.; South BC Non- Yes/Oui 3 -- -- American Silver Corp. InvFund

Gold Standard Ventures Corp. Devonshire Resources Ltd.; BC Non------Ripple Lake Diamonds Inc. InvFund

Gold Terra Resource Corp. TerraX Minerals Inc. BC Non------InvFund

Gold World Resources Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/15 InvFund

Gold X Mining Corp. Sandspring Resources Ltd. BC Non------InvFund

Gold79 Mines Ltd. Aura Resources Inc.; Aura ON Non------Silver Resources Inc.; Au InvFund Martinique Silver Inc.; Marcus Energy Holdings Inc.; Marcus Energy Inc. 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)

Goldbar Resources Inc. Nanika Resources Inc.; BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/02/07 New Cantech Ventures Inc.; InvFund Cantech Ventures Inc.; Cantech Ventures Inc.

Goldblock Capital Inc BC Non------InvFund

Goldeidt Explorations Inc. -- Non- -- -- Yes/Oui 1984/12/06 InvFund

Golden Arm Mines Limited -- Non- -- -- Yes/Oui 1978/07/13 InvFund

Golden Birch Resources Inc. ON Non------InvFund

Golden Briar Mines Limited AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2006/05/10 InvFund

Golden Crescent Corporation Golden Crescent -- Non- -- -- Yes/Oui 2001/06/04 Resources Corp. InvFund

Golden Dawn Minerals Inc. BC Non------InvFund

Golden Harp Resources Inc. BC Non------InvFund

Golden Independence Mining Corp. 66 Resources Corp. BC Non------InvFund

Golden Lake Exploration Inc. BC Non------InvFund

Golden Leaf Holdings Ltd. ON Non------InvFund

Golden Maritime Resources Ltd. BC Non- -- -- Yes/Oui 2000/07/26 InvFund

Golden Minerals Company ON Non------InvFund

Golden Moor Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/01/10 InvFund

Golden Myra Resources Inc. -- Non- -- -- Yes/Oui 1990/09/27 InvFund

Golden Phoenix Minerals, Inc. ON Non- -- -- Yes/Oui 2013/12/18 InvFund

Golden Pond Resources Ltd. -- Non- -- -- Yes/Oui 1992/03/13 InvFund

Golden Predator Mining Corp. BC Non------InvFund

Golden Range Resources Inc. -- Non- -- -- Yes/Oui 1990/03/09 InvFund

Golden Saturn Oil & Gas Limited -- Non- -- -- Yes/Oui 1980/08/12 InvFund

Golden Share Resources Corporation Golden Share Mining ON Non------Corporation InvFund

Golden Star Resources Ltd. ON Non------InvFund

Golden Sunset Trail Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/05/07 InvFund

Golden Terrace Resources Corporation -- Non- -- -- Yes/Oui 1991/07/08 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) Golden Trend Petroleum Ltd. -- Non- -- -- Yes/Oui 2000/06/30 InvFund

Golden Valley Mines Ltd. QC Non------InvFund

Goldeneye Resources Corp. Barranco Resources Corp. BC Non------InvFund

Goldgroup Mining Inc. Sierra Minerals Inc. BC Non------InvFund

GoldHaven Resources Corp. Altum Resource Corp. BC Non------InvFund

Goldlinx International Inc. -- Non- -- -- Yes/Oui 1999/01/29 InvFund

GoldMining Inc. BC Non------InvFund

GoldMoney Inc. BitGold Inc. ON Non------InvFund

Goldnev Resources Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2012/08/10 InvFund

Goldplex Development Corporation -- Non- -- -- Yes/Oui 1996/11/05 InvFund

GoldQuest Mining Corp. Wellington Cove BC Non------Explorations Ltd. InvFund

Goldrea Resources Corp. BC Non------InvFund

Goldseek Resources Inc. ON Non------InvFund

Goldspot Discoveries Corp. Duckworth Capital Corp. ON Non------InvFund

Goldstake Explorations Inc. ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2010/04/08 InvFund

Goldtrack Resources Inc. -- Non- -- -- Yes/Oui 1990/09/27 InvFund

Goliath Resources Limited Bitumen Capital Inc. ON Non------InvFund

GOLO Mobile Inc. HAW Capital Corp. AB Non------InvFund

good natured Products Inc. Solegear Bioplastic BC Non------Technologies Inc.; Rodeo InvFund Capital III Corp.

Good2Go Corp. ON Non------InvFund

Goodfellow Inc. QC Non------InvFund

Goodfood Market Corp. Mira VII Acquisition Corp. QC Non------InvFund

GOODWOOD CAPITAL FUND Goodwood Capital Fund, ON InvFund ------The

Goran Capital Inc. -- Non- Yes/Oui 1b Yes/Oui 2003/09/16 InvFund

Gordex Minerals Limited -- Non- -- -- Yes/Oui 1989/07/28 InvFund

Gourmet Ocean Products Inc. Megal Capital Corporation BC Non------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)

GoverMedia Plus Canada Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

Governor Gold Mines Limited -- Non- -- -- Yes/Oui 1975/04/09 InvFund

Goviex Uranium Inc. BC Non------InvFund

Gowest Gold Ltd. Gowest Amalgamated ON Non------Resources Ltd. InvFund

GPM Metals Inc. Guyana Precious Metals ON Non------Inc.; Coronation Minerals InvFund Inc.

GQG Partners Global Quality Equity Fund ON InvFund ------

GQG Partners International Quality Equity ON InvFund ------Fund

GR SILVER MINING LTD. Goldplay Exploration Ltd.; BC Non------Soleil Capital Corp. InvFund

Grafton Group Limited -- Non- -- -- Yes/Oui 1992/07/13 InvFund

Gram Minerals Corp. Slovakian Gram Minerals -- Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2001/11/26 Corp. InvFund

Gran Colombia Gold Corp. ON Non------InvFund

Gran Tierra Energy Inc. AB Non------InvFund

Grand Okanagan Resort II Limited -- Non- -- -- Yes/Oui 1998/06/03 Partnership InvFund

Grand Okanagan Resort Limited -- Non- -- -- Yes/Oui 1998/06/03 Partnership InvFund

Grand Peak Capital Corp. BC Non------InvFund

Grandview-on-the-Lake Equity Corporation -- Non- -- -- Yes/Oui 1985/09/18 InvFund

Granite Destinations Corporation (Northern -- Non- -- -- Yes/Oui 1992/08/28 and Eastern) InvFund

Granite Heritage Corporation (Northern and -- Non- -- -- Yes/Oui 1992/04/15 Eastern) InvFund

Granite Real Estate Investment Trust ON Non------InvFund

Granite REIT Holdings Limited Partnership ON Non------InvFund

Granite REIT Inc. ON Non------InvFund

Granite Tourism Corporation -- Non- -- -- Yes/Oui 1992/04/15 InvFund

Graph Blockchain Inc. ON Non------InvFund

Graphene Manufacturing Group PTY Ltd. ON Non------InvFund

Grasset Lake Mines Limited -- Non- -- -- Yes/Oui 1985/06/26 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) Gratomic Inc. CKR Carbon Corporation; ON Non------Caribou King Resources InvFund Ltd.; Caribou Copper Resources Ltd.; Yow Capital Corp.

Gravitas Financial Inc. ON Non------InvFund

Gray Industries Inc. -- Non- -- -- Yes/Oui 1972/04/28 InvFund

Gray Wolf Capital Corporation Isomer Capital Corporation; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/01/31 Diversified Monthly Income InvFund Corporation

Graycliff Exploration Ltd. BC Non------InvFund

Great-West Lifeco Inc. MB Non------InvFund

Great Basin Gold Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/09/03 InvFund

Great Bear Resources Ltd. Great Bear Uranium Corp. BC Non------InvFund

Great Bear Royalties Corp. BC Non------InvFund

Great Canadian Gaming Corporation ON Non------InvFund

Great Canadian Soup Company Limited -- Non- -- -- Yes/Oui 1988/09/13 Partnership, The InvFund

Great Lakes Graphite Inc. Shield Gold Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/03/05 InvFund

Great Lakes Nickel Limited ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/09/09 InvFund

Great Legends Mining Inc. -- Non- -- -- Yes/Oui 2000/06/01 InvFund

Great Northern Gas Company -- Non- -- -- Yes/Oui 1993/07/13 InvFund

Great Panther Mining Limited Great Panther Silver BC Non------Limited; Great Panther InvFund Resources Limited

Great Prairie Energy Services Inc. DevCorp Capital Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2018/05/16 InvFund

Great Thunder Gold Corp. BC Non------InvFund

Great Western Minerals Group Ltd. SK Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/15 InvFund

Greater Toronto Airports Authority ON Non------InvFund

Grecian Specialty Foods Inc. -- Non- -- -- Yes/Oui 1997/10/23 InvFund

Green Arrow Resources Inc. Bulldog Explorations Ltd.; BC Non------SinoGas West Inc. InvFund

Green Environmental Technologies Inc. E21 Group Inc., The ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3, Yes/Oui 2005/11/08 InvFund 4

Green Growth Brands Inc. Xanthic Biopharma Inc.; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/07/29 Aurquest Resources Inc.; InvFund Rampart Mercantile Inc. 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)

Green Panda Capital Corp. ON Non------InvFund

Green Rise Foods Inc. Green Rise Capital ON Non------Corporation InvFund

Green River Gold Corp. Greywacke Exploration Ltd.; AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- Minerva Minerals Limited InvFund

Green Standard Vanadium Resources BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/25 Corp. InvFund

Green Thumb Industries Inc. BC Non------InvFund

Greenbank Capital Inc. ON Non------InvFund

Greenbrook TMS Inc. ON Non------InvFund

Greencastle Resources Ltd. Vergene Capital Corp. ON Non------InvFund

Greenfields Petroleum Corporation AB Non------InvFund

GreenFirst Forest Products Inc. Itasca Capital Ltd.; Kobex BC Non------Capital Corp.; Kobex InvFund Minerals Inc.; IMA Exploration Inc.; IMA Resource Corporation; Ima Reource Corporation

Greengreen Capital Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/01/10 InvFund

Greenland Resources Inc. Primera Bioscience ON Non------Research Inc. InvFund

Greenlane Renewables Inc. BC Non------InvFund

Greenlight Communications Inc. -- Non- -- -- Yes/Oui 1999/11/30 InvFund

GreenSpace Brands Inc. Aumento Capital IV ON Non------Corporation InvFund

GreenStar Agricultural Corporation China Green Star ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/06/03 Agricultural Corporation; InvFund Aquarius Capital Corp.

Greenstone Capital Corp. AB Non------InvFund

Greenstone Resources Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2000/06/02 InvFund 1e, 3

Greentree Gas & Oil Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/05/10 InvFund

Greenwich Resources plc -- Non- -- -- Yes/Oui 1985/10/07 InvFund

GreenWise Balanced Portfolio QC InvFund ------

GreenWise Conservative Portfolio QC InvFund ------

GreenWise Growth Portfolio QC InvFund ------

Grey Fox, The -- Non- -- -- Yes/Oui 1982/09/10 InvFund

Greyvest Capital Inc. -- Non- -- -- Yes/Oui 2002/05/22 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)

Grid Metals Corp. Mustang Minerals Corp.; ON Non------Mustang Gold Corp.; GRF InvFund Technology Inc.; Graph/Max Inc.

Grosvenor Resource Corporation Reva Resources Corp.; BC Non------Learnsoft Corporation InvFund

Groundstar Resources Limited AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/09/04 InvFund

Group Eleven Resources Corp. BC Non------InvFund

GrowMax Resources Corp. Americas Petrogas Inc. BC Non------InvFund

Grown Rogue International Inc. Novicius Corp.; Intelligent ON Non------Content Enterprises Inc.; InvFund Eagleford Energy Corp.; Eagleford Energy Inc.; Eugenic Corp.; Bonanza Red Lake Explorations Inc.

Growth 100 Fund Diversified Equity Fund ON InvFund ------

Growth 80/20 Fund Balanced Growth Plus Fund ON InvFund ------

Growth & Income Class Growth & Income Class ON InvFund ------

GrowthWorks Canadian Fund Ltd. GrowthWorks WV Canadian ON InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- -- Fund Inc.; Working Ventures Canadian Fund Inc.

GrowthWorks Commercialization Fund Ltd. ON InvFund Yes/Oui 1b, 1c, 3 -- --

Gryphon Gold Corporation BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2013/07/23 InvFund

GST Telecommunications Inc. -- Non- -- -- Yes/Oui 2001/08/14 InvFund

GT Group Telecom Inc. -- Non- Yes/Oui 1b Yes/Oui 2002/11/29 InvFund

GTA Financecorp Inc. GTA Resources and Mining ON Non------Inc.; GTA CorpFin Capital InvFund Inc.

GTEC Holdings Ltd. Black Birch Capital BC Non------Acquisition III Corp. InvFund

Guard Inc. ON Non- -- -- Yes/Oui 2002/05/23 InvFund

Guardian Canadian Bond ETF ON InvFund ------

Guardian Canadian Bond Fund ON InvFund ------

Guardian Canadian Equity Fund ON InvFund ------

Guardian Canadian Equity Income Fund Guardian Equity Income ON InvFund ------Fund

Guardian Canadian Equity Select Fund ON InvFund ------

Guardian Canadian Focused Equity Fund ON InvFund ------

Guardian Canadian Growth Equity Fund ON InvFund ------

Guardian Canadian Sector Controlled ON InvFund ------Equity Fund

Guardian Canadian Short-Term Investment ON InvFund ------Fund

Guardian Capital Group Limited ON Non------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)

Guardian Directed Equity Path ETF ON InvFund ------

Guardian Directed Equity Path Portfolio Guardian SteadyPace ON InvFund ------Equity Fund

Guardian Directed Premium Yield ETF ON InvFund ------

Guardian Directed Premium Yield Portfolio Guardian SteadyFlow Equity ON InvFund ------Fund

Guardian Emerging Markets Equity Fund ON InvFund ------

Guardian Exploration Inc. AB Non------InvFund

Guardian Fixed Income Select Fund Guardian Private Wealth ON InvFund ------Bond Fund

Guardian Fundamental All Country Equity ON InvFund ------ETF

Guardian Fundamental Emerging Markets ON InvFund ------Equity ETF

Guardian Fundamental Global Equity Fund ON InvFund ------

Guardian Global Dividend Growth Fund ON InvFund ------

Guardian Global Equity Fund ON InvFund ------

Guardian High Yield Bond Fund ON InvFund ------

Guardian i3 Global Quality Growth ETF ON InvFund ------

Guardian i3 Global REIT ETF ON InvFund ------

Guardian i3 US Quality Growth ETF ON InvFund ------

Guardian International Equity Fund ON InvFund ------

Guardian International Equity Select Fund ON InvFund ------

Guardian Investment Grade Corporate Bond ON InvFund ------Fund

Guardian Managed Balanced Portfolio Guardian Balanced Fund ON InvFund ------

Guardian Managed Growth Portfolio ON InvFund ------

Guardian Managed Income Portfolio ON InvFund ------

Guardian Managed Income & Growth ON InvFund ------Portfolio

Guardian Risk Managed Conservative ON InvFund ------Portfolio

Guardian Short Duration Bond Fund ON InvFund ------

Guardian Strategic Income Fund ON InvFund ------

Guardian U.S. Equity All Cap Growth Fund ON InvFund ------

Guardian U.S. Equity Fund ON InvFund ------

Guardian U.S. Equity Select Fund ON InvFund ------

Guerrero Exploration Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/08/11 InvFund

Gulf International Minerals Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2006/04/18 InvFund 1e, 3

Gulf & Pacific Equities Corp. ON Non------InvFund

Gungnir Resources Inc. Anglo Swiss Resources BC Non------Inc. 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) GURU Organic Energy Corp. Mira X Acquisition Corp. QC Non------InvFund

GVIC Communications Corp. GVIC Publications Ltd.; BC Non------Stressgen Biotechnologies InvFund Corporation H

H-SOURCE HOLDINGS LTD. BC Non------InvFund

H2O INNOVATION INC. QC Non------InvFund

Haemacure Corporation QC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2010/02/19 InvFund

Haivision Systems Inc. QC Non------InvFund

Halio Energy Inc. Everest Ventures Inc.; TAD BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2019/12/04 Mineral Exploration Inc.; InvFund TAD Capital Corp.

Halliburton Company ON Non------InvFund

Halo Collective Inc. Halo Labs Inc.; Apogee ON Non------Opportunities Inc. InvFund

Halozone Technologies Inc. ON Non- -- -- Yes/Oui 1996/05/17 InvFund

Haltain Developments Corp. BC Non------InvFund

Hamilton Australian Bank Equal-Weight ON InvFund ------Index ETF

Hamilton Canadian Bank Mean Reversion ON InvFund ------Index ETF

Hamilton Enhanced Canadian Bank ETF Hamilton Canadian Bank ON InvFund ------(formerly Hamilton Canadian Bank 1.25x 1.25x Leverage ETF Leverage ETF)

Hamilton Financials Innovation ETF ON InvFund ------

Hamilton Global Financials ETF ON InvFund ------

Hamilton Thorne Ltd. Calotto Capital Inc. ON Non------InvFund

Hamilton U.S. Mid/Small-Cap Financials ON InvFund ------ETF

Hammond Manufacturing Company Limited ON Non------InvFund

Hammond Power Solutions Inc. ON Non------InvFund

Hampton Financial Corporation Dominion General ON Non------Investment Corporation InvFund

Hanfeng Evergreen Inc. McVicar Minerals Ltd. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/02/19 InvFund

Hanna Capital Corp. Nitinat Minerals Corporation ON Non------InvFund

Hanwei Energy Services Corp. BC Non------InvFund

Hapbee Technologies, Inc. BC Non------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)

Happy Creek Minerals Ltd. BC Non------InvFund

Happy Supplements Inc. Viking Gold Exploration Inc.; BC Non------Copper Hill Corporation; InvFund Royal Group Capital Corporation; Royal Aerospace Corp.

Harbor Pines Development Corporation ON Non------InvFund

Harborside Inc. Lineage Grow Company ON Non------Ltd. InvFund

Harbourfront Hotel Limited Partnership -- Non- -- -- Yes/Oui 1998/05/22 InvFund

Hardrock Extension Inc. ON Non- -- -- Yes/Oui 1999/09/08 InvFund

Hardwood Properties Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/06/16 InvFund

Hardwoods Distribution Inc. BC Non------InvFund

Harry Tracy - Desperado -- Non- -- -- Yes/Oui 1986/09/22 InvFund

Harrys Manufacturing Inc. Westridge Resources Inc. BC Non------InvFund

Harte Gold Corp. Harte Resources ON Non------Corporation InvFund

Hartland Pipeline Services Ltd. AB Non- -- -- Yes/Oui 2000/06/30 InvFund

Harvest Banks & Buildings Income Fund ON InvFund ------

Harvest Brand Leaders Plus Income ETF Brand Leaders Plus ON InvFund ------Income ETF

Harvest Canadian Income & Growth Fund ON InvFund ------

Harvest Clean Energy ETF ON InvFund ------

Harvest Energy Leaders Plus Income ETF Energy Leaders Plus ON InvFund ------Income ETF

Harvest Equal Weight Global Utilities ON InvFund ------Income ETF

Harvest Global Gold Giants Index ETF ON InvFund ------

Harvest Global REIT Leaders Income ETF Global REIT Leaders ON InvFund ------Income ETF

Harvest Health & Recreation Inc. RockBridge Resources Inc.; BC Non------Rockbridge Energy Inc. InvFund

Harvest Healthcare Leaders Income ETF Healthcare Leaders Income ON InvFund ------ETF

Harvest One Cannabis Inc. BC Non------InvFund

Harvest Space Innovation Index ETF ON InvFund ------

Harvest Tech Achievers Growth & Income Tech Achievers Growth & ON InvFund ------ETF Income ETF

Harvest Travel & Leisure Index ETF ON InvFund ------

Harvest US Bank Leaders Income ETF ON 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) Harvest US Equity Plus Income ETF US Equity Plus Income ETF; ON InvFund ------US Buyback Leaders ETF

HAVN Life Sciences Inc. BC Non------InvFund

HAW Capital 2 Corp. AB Non------InvFund

Hawkmoon Resources Corp. BC Non------InvFund

Hayes Resources Inc. ON Non- -- -- Yes/Oui 1990/06/08 InvFund

Hazelview Global Real Estate Fund Timbercreek Global Real ON InvFund ------Estate Income Fund

Head On Investors -- Non- -- -- Yes/Oui 1982/09/10 InvFund

Headwater Exploration Inc. Corridor Resources Inc.; AB Non------Contwoyto Goldfields InvFund Limited

Headway Property Investment 77-I ON Non- -- -- Yes/Oui 1998/05/22 InvFund

Headway Property Investment 77-II ON Non- -- -- Yes/Oui 1989/01/04 InvFund

Headway Property Investment 78-II ON Non- -- -- Yes/Oui 1998/05/22 InvFund

Headway Property Investment 78-III ON Non- -- -- Yes/Oui 1997/11/07 InvFund

Health & Environment Inc. -- Non- -- -- Yes/Oui 1989/06/09 InvFund

Healthcare Special Opportunities Fund ON InvFund ------

Healthscreen Solutions Incorporated International Akash ON Non- Yes/Oui 1a, 1b, 1c, 1e, Yes/Oui 2011/09/02 Ventures Inc. InvFund 2b, 3

HealthSpace Data Systems Ltd. HealthSpace Informatics BC Non------Ltd. InvFund

Healthtrac, Inc. Virtualsellers.com, Inc.; BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2004/10/18 Suncom InvFund 1e, 3 Telecommunications Inc.; Cam-Net Communications Network inc.

Heatherdale Resources Ltd. Brass Capital Corp. BC Non------InvFund

Heating Oil Partners Income Fund ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Hecla Mining Company BC Non------InvFund

Hedman Resources Limited ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2007/09/12 InvFund

Hegco Canada Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2009/11/05 InvFund 1e, 3

Helical Corporation Inc., The EnerVision Incorporated; NS Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/01/22 Castle Capital Inc. InvFund

Helios Fairfax Partners Corporation Fairfax Africa Holdings ON Non------Corporation InvFund

Helius Medical Technologies, Inc. BC Non------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)

Helix BioPharma Corp. ON Non------InvFund

Hello Pal International Inc. BC Non------InvFund

Hemisphere Energy Corporation BC Non------InvFund

Hemlo Explorers Inc. Canadian Orebodies Inc. ON Non------InvFund

Hemp for Health Inc. BC Non------InvFund

Hempfusion Wellness Inc. BC Non------InvFund

Heritage Cannabis Holdings Corp. Umbral Energy Corp. ON Non------InvFund

Heritage Global Inc. ON Non------InvFund

Heritage Plans Heritage Scholarship Trust ON InvFund ------Plan

Heroux-Devtek Inc. Heroux Inc. QC Non------InvFund

Hershey Oil Corporation -- Non- -- -- Yes/Oui 1994/06/24 InvFund

HEXO Corp. The Hydropothecary ON Non------Corporation; BFK Capital InvFund Corp.

Hi Ho Silver Resources Inc. BC Non- Yes/Oui 3 -- -- InvFund

High-Country Engineering Ltd. -- Non- -- -- Yes/Oui 1983/11/03 InvFund

High Arctic Energy Services Inc. AB Non------InvFund

High Country, The -- Non- -- -- Yes/Oui 1988/10/04 InvFund

High Interest Savings Account Fund High Interest Savings ON InvFund ------Account ETF

High Liner Foods Incorporated National Sea Products NS Non------Limited InvFund

High Mountain 2 Capital Corporation AB Non------InvFund

High North Resources Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/02/05 InvFund

High Point Exploration Inc. BC Non------InvFund

High Tide Inc. AB Non------InvFund

HighGold Mining Inc. BC Non------InvFund

Highmark Technologies Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/03/11 InvFund

Highspire Capital Inc. ON Non- -- -- Yes/Oui 1998/03/23 InvFund

Highvista Gold Inc. Triumph Ventures Corp. ON Non- -- -- Yes/Oui 2019/08/02 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)

Hill Street Beverage Company Inc. Avanco Capital Corp. ON Non------InvFund

Hillcrest Petroleum Ltd. Hillcrest Resources Ltd. BC Non------InvFund

Hip Interactive Corp. ASI Internet Inc.; Arizuma ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/01/20 Silver Inc. InvFund

HIRE Technologies Inc. ON Non------InvFund

HIT Technologies Inc. Friday Capital Inc. BC Non------InvFund

HIVE Blockchain Technologies Ltd. BC Non------InvFund

HLD Land Development Limited BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/12 Partnership InvFund

HLS Therapeutics Inc. ON Non------InvFund

HLT Energies inc. HLT Energies 2006 inc.; QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/02/09 Capital Desbog inc. InvFund

HMH China Investments Limited GSM Resource Capital Inc. ON Non------InvFund

HMZ Metals Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/05/01 InvFund

Ho Won Ginseng 1993 Limited Partnership ON Non- -- -- Yes/Oui 1997/06/26 InvFund

Hog Wild Dirty Tricks Scanners -- Non- -- -- Yes/Oui 1984/06/27 InvFund

Hoist Capital Corp. AB Non------InvFund

Hollinger Inc. ON Non- Yes/Oui 1a, 1c, 1d, 1e Yes/Oui 2008/07/23 InvFund

Hollister Biosciences Inc. BC Non------InvFund

Holly Street Capital Ltd. BC Non------InvFund

Home Capital Group Inc. ON Non------InvFund

Home Products Inc. ON Non- -- -- Yes/Oui 1997/11/06 InvFund

HomeProject.com Inc. Ditek Software Corp. ON Non- Yes/Oui 1a Yes/Oui 2003/01/23 InvFund

Homeserve Technologies Inc. Microforum Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/12/16 InvFund

Hope Well Capital Corp. ON Non------InvFund

Horizon Holsteins Limited Partnership ON Non- -- -- Yes/Oui 1997/06/18 InvFund

Horizon Holsteins Limited Partnership II ON Non- -- -- Yes/Oui 1997/06/18 InvFund

Horizons Absolute Return Global Currency ON InvFund ------ETF

Horizons Active A.I. Global Equity ETF ON InvFund ------

Horizons Active Cdn Bond ETF ON 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)

Horizons Active Cdn Dividend ETF Horizons Dividend ETF; ON InvFund ------Horizons AlphaPro Dividend ETF

Horizons Active Cdn Municipal Bond ETF ON InvFund ------

Horizons Active Corporate Bond ETF Horizons Corporate Bond ON InvFund ------ETF; Horizons AlphaPro Corporate Bond ETF

Horizons Active Emerging Markets Bond ON InvFund ------ETF

Horizons Active Emerging Markets Dividend ON InvFund ------ETF

Horizons Active Floating Rate Senior Loan ON InvFund ------ETF

Horizons Active Global Dividend ETF Horizons Global Dividend ON InvFund ------ETF; Horizons AlphaPro Global Dividend ETF

Horizons Active Global Fixed Income ETF Horizons Active Yield ON InvFund ------Matched Duration ETF; Horizons Active Advantage Yield ETF; Horizons Tactical Bond ETF; Horizons AlphaPro Tactical Bond ETF

Horizons Active High Yield Bond ETF Horizons High Yield Bond ON InvFund ------ETF

Horizons Active Hybrid Bond and Preferred Horizons Active Floating ON InvFund ------Share ETF Rate Preferred Share ETF

Horizons Active Preferred Share ETF Horizons Preferred Share ON InvFund ------ETF; Horizons AlphaPro Preferred Share ETF

Horizons Active Ultra-Short Term Investment Horizons Active Floating ON InvFund ------Grade Bond ETF Rate Bond ETF; Horizons Floating Rate Bond ETF; Horizons AlphaPro Floating Rate Bond ETF

Horizons Active Ultra-Short Term US Horizons Active US Floating ON InvFund ------Investment Grade Bond ETF Rate Bond (USD) ETF; Horizons U.S. Floating Rate Bond ETF

Horizons Active US Dividend ETF ON InvFund ------

Horizons Balanced TRI ETF Portfolio ON InvFund ------

Horizons Big Data & Hardware Index ETF Horizons Blockchain ON InvFund ------Technology & Hardware Index ETF

Horizons Cash Maximizer ETF Horizons Cash Performer ON InvFund ------ETF

Horizons Cdn High Dividend Index ETF ON InvFund ------

Horizons Cdn Insider Index ETF ON InvFund ------

Horizons Cdn Select Universe Bond ETF ON InvFund ------

Horizons China High Dividend Yield Index ON InvFund ------ETF

Horizons Conservative TRI ETF Portfolio ON 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) Horizons Crude Oil ETF Horizons NYMEX® Crude ON InvFund ------Oil ETF; Horizons Winter-Term NYMEX® Crude Oil ETF; Horizons BetaPro Winter-Term NYMEX® Crude Oil ETF

Horizons Emerging Markets Equity Index ON InvFund ------ETF

Horizons Enhanced Income Energy ETF Horizons AlphaPro ON InvFund ------Enhanced Income Energy ETF

Horizons Enhanced Income Equity ETF Horizons AlphaPro ON InvFund ------Enhanced Income Equity ETF

Horizons Enhanced Income Financials ETF Horizons AlphaPro ON InvFund ------Enhanced Income Financials ETF

Horizons Enhanced Income Gold Producers Horizons AlphaPro ON InvFund ------ETF Enhanced Income Gold Producers ETF

Horizons Enhanced Income International ON InvFund ------Equity ETF

Horizons Enhanced Income US Equity ON InvFund ------(USD) ETF

Horizons Equal Weight Canada Banks ON InvFund ------Index ETF

Horizons Equal Weight Canada REIT Index ON InvFund ------ETF

Horizons EURO STOXX 50® Index ETF ON InvFund ------

Horizons Global BBIG Technology ETF ON InvFund ------

Horizons Global Sustainability Leaders ON InvFund ------Index ETF

Horizons Global Uranium Index ETF ON InvFund ------

Horizons Gold ETF Horizons COMEX® Gold ON InvFund ------ETF; Horizons BetaPro COMEX® Gold ETF

Horizons Gold Yield ETF ON InvFund ------

Horizons Growth TRI ETF Portfolio ON InvFund ------

Horizons High Interest Savings ETF ON InvFund ------

Horizons Industry 4.0 Index ETF ON InvFund ------

Horizons Inovestor Canadian Equity Index ON InvFund ------ETF

Horizons Intl Developed Markets Equity ON InvFund ------Index ETF

Horizons Laddered Canadian Preferred ON InvFund ------Share Index ETF

Horizons Marijuana Life Sciences Index ETF Horizons Medical Marijuana ON InvFund ------Life Sciences ETF

Horizons Morningstar Hedge Fund Index ON InvFund ------ETF

Horizons NASDAQ-100® Index ETF ON 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) Horizons Natural Gas ETF Horizons NYMEX® Natural ON InvFund ------Gas ETF; Horizons Winter-Term NYMEX® Natural Gas ETF; Horizons BetaPro Winter-Term NYMEX® Natural Gas ETF

Horizons Natural Gas Yield ETF ON InvFund ------

Horizons Pipelines & Energy Services Index Horizons Canadian ON InvFund ------ETF Midstream Oil & Gas Index ETF

Horizons Psychedelic Stock Index ETF ON InvFund ------

Horizons ReSolve Adaptive Asset Allocation ON InvFund ------ETF

Horizons Robotics and Automation Index ON InvFund ------ETF

Horizons Seasonal Rotation ETF Horizons AlphaPro ON InvFund ------Seasonal Rotation ETF

Horizons Silver ETF Horizons COMEX® Silver ON InvFund ------ETF; Horizons BetaPro COMEX® Silver ETF

Horizons S&P 500 CAD Hedged Index ETF ON InvFund ------

Horizons S&P 500® Index ETF Horizons S&P 500® Index ON InvFund ------(C$ Hedged) ETF; Horizons BetaPro S&P 500® Index (C$ Hedged) ETF

Horizons S&P Green Bond Index ETF ON InvFund ------

Horizons S&P/TSX 60 Index ETF Horizons BetaPro S&P/TSX ON InvFund ------60 Index ETF

Horizons S&P/TSX Capped Composite ON InvFund ------Index ETF

Horizons S&P/TSX Capped Energy Index ON InvFund ------ETF

Horizons S&P/TSX Capped Financials Index ON InvFund ------ETF

Horizons Tactical Absolute Return Bond ON InvFund ------ETF

Horizons US 7-10 Year Treasury Bond CAD ON InvFund ------Hedged ETF

Horizons US 7-10 Year Treasury Bond ETF ON InvFund ------

Horizons US Dollar Currency ETF Horizons U.S. Dollar ON InvFund ------Currency ETF

Horizons US Large Cap Index ETF ON InvFund ------

Horizons US Marijuana Index ETF ON InvFund ------

Horizons USD Cash Maximizer ETF ON InvFund ------

Horizonte Minerals PLC ON Non------InvFund

Hornby Bay Mineral Exploration Ltd. Unor Inc.; Hornby Bay ON Non------Exploration Limited; Rand InvFund Reef Mines Limited

Hot Touch -- Non- -- -- Yes/Oui 1993/07/22 InvFund

Hotline to HR Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/07/09 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)

Hoverspace International Corp. ON Non- -- -- Yes/Oui 1991/11/08 InvFund

How To Web TV Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/07/14 InvFund

HPIL Resources Ltd. AB Non- -- -- Yes/Oui 1989/01/04 InvFund

HR Cafe, Ltd. Merged Enterprises Inc.; BC Non- -- -- Yes/Oui 2001/01/15 Merged Mining Enterprises InvFund Limited

HSBC AsiaPacific Fund Hongkong Bank Asian BC InvFund ------Growth Fund

HSBC Bank Canada Hongkong Bank of Canada BC Non------InvFund

HSBC BRIC Equity Fund BC InvFund ------

HSBC Canadian Balanced Fund Hongkong Bank Balanced BC InvFund ------Fund

HSBC Canadian Bond Fund Hongkong Bank Canadian BC InvFund ------Bond Fund

HSBC Canadian Bond Pooled Fund Canadian Bond BC InvFund ------Component

HSBC Canadian Dividend Pooled Fund HSBC Canadian Dividend BC InvFund ------Income Pooled Fund; Canadian Dividend Income Component

HSBC Canadian Equity Pooled Fund Canadian Equity BC InvFund ------Component

HSBC Canadian Money Market Fund Hongkong Bank Money BC InvFund ------Market Fund

HSBC Canadian Money Market Pooled Fund Canadian Money Market BC InvFund ------Component

HSBC Canadian Short/Mid Bond Fund BC InvFund ------

HSBC Canadian Small Cap Equity Pooled HSBC Small Cap Growth BC InvFund ------Fund Pooled Fund; Canadian Growth Component

HSBC Chinese Equity Fund BC InvFund ------

HSBC Dividend Fund HSBC Dividend Income BC InvFund ------Fund; Hongkong Bank Dividend Income Fund

HSBC Emerging Markets Debt Fund BC InvFund ------

HSBC Emerging Markets Debt Pooled Fund BC InvFund ------

HSBC Emerging Markets Equity Index Fund BC InvFund ------

HSBC Emerging Markets Fund Hongkong Bank Emerging BC InvFund ------Markets Fund

HSBC Emerging Markets Pooled Fund BC InvFund ------

HSBC Equity Fund Hongkong Bank Equity BC InvFund ------Fund

HSBC European Fund Hongkong Bank European BC InvFund ------Growth Fund

HSBC Global Corporate Bond Fund BC InvFund ------

HSBC Global Equity Fund Hongkong Bank Global BC InvFund ------Equity Fund 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)

HSBC Global Equity Volatility Focused Fund BC InvFund ------

HSBC Global High Yield Bond Pooled Fund HSBC U.S. High Yield Bond BC InvFund ------Pooled Fund

HSBC Global Inflation Linked Bond Pooled BC InvFund ------Fund

HSBC Global Real Estate Equity Pooled BC InvFund ------Fund

HSBC Indian Equity Fund BC InvFund ------

HSBC International Equity Index Fund BC InvFund ------

HSBC International Equity Pooled Fund International Equity BC InvFund ------Component

HSBC Monthly Income Fund BC InvFund ------

HSBC Mortgage Fund Hongkong Bank Mortgage BC InvFund ------Fund

HSBC Mortgage Pooled Fund BC InvFund ------

HSBC Small Cap Growth Fund Hongkong Bank Small Cap BC InvFund ------Growth Fund

HSBC U.S. Dollar Money Market Fund Hongkong Bank U.S. Dollar BC InvFund ------Money Market Fund

HSBC U.S. Dollar Monthly Income Fund BC InvFund ------

HSBC U.S. Equity Fund HongKong Bank U.S. Equity BC InvFund ------Fund; Hongkong Bank Americas Fund

HSBC U.S. Equity Index Fund BC InvFund ------

HSBC U.S. Equity Pooled Fund U.S. Equity Component BC InvFund ------

HSBC Wealth Compass Aggressive Growth BC InvFund ------Fund

HSBC Wealth Compass Balanced Fund BC InvFund ------

HSBC Wealth Compass Conservative Fund BC InvFund ------

HSBC Wealth Compass Growth Fund BC InvFund ------

HSBC Wealth Compass Moderate BC InvFund ------Conservative Fund

HSBC World Selection Diversified HSBC Lifemap Aggressive BC InvFund ------Aggressive Growth Fund Growth Portfolio

HSBC World Selection Diversified Balanced HSBC Lifemap Balanced BC InvFund ------Fund Portfolio

HSBC World Selection Diversified HSBC Lifemap BC InvFund ------Conservative Fund Conservative Portfolio

HSBC World Selection Diversified Growth HSBC LifeMap Growth BC InvFund ------Fund Portfolio; HSBC Lifemap Growth Portfolio

HSBC World Selection Diversified Moderate HSBC Lifemap Moderate BC InvFund ------Conservative Fund Conservative Portfolio

Hucamp Mines Limited ON Non- -- -- Yes/Oui 2002/05/22 InvFund

Hudbay Minerals Inc. ONTZINC Corporation; ON Non------ONTZINC CORPORATION; InvFund Pan American Resources Inc. 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) Hudson Bay Diecasting Limited ON Non- -- -- Yes/Oui 1996/01/22 InvFund

Hudson Bay Mountain Silver Mines Limited -- Non- -- -- Yes/Oui 1975/04/09 InvFund

Hudson Resources Inc. BC Non------InvFund

Hudson River Minerals Ltd. Prelim Capital Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

Humberside Apartments South ON Non- -- -- Yes/Oui 1987/09/15 InvFund

HuMedaTech International Inc. Petrox Energy and Minerals ON Non- -- -- Yes/Oui 2001/05/25 Corporation InvFund

Humongus -- Non- -- -- Yes/Oui 1986/09/22 InvFund

Hunt Club West Limited Partnership ON Non- -- -- Yes/Oui 1998/01/13 InvFund

Hunter Technology Corp. Hunter Oil Corp.; Enhanced BC Non------Oil Resources Inc.; InvFund Ridgeway Petroleum Corp.

Hunters Point Limited Partnership, The ON Non- -- -- Yes/Oui 1996/10/17 InvFund

Huntington Exploration Inc. Goldust Mines Ltd. AB Non------InvFund

Huntington Golf and Country Club Limited -- Non- -- -- Yes/Oui 1994/06/21 Partnership InvFund

Huntington Rhodes Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2006/05/05 InvFund

Huston Red Lake Resources Limited -- Non- -- -- Yes/Oui 1985/06/06 InvFund

Hut 8 Mining Corp. Oriana Resources ON Non------Corporation InvFund

Hyberlab Teknologies Corp. Sunstate International Ltd. ON Non- -- -- Yes/Oui 1999/06/24 InvFund

Hybrid Minerals Inc. Savoy Ventures Inc. BC Non------InvFund

HydraLogic Systems Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/05/14 InvFund

Hydro One Holdings Limited ON Non------InvFund

Hydro One Inc. ON Non------InvFund

Hydro One Limited ON Non------InvFund

Hydro66 Holdings Corp. Caza Gold Corp. BC Non------InvFund

Hydromet Environmental Recovery Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/05/26 InvFund

Hyduke Energy Services Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/05/06 InvFund

Hylands International Holdings Inc. New Era Minerals Inc.; KCC BC Non------Capital Corporation InvFund

HyperBlock Inc. CryptoGlobal Corp.; Apolo ON Non- -- -- Yes/Oui 2019/05/17 Acquisition Corp. 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)

Hystar Aerospace Corporation BC Non- -- -- Yes/Oui 1992/12/16 InvFund

H&R Real Estate Investment Trust ON Non------InvFund i i3 Energy plc AB Non------InvFund

IA Clarington Canadian Balanced Class QC InvFund ------

IA Clarington Canadian Balanced Fund Clarington Canadian QC InvFund ------Balanced Fund

IA Clarington Canadian Conservative Equity QC InvFund ------Class

IA Clarington Canadian Conservative Equity IA Canadian Conservative QC InvFund ------Fund Equity Fund; Co-operators Canadian Conservative Equity Fund

IA Clarington Canadian Dividend Fund Clarington Canadian QC InvFund ------Dividend Fund

IA Clarington Canadian Leaders Class QC InvFund ------

IA Clarington Canadian Small Cap Class QC InvFund ------

IA Clarington Canadian Small Cap Fund Clarington Canadian Small QC InvFund ------Cap Fund

IA Clarington Core Plus Bond Fund QC InvFund ------

IA Clarington Dividend Growth Class QC InvFund ------

IA Clarington Emerging Markets Bond Fund QC InvFund ------

IA Clarington Floating Rate Income Fund QC InvFund ------

IA Clarington Focused Balanced Class QC InvFund ------

IA Clarington Focused Balanced Fund QC InvFund ------

IA Clarington Global Bond Fund QC InvFund ------

IA Clarington Global Equity Exposure Fund BNP Paribas Global Equity ON InvFund ------Exposure Fund; Fortis Global Equity Exposure Fund; ABN AMRO Global Equity Exposure Fund

IA Clarington Global Equity Fund IA Clarington Global QC InvFund ------Dividend Fund; Clarington Global Dividend Fund

IA Clarington Global Multi-Asset Fund IA Clarington Global Growth QC InvFund ------& Income Fund

IA Clarington Global Opportunities Class IA Clarington Global Equity QC InvFund ------Class; Clarington Global Equity Class

IA Clarington Global Opportunities Fund IA Clarington Global Equity QC InvFund ------Fund; Clarington Global Equity Fund

IA Clarington Global Value Fund R Global Value Fund; R QC InvFund ------World Leaders Fund

IA Clarington Global Yield Opportunities QC InvFund ------Fund

IA Clarington Inhance Balanced SRI QC InvFund ------Portfolio 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)

IA Clarington Inhance Bond SRI Fund QC InvFund ------

IA Clarington Inhance Canadian Equity SRI QC InvFund ------Class

IA Clarington Inhance Conservative SRI QC InvFund ------Portfolio

IA Clarington Inhance Global Equity SRI QC InvFund ------Class

IA Clarington Inhance Global Equity SRI QC InvFund ------Fund

IA Clarington Inhance Growth SRI Portfolio QC InvFund ------

IA Clarington Inhance Monthly Income SRI QC InvFund ------Fund

IA Clarington International Equity Fund QC InvFund ------

IA Clarington Loomis Global Allocation IA Clarington Global QC InvFund ------Class Tactical Income Class

IA Clarington Loomis Global Allocation Fund IA Clarington Global QC InvFund ------Tactical Income Fund; IA Clarington Global Income Fund; Clarington Global Income Fund

IA Clarington Loomis Global Equity QC InvFund ------Opportunities Fund

IA Clarington Loomis Global Multisector QC InvFund ------Bond Fund

IA Clarington Loomis U.S. All Cap Growth QC InvFund ------Fund

IA Clarington Money Market Fund IA Money Market Fund; R QC InvFund ------Money Market Fund

IA Clarington Monthly Income Balanced R Monthly Income Balanced QC InvFund ------Fund Fund; Iris Strategic Income Option Balanced Fund

IA Clarington Real Return Bond Fund Sarbit Real Return Bond QC InvFund ------Trust

IA Clarington Strategic Corporate Bond QC InvFund ------Fund

IA Clarington Strategic Equity Income Class Distinction Monthly Income QC InvFund ------Class

IA Clarington Strategic Equity Income Fund IA Clarington Dividend QC InvFund ------Income Fund; R Dividend Income Fund; R Dividend Fund; Iris Dividend Fund; Savings and Investment Trust Dividend Fund

IA Clarington Strategic Income Fund IA Clarington Canadian QC InvFund ------Income Fund; Clarington Canadian Income Fund

IA Clarington Strategic U.S. Growth & Distinction Monthly Income QC InvFund ------Income Fund Portfolio; IA Diversified Monthly Income Fund

IA Clarington Tactical Income Class QC InvFund ------

IA Clarington Target Click 2025 Fund Clarington Target Click QC InvFund ------2025 Fund

IA Clarington Target Click 2030 Fund QC 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)

IA Clarington Thematic Innovation Class IA Clarington Focused U.S. QC InvFund ------Equity Fund

IA Clarington U.S. Dividend Growth Fund IA Clarington American QC InvFund ------Fund; R American Fund

IA Clarington U.S. Dividend Growth QC InvFund ------Registered Fund

IA Clarington U.S. Dollar Floating Rate QC InvFund ------Income Fund

IA Clarington U.S. Equity Class IA Clarington Sarbit U.S. QC InvFund ------Equity Class (Unhedged)

IA Clarington U.S. Equity Currency Neutral IA Clarington Sarbit U.S. QC InvFund ------Fund Equity Fund; Sarbit Fund IA Clarington U.S. Equity; IA Clarington Navellier U.S. All Cap Fund; Clarington Navellier U.S. All Cap Fund

IA Clarington Yield Opportunities Fund QC InvFund ------

iA Financial Corporation Inc. QC Non------InvFund

IA Wealth Balanced Portfolio IA Clarington Balanced QC InvFund ------Portfolio

IA Wealth Conservative Portfolio IA Clarington Conservative QC InvFund ------Portfolio

IA Wealth Core Bond Pool IA Clarington Bond Fund; IA QC InvFund ------Bond Fund; R Bond Fund; Iris Bond Fund; Cornerstone Bond Fund

IA Wealth Enhanced Bond Pool QC InvFund ------

IA Wealth Growth Portfolio IA Clarington Growth QC InvFund ------Portfolio

IA Wealth High Growth Portfolio IA Clarington Maximum QC InvFund ------Growth Portfolio

IA Wealth Moderate Portfolio IA Clarington Moderate QC InvFund ------Portfolio

Ialta Industries Ltd. Merit Industries Inc.; Harben BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2007/01/11 Industries Ltd.; Adikann InvFund Goldfields Ltd.

IAMGold Corporation IAMGOLD International ON Non------African Mining Gold InvFund Corporation

iAnthus Capital Holdings, Inc. ON Non------InvFund

Iatra Life Sciences Corporation Lifetech Corporation ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2008/03/04 InvFund

IBC Advanced Alloys Corp. BC Non------InvFund

IBEX TECHNOLOGIES INC. Continental Pharma QC Non------Cryosan Inc. InvFund

IBI Corporation ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/22 InvFund

IBI Group Inc. ON Non------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) IC Capitalight Corp. International Corona BC Non------Capital Corp.; Rockland InvFund Minerals Corp.

Icanic Brands Company Inc. Integrated Cannabis BC Non------Company, Inc.; CNRP InvFund Mining Inc.

ICE Drilling Enterprises Inc. Datalogger Inc. -- Non- -- -- Yes/Oui 1999/04/15 InvFund

Icefloe Technologies Inc. Walters Consulting ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/05/05 Corporation; YWL Corp. InvFund

ICEsoft Technologies Canada Corp. Stinton Exploration Ltd. AB Non------InvFund

ICL Global Equity Fund Integra Newton Global ON InvFund ------Equity Fund

iCo Therapeutics Inc. BC Non------InvFund

ICON Laser Eye Centers, Inc. Northern Gaming Inc.; -- Non- -- -- Yes/Oui 2001/05/28 Naturally Niagara InvFund Incorporated

ICTV Brands, Inc. International Commercial ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- Television Inc. InvFund

Idaho Champion Gold Mines Canada Inc. GoldTrain Resources Inc. ON Non------InvFund

IDS Intelligent Detection Systems Inc. -- Non- -- -- Yes/Oui 2001/05/30 InvFund

If You Could See What I Hear (The Tom -- Non- -- -- Yes/Oui 1984/10/11 Sullivan Story) InvFund

iFabric Corp. ON Non------InvFund

IG Aristotle U.S. Small Cap Class Investors U.S. Small Cap MB InvFund ------Class

IG Beutel Goodman Canadian Balanced MB InvFund ------Fund

IG Beutel Goodman Canadian Equity Class MB InvFund ------

IG Beutel Goodman Canadian Equity Fund MB InvFund ------

IG Beutel Goodman Canadian Small Cap MB InvFund ------Fund

IG BlackRock International Equity Fund MB InvFund ------

IG CI Canadian Balanced Fund IG AGF Canadian Balanced MB InvFund ------Fund

IG Core Portfolio - Balanced Allegro Moderate Portfolio; MB InvFund ------1World Moderate porfolio

IG Core Portfolio - Balanced Growth Allegro Balanced Growth MB InvFund ------Portfolio; Allegro Moderate Aggressive Portfolio; 1World Moderate Aggressive Portfolio

IG Core Portfolio - Global Income Investors Global Fixed MB InvFund ------Income Flex Portfolio

IG Core Portfolio - Growth Allegro Growth Portfolio; MB InvFund ------Allegro Aggressive Portfolio; 1World Agressive Portfolio

IG Core Portfolio - Income Investors Fixed Income Flex MB InvFund ------Portfolio 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)

IG Core Portfolio - Income Balanced Allegro Income Balanced MB InvFund ------Portfolio; Allegro Moderate Conservative Portfolio; 1World Moderate Conservative Portfolio

IG Core Portfolio - Income Focus Allegro Income Portfolio; MB InvFund ------Allegro Conservative Portfolio; 1World Conservative Portfolio

IG Core Portfolio Class - Balanced Allegro Balanced Portfolio MB InvFund ------Class

IG Core Portfolio Class - Balanced Growth Allegro Balanced Growth MB InvFund ------Portfolio Class

IG Core Portfolio Class - Balanced Growth II Allegro Balanced Growth MB InvFund ------Canada Focus Portfolio Class

IG Core Portfolio Class - Growth Allegro Growth Portfolio MB InvFund ------Class

IG Core Portfolio Class - Growth II Allegro Growth Canada MB InvFund ------Focus Portfolio Class

IG Core Portfolio Class - Income Balanced Allegro Income Balanced MB InvFund ------Portfolio Class

IG FI Canadian Equity Class MB InvFund ------

IG FI Canadian Equity Fund MB InvFund ------

IG Franklin Bissett Canadian Equity Class IG Bissett Canadian Equity MB InvFund ------Class

IG Franklin Bissett Canadian Equity Class II Investors Core Canadian MB InvFund ------Equity Class

IG Franklin Bissett Canadian Equity Fund IG Bissett Canadian Equity MB InvFund ------Fund

IG Irish Life Low Volatility Global Equity Investors Low Volatility MB InvFund ------Class Global Equity Class

IG Irish Life Low Volatility Global Equity Fund Investors Low Volatility MB InvFund ------Global Equity Fund

IG JPMorgan Emerging Markets Class IG Mackenzie Emerging MB InvFund ------Markets Class; IG Mackenzie Universal Emerging Markets Class

IG JPMorgan Emerging Markets Fund MB InvFund ------

IG Mackenzie Canadian Corporate Bond Investors Canadian MB InvFund ------Fund Corporate Bond Fund

IG Mackenzie Canadian Equity Income Fund Investors Canadian Equity MB InvFund ------Income Fund; Investors Income Trust Fund

IG Mackenzie Canadian High Yield Income Investors Canadian High MB InvFund ------Fund Yield Income Fund; Investors North American High Yield Bond Fund

IG Mackenzie Canadian Money Market Investors Canadian Money MB InvFund ------Class Market Class (formerly Investors Managed Yield Class); Investors Managed Yield Class; Managed Yield Class 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) IG Mackenzie Canadian Money Market Fund Investors Canadian Money MB InvFund ------Market Fund; Investors Money Market Fund

IG Mackenzie Canadian Small/Mid Cap Investors Canadian Small MB InvFund ------Class Cap Growth Class

IG Mackenzie Canadian Small/Mid Cap Investors Canadian Small MB InvFund ------Class II Cap Class

IG Mackenzie Canadian Small/Mid Cap IG Fiera Canadian Small MB InvFund ------Class III Cap Class; IG AGF Canadian Diversified Growth Class

IG Mackenzie Canadian Small/Mid Cap Investors Canadian Small MB InvFund ------Fund Cap Growth Fund; Investors Canadian Small Cap Fund II

IG Mackenzie Canadian Small/Mid Cap IG Fiera Canadian Small MB InvFund ------Fund II Cap Fund; IG AGF Canadian Diversified Growth Fund

IG Mackenzie Core U.S. Equity Class Investors Core U.S. Equity MB InvFund ------Class

IG Mackenzie Core U.S. Equity Class II Investors U.S. Large Cap MB InvFund ------Value Class

IG Mackenzie Core U.S. Equity Class III IG Putnam Low Volatility MB InvFund ------U.S. Equity Class

IG Mackenzie Core U.S. Equity Fund Investors Core U.S. Equity MB InvFund ------Fund

IG Mackenzie Dividend Class Investors Dividend Class MB InvFund ------

IG Mackenzie Dividend Fund Investors Dividend Fund MB InvFund ------

IG Mackenzie Dividend Growth Fund IG Mackenzie Maxxum MB InvFund ------Dividend Growth Fund; IG Mackenzie Maxxum Dividend Fund; IG MAXXUM Dividend Fund

IG Mackenzie Emerging Markets Pool MB InvFund ------

IG Mackenzie European Equity Class Investors European Equity MB InvFund ------Class; Investors European Growth Class

IG Mackenzie European Equity Fund Investors European Equity MB InvFund ------Fund; Investors European Growth Fund

IG Mackenzie European Mid-Cap Equity Investors European MB InvFund ------Class Mid-Cap Equity Class; Investors European Mid-Cap Growth Class

IG Mackenzie European Mid-Cap Equity Investors European MB InvFund ------Fund Mid-Cap Equity Fund; Investors European Mid-Cap Growth Fund

IG Mackenzie Floating Rate Income Fund MB InvFund ------

IG Mackenzie Global Bond Fund Investors Global Bond Fund MB InvFund ------

IG Mackenzie Global Class Investors Global Class MB InvFund ------

IG Mackenzie Global Class II IG Mackenzie Cundill Global MB InvFund ------Value Class 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) IG Mackenzie Global Class III IG AGF Global Equity Class; MB InvFund ------IG AGF International Equity Class

IG Mackenzie Global Consumer Companies Investors Global Consumer MB InvFund ------Class Companies Class

IG Mackenzie Global Dividend Fund Investors Global Dividend MB InvFund ------Fund

IG Mackenzie Global Financial Services Investors Global Financial MB InvFund ------Class Services Class

IG Mackenzie Global Financial Services Investors Global Financial MB InvFund ------Fund Services Fund

IG Mackenzie Global Fund Investors Global Fund MB InvFund ------

IG Mackenzie Global Fund II IG AGF Global Equity Fund; MB InvFund ------IG AGF International Equity Fund

IG Mackenzie Global Health Care Class Investors Global Health MB InvFund ------Care Class

IG Mackenzie Global Inflation-Linked Pool MB InvFund ------

IG Mackenzie Global Infrastructure Class Investors Global MB InvFund ------Infrastructure Class

IG Mackenzie Global Natural Resources Investors Global Natural MB InvFund ------Class Resources Class

IG Mackenzie Global Natural Resources Investors Canadian Natural MB InvFund ------Fund Resource Fund

IG Mackenzie Global Precious Metals Class MB InvFund ------

IG Mackenzie Global Science & Technology Investors Global Science & MB InvFund ------Class Technology Class

IG Mackenzie Global Science & Technology Investors Global Science & MB InvFund ------Fund Technology Fund

IG Mackenzie Income Fund IG MAXXUM Income Fund MB InvFund ------

IG Mackenzie International Small Cap Class Investors International MB InvFund ------Small Cap Class

IG Mackenzie International Small Cap Fund Investors International MB InvFund ------Small Cap Fund

IG Mackenzie Ivy European Class MB InvFund ------

IG Mackenzie Ivy European Class II Investors International MB InvFund ------Equity Class

IG Mackenzie Ivy European Class III IG Templeton International MB InvFund ------Equity Class

IG Mackenzie Ivy European Fund IG Scudder European MB InvFund ------Growth Fund

IG Mackenzie Ivy Foreign Equity Class MB InvFund ------

IG Mackenzie Low Volatility Canadian Equity Investors Low Volatility MB InvFund ------Class Canadian Equity Class

IG Mackenzie Low Volatility Canadian Equity Investors Low Volatility MB InvFund ------Fund Canadian Equity Fund

IG Mackenzie Low Volatility Emerging MB InvFund ------Markets Equity Pool

IG Mackenzie Mortgage and Short Term Investors Mortgage and MB InvFund ------Income Fund Short Term Income Fund; Investors Mortgage Fund

IG Mackenzie Mutual of Canada Investors Mutual of Canada MB 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)

IG Mackenzie North American Equity Class Investors North American MB InvFund ------Equity Class; Investors North American Growth Class

IG Mackenzie North American Equity Class II Investors Canadian Equity MB InvFund ------Class

IG Mackenzie North American Equity Class IG Mackenzie Canadian MB InvFund ------III Equity Growth Class; IG Mackenzie Maxxum Canadian Equity Growth Class

IG Mackenzie North American Equity Class Investors Canadian Growth MB InvFund ------IV Class

IG Mackenzie North American Equity Class Investors Canadian Large MB InvFund ------V Cap Value Class

IG Mackenzie North American Equity Fund Investors North American MB InvFund ------Equity Fund; Investors North American Growth Fund

IG Mackenzie Pacific International Class Investors Pacific MB InvFund ------International Class

IG Mackenzie Pacific International Fund MB InvFund ------

IG Mackenzie Pan Asian Equity Class Investors Pan Asian Growth MB InvFund ------Class

IG Mackenzie Pan Asian Equity Class II Investors Greater China MB InvFund ------Class

IG Mackenzie Pan Asian Equity Fund Investors Pan Asian Growth MB InvFund ------Fund

IG Mackenzie Québec Enterprise Class Investors Quebec MB InvFund ------Enterprise Class

IG Mackenzie Quebec Enterprise Fund Investors Quebec MB InvFund ------Enterprise Fund

IG Mackenzie Strategic Income Fund IG Mackenzie Sentinel MB InvFund ------Strategic Income Fund

IG Mackenzie Summa SRI Class Investors Summa SRI MB InvFund ------Class; Investors Summa Class

IG Mackenzie Summa SRI Fund Investors Summa SRI MB InvFund ------Fund; Investors Summa Fund; Investors Summa Ethical Fund; Investors Summa Fund

IG Mackenzie U.S. Dividend Registered Investors U.S. Dividend MB InvFund ------Fund Registered Fund

IG Mackenzie U.S. Money Market Fund Investors U.S. Money Market MB InvFund ------Fund

IG Mackenzie U.S. Opportunities Class Investors U.S. Opportunities MB InvFund ------Class

IG Mackenzie U.S. Opportunities Fund Investors U.S. Opportunities MB InvFund ------Fund

IG Managed Payout Portfolio Alto Monthly Income MB InvFund ------Portfolio

IG Managed Payout Portfolio with Enhanced Alto Monthly Income and MB InvFund ------Growth Enhanced Growth Portfolio 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) IG Managed Payout Portfolio with Growth Alto Monthly Income and MB InvFund ------Growth Portfolio

IG Managed Risk Portfolio - Balanced Maestro Balanced Portfolio MB InvFund ------

IG Managed Risk Portfolio - Growth Focus Maestro Growth Focused MB InvFund ------Portfolio

IG Managed Risk Portfolio - Income Maestro Income Balanced MB InvFund ------Balanced Portfolio

IG Managed Risk Portfolio - Income Focus MB InvFund ------

IG Managed Risk Portfolio Class - Balanced Maestro Balanced Portfolio MB InvFund ------Class

IG Managed Risk Portfolio Class - Growth Maestro Growth Focused MB InvFund ------Focus Portfolio Class

IG Managed Risk Portfolio Class - Income Maestro Income Balanced MB InvFund ------Balanced Portfolio Class

IG PIMCO Global Bond Fund MB InvFund ------

IG Putnam U.S. Growth Class MB InvFund ------

IG Putnam U.S. Growth Class II IG AGF U.S. Growth Class MB InvFund ------

IG Putnam U.S. Growth Fund MB InvFund ------

IG Putnam U.S. Growth Fund II IG AGF U.S. Growth Fund MB InvFund ------

IG Putnam U.S. High Yield Income Fund IG Putnam U.S. High Yield MB InvFund ------Income Portfolio

IG T. Rowe Price U.S. Large Cap Equity IG FI U.S. Large Cap Equity MB InvFund ------Class Class

IG T. Rowe Price U.S. Large Cap Equity IG FI U.S. Large Cap Equity MB InvFund ------Fund Fund

Igen Networks Corp. BC Non------InvFund

IGM Financial Inc. Investors Group Inc. MB Non------InvFund

Ignite International Brands, Ltd. Green Axis Capital Corp.; ON Non------ALQ Gold Corp. InvFund

iLoveTV Entertainment Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/10/04 InvFund

IM Cannabis Corp. BC Non------InvFund

IM Exploration Inc. ON Non------InvFund

Image Data International Corporation -- Non- -- -- Yes/Oui 1995/07/18 InvFund

Image Sculpting International Inc. -- Non- -- -- Yes/Oui 2002/05/22 InvFund

Imagin Medical Inc. Expedition Mining Inc. BC Non------InvFund

ImagineAR Inc. Imagination Park BC Non------Technologies Inc.; InvFund Imagination Park Entertainment Inc.; GeoNovus Media Corp.; GeoNovus Minerals Corp.

Imaging Dynamics Company Ltd. Imaging Dynamics AB Non------Corporation 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) iMarketing Solutions Group Inc. Xentel DM Incorporated; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 Xentel Interactive Inc. InvFund

ImaSight Corp. Liponex Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/11 InvFund

IMAX Corporation ON Non------InvFund

imaxx Canadian Bond Fund ON InvFund ------

imaxx Canadian Fixed Pay Fund ON InvFund ------

imaxx Equity Growth Fund imaxx Canadian Equity ON InvFund ------Growth Fund

imaxx Short Term Bond Fund imaxx Money Market Fund ON InvFund ------

IMC Integrated Marketing Communications -- Non- -- -- Yes/Oui 1989/12/14 Inc. InvFund

IMC International Mining Corp. BC Non------InvFund

Imex Systems Inc. Ba Ba Capital Inc.; Carber ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 Capital Corp.; Innomat InvFund Solutions Corp.; Stackpal International Inc.; Tele-Talk Inc.

iMining Blockchain and Cryptocurrency Inc. Parlane Resource Corp. BC Non------InvFund

Immune Network Ltd. Immune Network Research -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/06/06 Ltd. InvFund

ImmunoPrecise Antibodies Ltd. BC Non------InvFund

IMPACT Silver Corp. BC Non------InvFund

Impatica Inc. Impatica.com Inc. ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2008/09/10 InvFund

Impax Energy Services Income Trust AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/06/29 InvFund

Imperial Canadian Bond Pool ON InvFund ------

Imperial Canadian Diversified Income Pool Imperial Canadian Dividend ON InvFund ------Pool

Imperial Canadian Dividend Income Pool ON InvFund ------

Imperial Canadian Equity Pool ON InvFund ------

Imperial Emerging Economies Pool ON InvFund ------

Imperial Equity High Income Pool Imperial Canadian Income ON InvFund ------Trust Pool

Imperial Global Equity Income Pool ON InvFund ------

Imperial International Bond Pool ON InvFund ------

Imperial International Equity Pool ON InvFund ------

Imperial Metals Corporation BC Non------InvFund

Imperial Money Market Pool ON InvFund ------

Imperial Oil Limited AB Non------InvFund

Imperial Overseas Equity Pool ON 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) Imperial Short-Term Bond Pool Imperial RSP - Eligible ON InvFund ------Short Term Bond Pool

Imperial Square Edmonton III -- Non- -- -- Yes/Oui 1987/04/02 InvFund

Imperial Square, Westchase, Limited BC Non- -- -- Yes/Oui 1986/09/22 InvFund

Imperial U.S. Equity Pool ON InvFund ------

IMRIS Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/06/09 InvFund

IMV Inc. ImmunoVaccine Inc. NS Non------InvFund

Inca One Gold Corp. Inca One Resources Corp.; BC Non------Inca One Metals Corp.; SUB InvFund Capital Inc.; BUS Systems Inc.; E-Claim Solution Inc.

Inceptus Capital Ltd. BC Non------InvFund

Income 100 Fund Conservative Income Fund ON InvFund ------

Income 20/80 Fund Diversified Income Fund ON InvFund ------

Income 40/60 Fund Balanced 40/60 Fund; ON InvFund ------Balanced Income Fund

Income Balanced Fund Moderate Fund (formerly, ON InvFund ------Income 30/70 Fund); Income 30/70 Fund; Income Growth Fund

Income Financial Trust ON InvFund ------

Income Trustco Corporation -- Non- -- -- Yes/Oui 1995/06/06 InvFund

Incubus -- Non- -- -- Yes/Oui 1982/09/10 InvFund

Independence Petroleums Inc. -- Non- -- -- Yes/Oui 1991/07/31 InvFund

INDEXPLUS Income Fund AB InvFund ------

Indiana Resources Limited IMX Resources Limited ON Non- Yes/Oui 1a, 1b, 3 -- -- InvFund

Indigo Books & Music Inc. Chapters Inc. ON Non------InvFund

Indigo Exploration Inc. BC Non------InvFund

Indigo International & Associates -- Non- -- -- Yes/Oui 1981/05/15 InvFund

Indiva Limited Rainmaker Resources Ltd.; ON Non------Rainmaker Mining Corp. InvFund

Indocan Resources, Inc. -- Non- -- -- Yes/Oui 1998/06/05 InvFund

Industrial Alliance Insurance and Financial Industrial-Alliance Life QC Non------Services Inc. Insurance Company InvFund

Industrialex Manufacturing Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/14 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) INDVR Brands Inc. Cannabis One Holdings BC Non------Inc.; Metropolitan Energy InvFund Corp.; Metropolitan Mining Corp.; Metropolitan Mining Inc.

INEO Tech Corp. Metron Capital Corp. BC Non------InvFund

Infinite Ore Corp. Infinite Lithium Corp.; Alix BC Non------Resources Corp.; NPN InvFund Investment Group Inc.

Inflection Resources Ltd. BC Non------InvFund

Infocorp Computer Solutions Ltd. MB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/05/28 InvFund

Information Services Corporation SK Non------InvFund

Infowave Software, Inc. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2007/11/28 InvFund

Infrastructure Materials Corp. AB Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2019/03/07 InvFund

InMed Pharmaceuticals Inc. Cannabis Technologies BC Non------Inc. (formerly Meridex InvFund Software Corporation)

Inner Spirit Holdings Ltd. AB Non------InvFund

Innergex Renewable Energy Inc. QC Non------InvFund

InnoCan Pharma Corporation AB Non------InvFund

Innogis Technology Inc. -- Non- -- -- Yes/Oui 1996/12/18 InvFund

Innovacap Capital Corporation Innovacap Capital ON InvFund Yes/Oui 1a, 1d Yes/Oui 1998/03/02 Corporation

Innovadent Technologies Ltd. -- Non- -- -- Yes/Oui 1999/04/15 InvFund

Innovative Composites International Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/02/04 InvFund

Innovative Wireline Solutions Inc. Avalite Inc.; RAMTELECOM AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/12/07 INC. InvFund

Innovente Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/09/08 InvFund

Inomin Mines Inc. Inovent Capital Inc. BC Non------InvFund

Inovalis Real Estate Investment Trust ON Non------InvFund

InPlay Oil Corp. Anderson Energy Inc. AB Non------InvFund

Input Capital Corp. WB II Acquisition Corp. SK Non------InvFund

INSCAPE Corporation Office Specialty Inc. ON Non------InvFund

Insulblock Systems Inc. -- Non- -- -- Yes/Oui 1989/06/21 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) Intact Financial Corporation ING Canada Inc. ON Non------InvFund

Integra Balanced Fund ICM Balanced Fund ON InvFund ------

Integra Bond Fund ICM Bond Fund ON InvFund ------

Integra Canadian Value Growth Fund ICM Canadian Value ON InvFund ------Growth Fund

Integra International Equity Fund ICM International Equity ON InvFund ------Fund

Integra Resources Corp. Mag Copper Limited; Fort BC Non------Chimo Minerals Inc.; Claim InvFund Lake Resources Inc.

Integra U.S. Value Growth Fund ICM U.S. Value Growth ON InvFund ------Fund; ICM U.S. Equity Fund

IntelGenx Technologies Corp. QC Non------InvFund

Intellabridge Technology Corporation Cryptanite Blockchain BC Non------Technologies Corp. InvFund

Intellectual Capital Group Ltd. SeaMiles Limited; ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2013/05/06 Corporate Properties InvFund 1e, 3 Limited

Intelligent Web Technologies Inc. cs-live.com inc.; ADR -- Non- Yes/Oui 1a Yes/Oui 2003/05/21 Explorations Ltd. InvFund

IntelliPharmaCeutics International Inc. ON Non------InvFund

Inter-Rock Minerals Inc. Inter-Rock Gold Inc. ON Non------InvFund

Inter-Tech Resources Ltd. -- Non- -- -- Yes/Oui 1975/08/21 InvFund

Inter Cable Communications Inc. -- Non- -- -- Yes/Oui 1992/01/28 InvFund

Inter Pipeline Ltd. AB Non------InvFund

Interactive Capital Partners Corporation ON Non------InvFund

Interactive Games Technologies Inc. i3 Interactive Inc. BC Non------InvFund

INTERCABLE ICH INC. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2010/06/11 InvFund

Intercept America, Corp. -- Non- -- -- Yes/Oui 1988/11/24 InvFund

Interfor Corporation International Forest BC Non------Products Limited InvFund

Interhop Network Services Inc. -- Non- -- -- Yes/Oui 2000/07/26 InvFund

Interlapse Technologies Corp. Coronado Resources Ltd. BC Non------InvFund

Interlock Consolidated Enterprises Inc. -- Non- -- -- Yes/Oui 1996/10/17 InvFund

Intermap Technologies Corporation Intermap Technologies Ltd. AB Non------InvFund

Intermune Life Sciences Inc. -- Non- -- -- Yes/Oui 1997/06/18 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)

International Accord Inc. -- Non- -- -- Yes/Oui 1997/01/22 InvFund

International Baslen Enterprises Limited -- Non- -- -- Yes/Oui 1991/07/31 InvFund

International Battery Metals Ltd. Rheingold Exploration BC Non------Corp. InvFund

International Bond Fund ON InvFund ------

International Business Machines Corp. ON Non------InvFund

International Clean Power Dividend Fund AB InvFund ------

International Cobalt Corp. Brakpan Ventures Corp. BC Non------InvFund

International Consolidated Uranium Inc. NXGold Ltd.; Lancaster BC Non------Capital Corp.; Long InvFund Harbour Exploration Corp.; Long Harbour Capital Corp.

International Equity Alpha Corporate Class ON InvFund ------

International Equity Alpha Pool ON InvFund ------

International Equity Fund EAFE Equity Fund; Primus ON InvFund ------Capital Advisors Eafe Equity Fund

International Equity Growth Corporate Class ON InvFund ------

International Equity Growth Pool Assante International Equity ON InvFund ------Growth Pool; Optima Strategy International Equity Growth Pool; Optima Strategy International Growth Pool

International Equity Value Corporate Class ON InvFund ------

International Equity Value Currency Hedged ON InvFund ------Corporate Class

International Equity Value Currency Hedged ON InvFund ------Pool

International Equity Value Pool Assante International Equity ON InvFund ------Value Pool; Optima Strategy International Equity Value Pool; Optima Strategy International Value Pool

International Geographics Ltd. -- Non- -- -- Yes/Oui 1994/06/24 InvFund

International Growth Fund ON InvFund -- -- Yes/Oui 1989/11/30

International Hospitality Inc. -- Non- -- -- Yes/Oui 2000/06/12 InvFund

International Isotopes Inc. ON Non------InvFund

International Larder Minerals Inc. -- Non- -- -- Yes/Oui 1999/06/24 InvFund

International Movie Group Inc. -- Non- -- -- Yes/Oui 1995/12/06 InvFund

International Norvalie Mines Limited -- Non- -- -- Yes/Oui 1977/12/07 InvFund

International Petroleum Corporation BC Non------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)

International Precious Metals Corporation International Platinum -- Non- -- -- Yes/Oui 1998/09/09 Corporation InvFund

International Prospect Ventures Ltd. Uranium Valley Mines Ltd. QC Non------InvFund

International Tower Hill Mines Ltd. BC Non------InvFund

International Utility Structures Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/04/13 InvFund

International Veronex Resources Ltd. -- Non- -- -- Yes/Oui 1995/07/26 InvFund

International Wallcoverings Ltd. International Wallcoverings -- Non- -- -- Yes/Oui 1999/10/05 Ltd. InvFund

Internet Shopping Catalog Inc. Eminator Capital Corp.; -- Non- Yes/Oui 1a Yes/Oui 2002/08/26 e-minerals Exploration InvFund Corp.

Interprovincial Venture Capital Corporation Royal Crest Resources Ltd. -- Non- Yes/Oui 1a Yes/Oui 2002/01/24 InvFund

Interpublic Group of Companies, Inc., The ON Non------InvFund

Interquest Incorporated Interquest Technologies ON Non- Yes/Oui 1a, 1b, 1c, 1e Yes/Oui 2007/07/04 Inc. InvFund

InterRent Real Estate Investment Trust ON Non------InvFund

Intertainment Media Inc. Savers Plus International ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/11/03 Inc.; Leitrim Group Inc. InvFund

Intertape Polymer Group Inc. QC Non------InvFund

Intouch Insight Ltd. In-Touch Survey Systems ON Non------Ltd.; Pacific Ranger InvFund Petroleum Inc.

Intrex, The International Real Estate -- Non- -- -- Yes/Oui 1990/02/12 Exchange Corporation InvFund

INV Metals Inc. International Nickel ON Non------Ventures Corporation InvFund

Inventronics Limited MB Non------InvFund

Inventus Mining Corp. Ginguro Exploration Inc. ON Non------InvFund

Invesco 1-10 Year Laddered Investment PowerShares 1-10 Year ON InvFund ------Grade Corporate Bond Index ETF Laddered Investment Grade Corporate Bond Index ETF

Invesco 1-3 Year Laddered Floating Rate PowerShares 1-3 Year ON InvFund ------Note Index ETF Laddered Floating Rate Note Index ETF

Invesco 1-5 Year Laddered All Government PowerShares 1-5 Year ON InvFund ------Bond Index ETF Laddered All Government Bond Index ETF

Invesco 1-5 Year Laddered Corporate Bond PowerShares 1-5 Year ON InvFund ------Index ETF Fund Laddered Corporate Bond Index Fund

Invesco 1-5 Year Laddered Investment PowerShares 1-5 Year ON InvFund ------Grade Corporate Bond Index ETF Laddered Investment Grade Corporate Bond Index ETF 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) Invesco Active Multi-Sector Credit Fund Invesco Advantage Bond ON InvFund ------Fund; Trimark Advantage Bond Fund

Invesco Allocation Fund Invesco Trimark Dialogue ON InvFund ------Allocation Fund; AIM Trimark Dialogue Allocation Fund

Invesco Balanced ETF Portfolio Balanced Portfolio ON InvFund ------

Invesco Balanced Portfolio ON InvFund ------

Invesco Canada Money Market Fund AIM Canada Money Market ON InvFund ------Fund; AIM GT Canada Money Market Fund; GT Global Canada Money Market Fund

Invesco Canadian Class Trimark Canadian Class; ON InvFund ------Trimark Canadian First Class; AIM Canadian First Class

Invesco Canadian Core Plus Bond Fund Invesco Canadian Bond ON InvFund ------Fund; Trimark Canadian Bond Fund

Invesco Canadian Dividend Index ETF PowerShares Canadian ON InvFund ------Dividend Index ETF

Invesco Canadian Dividend Index ETF Powershares Canadian ON InvFund ------Class Dividend Index Class

Invesco Canadian Endeavour Fund Trimark Canadian ON InvFund ------Endeavour Fund; Trimark RSP Equity Fund

Invesco Canadian Fund Trimark Canadian Fund ON InvFund ------

Invesco Canadian Opportunity Class Trimark Canadian ON InvFund ------Opportunity Class; Invesco Core Canadian Equity Class; Invesco Trimark Core Canadian Equity Class; AIM Trimark Core Canadian Equity Class

Invesco Canadian Plus Dividend Class Trimark Canadian Plus ON InvFund ------Dividend Class

Invesco Canadian Preferred Share Index PowerShares Canadian ON InvFund ------ETF Preferred Share Index ETF

Invesco Canadian Preferred Share Index PowerShares Canadian ON InvFund ------ETF Class Preferred Share Index Class

Invesco Canadian Premier Balanced Class Invesco Core Canadian ON InvFund ------Balanced Class; Invesco Trimark Core Canadian Balanced Class; AIM Trimark Core Canadian Balanced Class

Invesco Canadian Premier Balanced Fund Invesco Canadian ON InvFund ------Balanced Fund; AIM Canadian Balanced Fund; Admax Asset Allocation Fund

Invesco Canadian Premier Growth Class Aim Canadian Premier ON InvFund ------Class; AIM Canada Fund Inc.; AIM GT Canada Fund Inc.; GT Global Canada Fund Inc. 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)

Invesco Canadian Premier Growth Fund AIM Canadian Premier ON InvFund ------Fund; Admax Canadian Performance Fund

Invesco Canadian Real Return Bond Index PowerShares Real Return ON InvFund ------Fund Bond Index Fund

Invesco Canadian Short-Term Bond Fund Invesco Short-Term Bond ON InvFund ------Fund; Trimark Short-Term Income Fund; Trimark Government Plus Income Fund; Trimark Government Income Fund

Invesco Conservative ETF Portfolio Conservative Portfolio ON InvFund ------

Invesco Conservative Portfolio ON InvFund ------

Invesco Diversified Yield Class Trimark Diversified Yield ON InvFund ------Class; Trimark Monthly Income Private Pool

Invesco Emerging Markets Class Trimark Emerging Markets ON InvFund ------Class; Invesco Emerging Markets Class

Invesco Emerging Markets Fund Invesco Indo-Pacific Fund; ON InvFund ------Perpetual Indo-Pacific Fund; AIM Indo-Pacific Fund; Trimark Indo-Pacific Fund

Invesco Emerging Markets Select Pool ON InvFund ------

Invesco ESG Canadian Core Plus Bond Invesco Tactical Bond ETF; ON InvFund ------ETF PowerShares Tactical Bond ETF

Invesco ESG Canadian Core Plus Bond Invesco Tactical Bond ETF ON InvFund ------ETF Fund Fund; PowerShares Tactical Bond Fund

Invesco European Growth Class AIM European Growth ON InvFund ------Class

Invesco Europlus Fund Trimark Europlus Fund ON InvFund ------

Invesco Floating Rate Income Fund Trimark Floating Rate ON InvFund ------Income Fund

Invesco FTSE RAFI Canadian Index ETF Invesco FTSE Canadian ON InvFund ------Index ETF; PowerShares FTSE RAFI Canadian Fundamental Index ETF

Invesco FTSE RAFI Canadian Index ETF PowerShares FTSE RAFI® ON InvFund ------Class Canadian Fundamental Index Class

Invesco FTSE RAFI Canadian Small-Mid PowerShares FTSE RAFI ON InvFund ------Index ETF Canadian Small-Mid Fundamental Index ETF

Invesco FTSE RAFI Emerging Markets ETF owerShares FTSE RAFI® ON InvFund ------Class Emerging Markets Fundamental Class

Invesco FTSE RAFI Global Small-Mid ETF PowerShares FTSE RAFI ON InvFund ------Global Small-Mid Fundamental ETF

Invesco FTSE RAFI Global+ ETF Fund PowerShares FTSE RAFI® ON InvFund ------Global+ Fundamental Fund 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) Invesco FTSE RAFI Global+ Index ETF PowerShares FTSE RAFI ON InvFund ------Global+ Fundamental Index ETF

Invesco FTSE RAFI U.S. ETF Fund PowerShares FTSE RAFI® ON InvFund ------U.S. Fundamental Fund

Invesco FTSE RAFI U.S. Index ETF PowerShares FTSE RAFI ON InvFund ------U.S. Fundamental Index ETF II; PowerShares FTSE RAFI US Fundamental (CAD Hedged) Index ETF

Invesco FTSE RAFI U.S. Index ETF II PowerShares FTSE RAFI ON InvFund ------(Formerly, PowerShares FTSE RAFI U.S. U.S. Fundamental Index Fundamental Index ETF II) ETF

Invesco Fundamental High Yield Corporate PowerShares Fundamental ON InvFund ------Bond Index ETF High Yield Corporate Bond Index ETF; PowerShares Fundamental High Yield Corporate Bond (CAD Hedged) Index ETF

Invesco Global Balanced Class Trimark Global Balanced ON InvFund ------Class

Invesco Global Balanced Fund Trimark Global Balanced ON InvFund ------Fund

Invesco Global Bond Fund ON InvFund ------

Invesco Global Companies Fund Trimark Fund ON InvFund ------

Invesco Global Diversified Companies Trimark Global ON InvFund ------Class Fundamental Equity Class; Trimark Select Growth Class

Invesco Global Diversified Income Fund Trimark Global Diversified ON InvFund ------Income Fund

Invesco Global Dividend Achievers ETF PowerShares Global ON InvFund ------Fund Dividend Achievers Fund

Invesco Global Dividend Class Trimark Global Dividend ON InvFund ------Class

Invesco Global Dividend Income Fund ON InvFund ------

Invesco Global Endeavour Class Trimark Global Endeavour ON InvFund ------Class

Invesco Global Endeavour Fund Trimark Global Endeavour ON InvFund ------Fund; Trimark Americas Fund; Americas Fund, The

Invesco Global Growth Class AIM Global Growth Class; ON InvFund ------AIM Global Theme Class

Invesco Global High Yield Bond Fund Trimark Global High Yield ON InvFund ------Bond Fund

Invesco Global Monthly Income Fund ON InvFund ------

Invesco Global Real Estate Fund ON InvFund ------

Invesco Global Select Equity Fund Invesco Global Diversified ON InvFund ------Companies Fund; Trimark Global Fundamental Equity Fund; Trimark Select Growth Fund

Invesco Global Shareholder Yield ETF PowerShares Global ON InvFund ------Shareholder Yield ETF 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) Invesco Global Small Companies Class Trimark Global Small ON InvFund ------Companies Class

Invesco Growth ETF Portfolio Growth Portfolio ON InvFund ------

Invesco Growth Portfolio ON InvFund ------

Invesco High Growth ETF Portfolio High Growth Portfolio ON InvFund ------

Invesco High Growth Portfolio ON InvFund ------

Invesco Income Growth Fund Trimark Income Growth ON InvFund ------Fund

Invesco Intactive 2023 Portfolio Invesco Trimark Retirement ON InvFund ------Payout 2023 Portfolio

Invesco Intactive 2028 Portfolio Invesco Trimark Retirement ON InvFund ------Payout 2028 Portfolio

Invesco Intactive 2033 Portfolio Invesco Trimark Retirement ON InvFund ------Payout 2033 Portfolio

Invesco Intactive 2038 Portfolio Invesco Trimark Retirement ON InvFund ------Payout 2038 Portfolio

Invesco Intactive Balanced Growth Portfolio Invesco Trimark Dialogue ON InvFund ------Growth with Income Portfolio; AIM Trimark Dialogue Growth with Income Portfolio

Invesco Intactive Balanced Growth Portfolio ON InvFund ------Class

Invesco Intactive Balanced Income Portfolio Invesco Trimark Dialogue ON InvFund ------Income with Growth Portfolio; AIM Trimark Dialogue Income with Growth Portfolio

Invesco Intactive Balanced Income Portfolio ON InvFund ------Class

Invesco Intactive Diversified Income Invesco Trimark Dialogue ON InvFund ------Portfolio Income Portfolio; AIM Trimark Dialogue Income Portfolio

Invesco Intactive Diversified Income ON InvFund ------Portfolio Class

Invesco Intactive Growth Portfolio Invesco Trimark Dialogue ON InvFund ------Growth Portfolio; AIM Trimark Dialogue Growth Portfolio

Invesco Intactive Growth Portfolio Class ON InvFund ------

Invesco Intactive Maximum Growth Portfolio Invesco Trimark Dialogue ON InvFund ------Long-Term Growth Portfolio; AIM Trimark Dialogue Long-Term Growth Portfolio

Invesco Intactive Maximum Growth Portfolio ON InvFund ------Class

Invesco International Companies Class Trimark International ON InvFund ------Companies Class; Trimark EAFE Equity Private Pool

Invesco International Companies Fund Trimark International ON InvFund ------Companies Fund

Invesco International Growth Class AIM International Growth ON InvFund ------Class 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)

Invesco International Growth Fund AIM International Growth ON InvFund ------Fund

Invesco LadderRite U.S. 0-5 Year Corporate PowerShares LadderRite ON InvFund ------Bond Index ETF U.S. 0-5 Year Corporate Bond Index ETF

Invesco Long Term Government Bond Index PowerShares Ultra Liquid ON InvFund ------ETF Long Term Government Bond Index ETF; PowerShares Ultra DLUX Long Term Government Bond Index ETF

Invesco Low Volatility Portfolio ETF PowerShares Low Volatility ON InvFund ------Portfolio ETF

Invesco Main Street U.S. Small Cap Class Invesco U.S. Small ON InvFund ------Companies Class; Trimark U.S. Small Companies Class

Invesco Moderate ETF Portfolio Moderate Portfolio ON InvFund ------

Invesco Moderate Portfolio ON InvFund ------

Invesco Monthly Income ETF Portfolio PowerShares Monthly ON InvFund ------Income Fund; PowerShares Diversified Yield Fund

Invesco NASDAQ 100 Index ETF Fund ON InvFund ------

Invesco NASDAQ Next Gen 100 Index ETF ON InvFund ------Fund

Invesco QQQ Index ETF PowerShares QQQ Index ON InvFund ------ETF; PowerShares QQQ (CAD Hedged) Index ETF

Invesco Select Balanced Fund Trimark Select Balanced ON InvFund ------Fund

Invesco Select Canadian Equity Fund Trimark Select Canadian ON InvFund ------Growth Fund

Invesco Senior Loan Index ETF PowerShares Senior Loan ON InvFund ------(CAD Hedged) Index ETF

Invesco Strategic Yield Fund Invesco Intactive Strategic ON InvFund ------Yield Portfolio

Invesco S&P 500 Equal Weight Index ETF MB InvFund ------

Invesco S&P 500 ESG Index ETF ON InvFund ------

Invesco S&P 500 ESG Index ETF Fund ON InvFund ------

Invesco S&P 500 High Dividend Low PowerShares S&P 500 ON InvFund ------Volatility Index ETF High Dividend Low Volatility Index ETF

Invesco S&P 500 Low Volatility Index ETF PowerShares S&P 500 Low ON InvFund ------Volatility Index ETF; PowerShares S&P 500 Low Volatility (CAD Hedged) Index ETF

Invesco S&P 500 Low Volatility Index ETF PowerShares U.S. Low ON InvFund ------Fund Volatility Index Fund

Invesco S&P 500 Momentum Index ETF Invesco DWA Global ON InvFund ------Momentum Index ETF; PowerShares DWA Global Momentum Index ETF 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) Invesco S&P Emerging Markets Low PowerShares S&P ON InvFund ------Volatility Index ETF Emerging Markets Low Volatility Index ETF

Invesco S&P Europe 350 Equal Weight ON InvFund ------Index ETF

Invesco S&P Global ex. Canada High PowerShares S&P Global ON InvFund ------Dividend Low Volatility Index ETF ex. Canada High Dividend Low Volatility Index ETF

Invesco S&P International Developed Low PowerShares S&P ON InvFund ------Volatility Index ETF International Developed Low Volatility Index ETF

Invesco S&P/TSX Composite ESG Index ON InvFund ------ETF

Invesco S&P/TSX Composite ESG Index ON InvFund ------ETF Class

Invesco S&P/TSX Composite Low Volatility PowerShares S&P/TSX ON InvFund ------Index ETF Composite Low Volatility Index ETF

Invesco S&P/TSX Composite Low Volatility PowerShares Canadian ON InvFund ------Index ETF Class Low Volatility Index Class

Invesco S&P/TSX REIT Income Index ETF PowerShares S&P/TSX ON InvFund ------REIT Income Index ETF

Invesco U.S. Companies Class Trimark U.S. Companies ON InvFund ------Class

Invesco U.S. Companies Fund Trimark U.S. Companies ON InvFund ------Fund

Invesco U.S. High Yield Bond Index Fund PowerShares High Yield ON InvFund ------Corporate Bond Index Fund

Invesco U.S. Money Market Fund Trimark U.S. Money Market ON InvFund ------Fund

Invesque Inc. Mainstreet Health ON Non------Investments Inc.; Kingsway InvFund Arms Retirement Residences Inc.

Investment Grade Managed Duration ON InvFund ------Income Fund

Investors Cornerstone Portfolio Investors Cornerstone II MB InvFund ------Portfolio

Investors Group Equity Pool MB InvFund ------

Investors Group Income Pool MB InvFund ------

Investors Growth Plus Portfolio MB InvFund ------

Investors Growth Portfolio MB InvFund ------

Investors Income Plus Portfolio MB InvFund ------

Investors Real Property Fund MB InvFund ------

Investors Retirement Growth Portfolio MB InvFund ------

Investors Retirement Plus Portfolio MB InvFund ------

Invictus MD Strategies Corp. BioAB Strategies Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2021/02/04 InvFund

Inviro Medical Inc. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2010/12/09 InvFund

Ion Energy Ltd. Spirit Banner Capital Corp. ON Non------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)

Iona Energy Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/12/09 InvFund

Ionic Brands Corp. Zara Resources Inc. ON Non------InvFund

IOU Financial Inc. MCO Capital Inc.; Matco QC Non------Ravary Inc. InvFund

IPC Essentials Balanced Portfolio IPC Balanced Essentials ON InvFund ------Portfolio

IPC Essentials ESG Balanced Portfolio IPC ESG Balanced ON InvFund ------Essentials Portfolio; Counsel Balanced Growth Portfolio; Counsel Managed Portfolio; Counsel Managed; Counsel Managed Portfolio; Counsel Managed Fund

IPC Essentials Growth Portfolio IPC Growth Essentials ON InvFund ------Portfolio

IPC Essentials Income Portfolio IPC Income Essentials ON InvFund ------Portfolio

IPC Focus Balanced Porfolio ON InvFund ------

IPC Focus Conservative Portfolio ON InvFund ------

IPC Focus Growth Portfolio ON InvFund ------

IPC Multi-Factor Canadian Equity ON InvFund ------

IPC Multi-Factor International Equity ON InvFund ------

IPC Multi-Factor U.S. Equity ON InvFund ------

IPC Private Wealth Visio Balanced Growth ON InvFund ------Pool

IPC Private Wealth Visio Balanced Pool ON InvFund ------

IPC Private Wealth Visio Core Fixed Income ON InvFund ------

IPC Private Wealth Visio Growth Pool ON InvFund ------

IPC Private Wealth Visio Income Pool ON InvFund ------

IPC Private Wealth Visio North American ON InvFund ------Equity

iProfile Active Allocation Private Pool I MB InvFund ------

iProfile Active Allocation Private Pool II MB InvFund ------

iProfile Active Allocation Private Pool III MB InvFund ------

iProfile Alternatives Private Pool MB InvFund ------

iProfile Canadian Equity Private Class iProfile Canadian Equity MB InvFund ------Class

iProfile Canadian Equity Private Pool iProfile Canadian Equity MB InvFund ------Pool

iProfile Emerging Markets Private Class iProfile Emerging Markets MB InvFund ------Class

iProfile Emerging Markets Private Pool iProfile Emerging Markets MB InvFund ------Pool

iProfile ETF Private Pool MB InvFund ------

iProfile Fixed Income Private Pool iProfile Fixed Income Pool MB InvFund ------

iProfile International Equity Private Class iProfile International Equity MB InvFund ------Class 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) iProfile International Equity Private Pool iProfile International Equity MB InvFund ------Pool

iProfile Low Volatility Private Pool MB InvFund ------

iProfile Portfolio - Global Equity MB InvFund ------

iProfile Portfolio - Global Equity Balanced MB InvFund ------

iProfile Portfolio - Global Fixed Income MB InvFund ------Balanced

iProfile Portfolio - Global Neutral Balanced MB InvFund ------

iProfile U.S. Equity Private Class iProfile U.S. Equity Class MB InvFund ------

iProfile U.S. Equity Private Pool iProfile U.S. Equity Pool MB InvFund ------

IRI Separation Technologies Inc. Immuno Research Inc. BC Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2009/06/12 InvFund

Irish Life - IG Low Volatility Global Equity MB InvFund ------Pool

Iron Bay Trust, The -- Non- -- -- Yes/Oui 1992/02/05 InvFund

Irvco Resources Ltd. -- Non- -- -- Yes/Oui 1992/03/03 InvFund

Irving Resources Inc. BC Non------InvFund

iSCOPE Inc. BarCode Holdings Limited ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/08/05 InvFund

ISE Limited ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2010/08/25 InvFund

ISEE3D Inc. International Telepresence BC Non- Yes/Oui 1c, 1e Yes/Oui 2012/12/13 (Canada) Inc. InvFund

iShares 1-10 Year Laddered Corporate Claymore 1-10 Yr Laddered ON InvFund ------Bond Index ETF Corporate Bond ETF

iShares 1-10 Year Laddered Government Claymore 1-10 Yr Laddered ON InvFund ------Bond Index ETF Government Bond ETF

iShares 1-5 Year Laddered Corporate Bond Claymore 1-5 Yr Laddered ON InvFund ------Index ETF Corporate Bond ETF

iShares 1-5 year Laddered Government Claymore 1-5 Yr Laddered ON InvFund ------Bond Index ETF Government Bond ETF

iShares Canadian Corporate Bond Index iShares DEX All Corporate ON InvFund ------ETF Bond Index Fund; iShares CDN DEX All Corporate Bond Index Fund; iShares CDN Scotia Capital All Corporate Bond Index Fund

iShares Canadian Financial Monthly Income iShares Canadian Financial ON InvFund ------ETF Monthly Income Fund; Claymore Canadian Financial Monthly Income ETF(formerly Canadian Financial Income Fund); Canadian Financial Income Fund

iShares Canadian Fundamental Index ETF iShares Canadian ON InvFund ------Fundamental Index Fund; Claymore Canadian Fundamental Index ETF; ClaymorETFs FTSE RAFI Canadian Index Fund 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) iShares Canadian Government Bond Index iShares DEX All ON InvFund ------ETF Government Bond Index Fund; iShares CDN DEX All Government Bond Index Fund; iShares CDN Scotia Capital All Government Bond Index Fund

iShares Canadian Growth Index ETF iShares Dow Jones ON InvFund ------Canada Select Growth Index Fund; iShares CDN Dow Jones Canada Select Growth Index Fund

iShares Canadian HYBrid Corporate Bond iShares DEX HYBrid Bond ON InvFund ------Index ETF Index Fund

iShares Canadian Real Return Bond Index iShares DEX Real Return ON InvFund ------ETF Bond Index Fund; iShares CDN DEX Real Return Bond Index Fund; iShares CDN Scotia Capital Real Return Bond Index Fund; iUnits Real Return Bond Index Fund

iShares Canadian Select Dividend Index iShares Dow Jones ON InvFund ------ETF Canada Select Dividend Index Fund; iShares CDN Dow Jones Canada Select Dividend Index Fund; iUnits Dividend Index Fund

iShares Canadian Value Index ETF iShares Dow Jones ON InvFund ------Canada Select Value Index Fund; iShares CDN Dow Jones Canada Select Value Index Fund

iShares China Index ETF iShares China Index Fund ON InvFund ------

iShares Conservative Short Term Strategic ON InvFund ------Fixed Income ETF

iShares Conservative Strategic Fixed ON InvFund ------Income ETF

iShares Convertible Bond Index ETF iShares Advantaged ON InvFund ------Convertible Bond Index Fund ETF; Claymore Advantaged Convertible Bond ETF

iShares Core Balanced ETF Portfolio iShares Balanced Income ON InvFund ------CorePortfolioTM Index ETF; iShares Balanced Income CorePortfolioTM Fund; Claymore Balanced Income CorePortfolio ETF; Claymore Global Balanced Income ETF

iShares Core Canadian Long Term Bond iShares Canadian Long ON InvFund ------Index ETF Term Bond Index ETF; iShares DEX Long Term Bond Index Fund; iShares CDN DEX Long Term Bond Index Fund; iShares CDN Scotia Capital Long Term Bond Index Fund 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) iShares Core Canadian Short Term Bond iShares Canadian Short ON InvFund ------Index ETF Term Bond Index ETF; iShares DEX Short Term Bond Index Fund; iShares CDN DEX Short Term Bond Index Fund; iShares CDN Scotia Capital Short Term Bond Index Fund; iUnits Short Bond Index Fund; iUnits Government of Canada 5-Year Bond Fund

iShares Core Canadian Short Term iShares Core Canadian ON InvFund ------Corporate Bond Index ETF Short Term Corporate + Maple Bond Index ETF; iShares Canadian Short Term Corporate + Maple Bond Index ETF; iShares DEX Short Term Corporate Universe + Maple Bond Index Fund

iShares Core Canadian Universe Bond iShares Canadian Universe ON InvFund ------Index ETF Bond Index ETF; iShares DEX Universe Bond Index Fund; iShares CDN DEX Universe Bond Index Fund; iShares CDN Scotia Capital Universe Bond Index Fund; iUnits Canadian Bond Broad Market Index Fund; iUnits Government of Canada 10-Year Bond Fund

iShares Core Conservative Balanced ETF ON InvFund ------Portfolio

iShares Core Equity ETF Portfolio ON InvFund ------

iShares Core Growth ETF Portfolio iShares Balanced Growth ON InvFund ------CorePortfolioTM Index ETF; iShares Balanced Growth CorePortfolioTM Fund; Claymore Balanced Growth CorePortfolio ETF; Claymore Global Balanced Growth ETF

iShares Core Income Balanced ETF ON InvFund ------Portfolio

iShares Core MSCI All Country World ex ON InvFund ------Canada Index ETF

iShares Core MSCI Canadian Quality ON InvFund ------Dividend Index ETF

iShares Core MSCI EAFE IMI Index ETF iShares MSCI EAFE IMI ON InvFund ------Index ETF

iShares Core MSCI EAFE IMI Index ETF ON InvFund ------(CAD-Hedged)

iShares Core MSCI Emerging Markets IMI iShares MSCI Emerging ON InvFund ------Index ETF Markets IMI Index ETF

iShares Core MSCI Global Quality Dividend ON InvFund ------Index ETF

iShares Core MSCI Global Quality Dividend ON InvFund ------Index ETF (CAD-Hedged)

iShares Core MSCI US Quality Dividend ON InvFund ------Index ETF 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) iShares Core MSCI US Quality Dividend ON InvFund ------Index ETF (CAD-Hedged)

iShares Core S&P 500 Index ETF iShares S&P 500 Index ETF ON InvFund ------

iShares Core S&P 500 Index ETF iShares S&P 500 Index ETF ON InvFund ------(CAD-Hedged) (CAD-Hedged); iShares S&P 500 Index Fund (CAD-Hedged); iShares CDN S&P 500 Hedged to Canadian Dollars Index Fund; iUnits S&P 500 C$ Index Fund; iUnits S&P 500 Index RSP Fund iShares Core S&P U.S. Total Market Index ON InvFund ------ETF

iShares Core S&P U.S. Total Market Index ON InvFund ------ETF (CAD-Hedged)

iShares Core S&P/TSX Capped Composite iShares S&P/TSX Capped ON InvFund ------Index ETF Composite Index ETF; iShares CDN S&P/TSX Capped Composite Index Fund; iUnits Composite Cdn Eq Capped Index Fund; iUnits S&P/TSX 60 Capped Index Fund; iUnits S&P/TSE 60 Capped Index Fund

iShares Diversified Monthly Income ETF iShares Diversified Monthly ON InvFund ------Income Fund; iShares S&P/TSX Income Trust Index Fund; iShares CDN S&P/TSX Income Trust Index Fund; iShares CDN S&P/TSX Capped Income Trust Index Fund; iUnits Income Trust Sector Index Fund

iShares Emerging Markets Fundamental iShares Broad Emerging ON InvFund ------Index ETF Markets Fund; Claymore Broad Emerging Markets ETF; Claymore Frontier Markets ETF

iShares Equal Weight Banc & Lifeco ETF iShares Equal Weight Banc ON InvFund ------& Lifeco Fund; Claymore Equal Weight Banc & Lifeco ETF; Claymore Equal Weight Banc & Lifeco Trust

iShares ESG Advanced MSCI Canada Index ON InvFund ------ETF

iShares ESG Advanced MSCI EAFE Index ON InvFund ------ETF

iShares ESG Advanced MSCI USA Index ON InvFund ------ETF

iShares ESG Aware MSCI Canada Index iShares ESG MSCI Canada ON InvFund ------ETF Index ETF

iShares ESG Aware MSCI EAFE Index ETF iShares ESG MSCI EAFE ON InvFund ------Index ETF

iShares ESG Aware MSCI Emerging iShares ESG MSCI ON InvFund ------Markets Index ETF Emerging Markets Index ETF 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) iShares ESG Aware MSCI USA Index ETF iShares ESG MSCI USA ON InvFund ------Index ETF

iShares ESG Balanced ETF Portfolio ON InvFund ------

iShares ESG Canadian Aggregate Bond ON InvFund ------Index ETF

iShares ESG Canadian Short Term Bond ON InvFund ------Index ETF

iShares ESG Conservative Balanced ETF ON InvFund ------Portfolio

iShares ESG Equity ETF Portfolio ON InvFund ------

iShares ESG Growth ETF Portfolio ON InvFund ------

iShares ESG MSCI Canada Leaders Index ON InvFund ------ETF

iShares ESG MSCI EAFE Leaders Index ON InvFund ------ETF

iShares ESG MSCI USA Leaders Index ETF ON InvFund ------

iShares Floating Rate Index ETF iShares DEX Floating Rate ON InvFund ------Note Index Fund

iShares Global Agriculture Index ETF Claymore Global Agriculture ON InvFund ------ETF iShares Global Government Bond Index ETF RBC Global Government ON InvFund ------(CAD-Hedged) Bond (CAD Hedged),

iShares Global Healthcare Index ETF iShares S&P Global ON InvFund ------(CAD-Hedged) Healthcare Index ETF (CAD-Hedged); iShares S&P Global Healthcare Index Fund (CAD-Hedged)

iShares Global Infrastructure Index ETF Claymore Global ON InvFund ------Infrastructure ETF

iShares Global Monthly Dividend Index ETF Claymore Global Monthly ON InvFund ------(CAD-Hedged) Advantaged Dividend ETF; Claymore Global Monthly Yield Hog ETF

iShares Global Real Estate Index ETF Claymore Global Real ON InvFund ------Estate ETF

iShares Global Water Index ETF Claymore S&P Global ON InvFund ------Water ETF

iShares Gold Bullion ETF iShares Gold Bullion Fund; ON InvFund ------Claymore Gold Bullion ETF

iShares High Quality Canadian Bond Index iShares Core High Quality ON InvFund ------ETF Canadian Bond Index ETF; iShares High Quality Canadian Bond Index ETF; iShares Advantaged Canadian Bond Index Fund; Claymore Advantaged Canadian Bond ETF

iShares India Index ETF iShares CNX Nifty India ON InvFund ------Index ETF; iShares S&P CNX Nifty India Index Fund

iShares International Fundamental Index Claymore International ON InvFund ------ETF Fundamental Index Fund ETF; Claymore Global Fundamental Index ETF 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) iShares Jantzi Social Index ETF iShares Jantzi Social Index ON InvFund ------Fund; iShares CDN Jantzi Social Index Fund

iShares Japan Fundamental Index ETF Claymore Japan ON InvFund ------(CAD-Hedged) Fundamental Index ETF C$ hedged

iShares J.P. Morgan USD Emerging iShares J.P. Morgan USD ON InvFund ------Markets Bond Index ETF (CAD-Hedged) Emerging Markets Bond Index Fund (CAD-Hedged)

iShares MSCI EAFE Index ETF iShares MSCI EAFE® Index ON InvFund ------(CAD-Hedged) Fund (CAD-Hedged); iShares CDN MSCI EAFE 100% Hedged to CAD Dollars Index Fund; iUnits International Equity C$ Index Fund; iUnits MSCI International Equity Index RSP Fund iShares MSCI Emerging Markets Index ETF iShares MSCI Emerging ON InvFund ------Markets Index Fund; iShares CDN MSCI Emerging Markets Index Fund

iShares MSCI Europe IMI Index ETF ON InvFund ------

iShares MSCI Europe IMI Index ETF ON InvFund ------(CAD-Hedged)

iShares MSCI Min Vol Canada Index ETF iShares MSCI Min Vol ON InvFund ------Canada Index ETF (formerly, iShares Edge MSCI Min Vol Canada Index ETF); iShares Edge MSCI Min Vol Canada Index ETF; iShares MSCI Canada Minimum Volatility Index ETF; iShares MSCI Canada Minimum Volatility Index Fund iShares MSCI Min Vol EAFE Index ETF iShares Edge MSCI Min Vol ON InvFund ------EAFE Index ETF; iShares MSCI EAFE Minimum Volatility Index ETF; iShares MSCI EAFE Minimum Volatility Index Fund iShares MSCI Min Vol EAFE Index ETF iShares Edge MSCI Min Vol ON InvFund ------(CAD-Hedged) EAFE Index ETF (CAD-Hedged)

iShares MSCI Min Vol Emerging Markets iShares Edge MSCI Min Vol ON InvFund ------Index ETF Emerging Markets Index ETF; iShares MSCI Emerging markets Minimum Volatility Index ETF; iShares MSCI Emerging Markets Minimum Volatility Index Fund

iShares MSCI Min Vol Global Index ETF iShares MSCI All Country ON InvFund ------World Minimum Volatility Index ETF; iShares MSCI All Country World Minimum Volatility Index Fund 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) iShares MSCI Min Vol Global Index ETF iShares Edge MSCI Min Vol ON InvFund ------(CAD-Hedged) Global Index ETF (CAD-Hedged)

iShares MSCI Min Vol USA Index ETF iShares MSCI USA ON InvFund ------Minimum Volatility Index ETF; iShares MSCI USA Minimum Volatility Index Fund

iShares MSCI Min Vol USA Index ETF iShares Edge MSCI Min Vol ON InvFund ------(CAD-Hedged) USA Index ETF (CAD-Hedged)

iShares MSCI Multifactor Canada Index ETF iShares Edge MSCI ON InvFund ------Multifactor Canada Index ETF; iShares FactorSelectTM MSCI Canada Index ETF

iShares MSCI Multifactor EAFE Index ETF iShares Edge MSCI ON InvFund ------Multifactor EAFE Index ETF; iShares FactorSelectTM MSCI EAFE Index ETF iShares MSCI Multifactor EAFE Index ETF iShares Edge MSCI ON InvFund ------(CAD-Hedged) Multifactor EAFE Index ETF (CAD-Hedged); iShares FactorSelectTM MSCI EAFE Index ETF (CAD-Hedged) iShares MSCI Multifactor USA Index ETF iShares Edge MSCI ON InvFund ------Multifactor USA Index ETF; iShares FactorSelectTM MSCI USA Index ETF

iShares MSCI Multifactor USA Index ETF iShares Edge MSCI ON InvFund ------(CAD-Hedged) Multifactor USA Index ETF (CAD-Hedged); iShares FactorSelectTM MSCI USA Index ETF (CAD-Hedged)

iShares MSCI USA Momentum Factor Index iShares Edge MSCI USA ON InvFund ------ETF Momentum Factor Index ETF

iShares MSCI USA Quality Factor Index ETF iShares Edge MSCI USA ON InvFund ------Quality Factor Index ETF

iShares MSCI USA Value Factor Index ETF iShares Edge MSCI USA ON InvFund ------Value Factor Index ETF

iShares MSCI World Index ETF iShares MSCI World Index ON InvFund ------Fund; iShares CDN MSCI World Index Fund

iShares NASDAQ 100 Index ETF iShares NASDAQ 100 Index ON InvFund ------(CAD-Hedged) Fund (CAD-Hedged) iShares Premium Money Market ETF iShares Premium Money ON InvFund ------Market Fund; Claymore Premium Money market ETF

iShares Short Duration High Income ETF iShares Advantaged Short ON InvFund ------(CAD-Hedged) Duration High Income Fund; Claymore Advantaged Short Duration High Income ETF; Claymore Short Duration High Income ETF

iShares Short Term High Quality Canadian iShares Core Short Term ON InvFund ------Bond Index ETF High Quality Canadian Bond Index ETF 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) iShares Short Term Strategic Fixed Income ON InvFund ------ETF

iShares Silver Bullion ETF iShares Silver Bullion Fund; ON InvFund ------Blackrock Silver Bullion Fund

iShares S&P Global Consumer iShares S&P Global ON InvFund ------Discretionary Index ETF (CAD-Hedged) Consumer Discretionary Index Fund (CAD-Hedged)

iShares S&P Global Industrials Index ETF iShares S&P Global ON InvFund ------(CAD-Hedged) Industrials Index Fund (CAD-Hedged)

iShares S&P U.S. Mid-Cap Index ETF ON InvFund ------

iShares S&P U.S. Mid-Cap Index ETF ON InvFund ------(CAD-Hedged)

iShares S&P U.S. Small-Cap Index ETF ON InvFund ------

iShares S&P U.S. Small-Cap Index ETF ON InvFund ------(CAD-Hedged)

iShares S&P/TSX 60 Index ETF iShares S&P/TSX 60 Index ON InvFund ------Fund; iShares CDN S&P/TSX 60 Index Fund; iUnits S&P/TSX 60 Index Fund; iUnits S&P/TSE 60 Index Participation Fund

iShares S&P/TSX Canadian Dividend Claymore S&P/TSX ON InvFund ------Aristocrats Index ETF Canadian Dividend ETF; Claymore CDN Dividend & Income Achievers ETF

iShares S&P/TSX Canadian Preferred Claymore S&P/TSX CDN ON InvFund ------Share Index ETF Preferred Share ETF

iShares S&P/TSX Capped Consumer iShares S&P/TSX Capped ON InvFund ------Staples Index ETF Consumer Staples Index Fund

iShares S&P/TSX Capped Energy Index ETF iShares S&P/TSX Capped ON InvFund ------Energy Index Fund; iShares CDN S&P/TSX Capped Energy Index Fund; iUnits S&P/TSX Capped Energy Index Fund; iUnits S&P/TSX Canadian Energy Index Fund; iUnits S&P/TSE Canadian Energy Index Fund iShares S&P/TSX Capped Financials Index iShares S&P/TSX Capped ON InvFund ------ETF Financials Index Fund; iShares CDN S&P/TSX Capped Financials Index Fund; iUnits S&P/TSX Capped Financials Index Fund; iUnits S&P/TSX Canadian Financials Index Fund; iUnits S&P/TSE Canadian Financials Index Fund 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) iShares S&P/TSX Capped Information iShares S&P/TSX Capped ON InvFund ------Technology Index ETF Information Technology Index Fund; iShares CDN S&P/TSX Capped Information Technology Index Fund; iUnits S&P/TSX Capped Information Technology Index Fund; iUnits S&P/TSX Canadian Information Technology Index Fund; iUnits S&P/TSE Canadian Information Technology Index Fund iShares S&P/TSX Capped Materials Index iShares S&P/TSX Capped ON InvFund ------ETF Materials Index Fund; iShares CDN S&P/TSX Capped Materials Index Fund; iUnits Materials Sector Index Fund

iShares S&P/TSX Capped REIT Index ETF iShares S&P/TSX Capped ON InvFund ------REIT Index Fund; iShares CDN S&P/TSX Capped REIT Index Fund; iUnits S&P/TSX Capped REIT Index Fund; iUnits S&P/TSX Canadian REIT Index Fund iShares S&P/TSX Capped Utilities Index iShares S&P/TSX Capped ON InvFund ------ETF Utilities Index Fund

iShares S&P/TSX Completion Index ETF iShares S&P/TSX ON InvFund ------Completion Index Fund; iShares CDN S&P/TSX Completion Index Fund; iShares CDN S&P/TSX Midcap Index Fund; iUnits S&P/TSX MidCap Index Fund; iUnits S&P/TSX Canadian MidCap Index Fund; iUnits S&P/TSE Canadian MidCap Index Fund

iShares S&P/TSX Composite High Dividend iShares Core S&P/TSX ON InvFund ------Index ETF Composite High Dividend Index ETF; iShares S&P/TSX Equity Income Index ETF; iShares S&P/TSX Equity Income Index Fund

iShares S&P/TSX Global Base Metals Index iShares S&P/TSX Global ON InvFund ------ETF Base Metals Index Fund

iShares S&P/TSX Global Gold Index ETF iShares S&P/TSX Global ON InvFund ------Gold Index Fund; iShares CDN S&P/TSX Global Gold Index Fund; iShares CDN S&P/TSX Capped Gold Index Fund; iUnits S&P/TSX Capped Gold Index Fund; iUnits S&P/TSX Canadian Gold Index Fund; iUnits S&P/TSE Canadian Gold Index Fund iShares S&P/TSX North American Preferred iShares S&P/TSX North ON InvFund ------Stock Index ETF (CAD-Hedged) American Preferred Stock Index Fund (CAD-Hedged) 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) iShares S&P/TSX SmallCap Index ETF iShares S&P®/TSX® ON InvFund ------SmallCap Index Fund; iShares CDN S&P/TSX SmallCap Index Fund

iShares US Dividend Growers Index ETF Claymore S&P US Dividend ON InvFund ------(CAD-Hedged) Growers ETF

iShares US Fundamental Index ETF Claymore US Fundamental ON InvFund ------Index ETF; Claymore US Fundamental Index ETF C$ hedged

iShares U.S. High Dividend Equity Index ON InvFund ------ETF

iShares U.S. High Dividend Equity Index iShares U.S. High Dividend ON InvFund ------ETF (CAD-Hedged) Equity Index Fund (CAD-Hedged)

iShares U.S. High Yield Bond Index ETF iShares U.S. High Yield ON InvFund ------(CAD-Hedged) Bond Index Fund (CAD-Hedged)

iShares U.S. High Yield Fixed Income Index iShares Advantaged U.S. ON InvFund ------ETF (CAD-Hedged) High Yield Bond Index ETF (CAD-Hedged); iShares Advantaged U.S. High Yield Bond Index Fund (CAD-Hedged); Claymore Advantaged High-Yield Bond ETF

iShares U.S. IG Corporate Bond Index ETF iShares U.S. IG Corporate ON InvFund ------(CAD-Hedged) Bond Index Fund (CAD-Hedged)

iShares U.S. Small Cap Index ETF iShares Russell 2000® ON InvFund ------(CAD-Hedged) Index Fund (CAD-Hedged); iShares CDN Russell 2000 Index - Canadian Dollar Hedged Index Fund

iSIGN Media Solutions Inc. Corbal Capital Corp. ON Non------InvFund

Isodiol International Inc. Laguna Blends Inc.; BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/12/09 Grenadier Resource Corp. InvFund

Isracann Biosciences Inc. Atlas Blockchain Group Inc.; BC Non------Atlas Cloud Enterprises InvFund Inc.; Sypher Resources Ltd.

Israel Capital Canada Corp. BC Non------InvFund

Itafos (formerly, MBAC Fertilizer Corp.) MBAC Fertilizer Corp. ON Non------InvFund

Itemus Inc. Vengold Inc. -- Non- Yes/Oui 1b Yes/Oui 2001/11/15 InvFund

ITI Education Corporation -- Non- -- -- Yes/Oui 2001/09/18 InvFund

ITOK Capital Corp. ON Non------InvFund

IU International Corporation -- Non- -- -- Yes/Oui 1990/07/06 InvFund

Ivaco Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2012/10/03 InvFund 1e, 3

Ivanhoe Energy Inc. Black Sea Energy Ltd. BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2015/04/21 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)

Ivanhoe Mines Ltd. Ivanplats Limited BC Non------InvFund

Ivor Exploration Inc. BC Non------InvFund

IVRnet Inc. AB Non------InvFund

Izotropic Corporation BC Non------InvFund

I.O.S. Ltd. -- Non- -- -- Yes/Oui 1978/07/28 InvFund J

Jabbo Capital Corp. BC Non------InvFund

Jack Nathan Medical Corp. Woodbridge Ventures Inc. ON Non------InvFund

Jade Leader Corp. Manson Creek Resources AB Non------Ltd. InvFund

Jade Power Trust Blockchain Power Trust; ON Non------Transeastern Power Trust InvFund

Jaguar Financial Corporation ON Non------InvFund

Jaguar Mining Inc. Rainbow Gold Ltd.; Caussa ON Non------Capital Corporation; InvFund Antares Mining and Exploration Corporation

James Bay Resources Limited ON Non------InvFund

James E. Wagner Cultivation Corporation AIM1 Ventures Inc. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2020/07/29 InvFund

Jamestown Resources Inc. -- Non- -- -- Yes/Oui 1983/06/09 InvFund

Jamie Frontier Resources Inc. -- Non- -- -- Yes/Oui 1990/06/21 InvFund

Jamieson Wellness Inc. ON Non------InvFund

Jarvis Mutual Partnership -- Non- -- -- Yes/Oui 1993/07/15 InvFund

Java Gold Corporation CPX Industries Inc. ON Non- -- -- Yes/Oui 1999/08/17 InvFund

Java Joe's International Corporation Venturbon Enterprises Inc. QC Non- Yes/Oui 1a, 1b Yes/Oui 2003/01/31 InvFund

Jawz Inc. Jaws Technologies Inc. AB Non- Yes/Oui 1b Yes/Oui 2002/02/20 InvFund

Jayden Resources Inc. Pinnacle Mines Ltd. BC Non------InvFund

Jemtec Inc. BC Non------InvFund

Jen-Tek Enterprises & Explorations Inc. -- Non- -- -- Yes/Oui 1988/06/28 InvFund

Jeotex Inc. Jeotex Corporation; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2019/08/02 DataWind Inc. 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) Jericho Energy Ventures Inc. Jericho Oil Corporation; BC Non------Dakar Resource Corp. InvFund

Jervois Mining Limited BC Non------InvFund

Jetcom Inc. Seaway Base Metals ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/08 Limited InvFund

Jewett-Cameron Trading Company Ltd. BC Non------InvFund

JFT Strategies Fund ON InvFund ------

Jiminex Inc. ON Non------InvFund

Jinhua Capital Corporation BC Non------InvFund

JM Capital II Corp. ON Non------InvFund

JNC Resources Inc. BC Non------InvFund

Joffre Resources Ltd. -- Non- -- -- Yes/Oui 1984/03/16 InvFund

John Deere Canada Funding Inc. ON Non------InvFund

Johnson Controls International plc Tyco International plc; Tyco ON Non------International Ltd.; ADT InvFund Limited

Johnson Matthey Plc ON Non------InvFund

Johnson & Johnson ON Non------InvFund

Jonpol Resources Inc. Jonpol Rare Earths Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/09/18 InvFund

Josemaria Resources Inc. NGEx Resources Inc.; BC Non------Canadian Gold Hunter InvFund Corp.; International Curator Resources Ltd.

Jourdan Resources Inc. ON Non------InvFund

Journey's End Bathurst Limited Partnership -- Non- -- -- Yes/Oui 1996/06/11 InvFund

Journey's End Sainte Foy and Company, ON Non- -- -- Yes/Oui 1998/09/17 Limited Partnership InvFund

Journey's End St. John's Hotel Limited ON Non- -- -- Yes/Oui 1998/09/17 Partnership InvFund

Journey Energy Inc. AB Non------InvFund

JPMorgan - IG U.S. Equity Long/Short Pool MB InvFund ------

JPY Holdings Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/05/16 InvFund

Jubilee Gold Exploration Ltd. ON Non------InvFund

Jumbo Petroleum Corporation Jumbo Development ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/04/02 Corporation InvFund

June 2021 Investment Grade Bond Pool ON 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)

Juniper Equity Growth Fund Grenadier 2000 Equity ON InvFund Yes/Oui 1a, 1b, 1c, 3 -- -- Fund; First Heritage Fund

Juniper Income Fund Capstone Cash ON InvFund Yes/Oui 1a, 1b, 1c, 3 -- -- Management Fund, The

Jura Energy Corporation Proprietary Industries Inc.; AB Non------Proprietary Energy InvFund Industries Inc.

Jushi Holdings Inc. ON Non------InvFund

Just Energy Group Inc. ON Non------InvFund

Just Kitchen Holdings Corp. BC Non------InvFund

Justify Capital Corp. BC Non------InvFund

Juva Life Inc. BC Non------InvFund

J.D. Carrier Shoe Co. Limited -- Non- -- -- Yes/Oui 1981/04/23 InvFund

J.D.S. Investments Limited -- Non- -- -- Yes/Oui 1993/11/19 InvFund K

K-Bro Linen Inc. AB Non------InvFund

K-Tel International, Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

K2 Gold Corporation West Melville Metals Inc. BC Non------InvFund

K9 Gold Corp. Global Vanadium Corp.; BC Non------Windfire Capital Corp. InvFund

K92 Mining Inc. BC Non------InvFund

Kadestone Capital Corp. BC Non------InvFund

Kafus Industries Ltd. Kafus Environmental BC Non- -- -- Yes/Oui 2001/01/18 Industries Ltd.; Kafus InvFund Capital Corporation, The; Giant Bay Resources Ltd.

Kainantu Resources Ltd. PLB CAPITAL CORP. BC Non------InvFund

Kalon Acquisition Corp. BC Non------InvFund

Kalytera Therapeutics, Inc. Santa Maria Petroleum Inc.; BC Non------Quetzal Energy Ltd.; InvFund Southampton Ventures Inc.

Kam Creed Mines Ltd. -- Non- -- -- Yes/Oui 1991/07/03 InvFund

Kaolin of Canada Inc. -- Non- -- -- Yes/Oui 1988/06/03 InvFund

KAP Resources Ltd. Kap Resources Ltd. BC Non- -- -- Yes/Oui 1999/09/09 InvFund

Kappa Investments Limited -- Non- -- -- Yes/Oui 1984/12/06 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)

Karam Minerals Inc. BC Non------InvFund

Karlsons Blueburner Systems Ltd. -- Non- -- -- Yes/Oui 1982/01/26 InvFund

Karnalyte Resources Inc. SK Non------InvFund

Karora Resources Inc. Royal Nickel Corporation ON Non------InvFund

Katipult Technology Corp. BC Non------InvFund

Kazakstan Goldfields Corporation Edomar Resources Inc. ON Non- -- -- Yes/Oui 1999/10/06 InvFund

KCP Resources Inc. -- Non- -- -- Yes/Oui 1991/07/31 InvFund

KDA Group Inc. AlliancePharma Inc.; QC Non------Rodocanachi Capital Inc. InvFund

Kelso Technologies Inc. BC Non------InvFund

Kelt Exploration Ltd. AB Non------InvFund

Kenartha Oil and Gas Company Limited ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/08/26 InvFund

Kenora Prospectors & Miners, Limited ON Non- Yes/Oui 1a, 1b, 1c, 1e Yes/Oui 1996/06/10 InvFund

Kenorland Minerals Ltd. Northway Resources Corp. BC Non------InvFund

Keon Capital Inc. Prospero Silver Corp. BC Non------InvFund

Kew Media Group Inc. ON Non- Yes/Oui 1a, 1c, 1d, 1e, Yes/Oui 2020/01/16 InvFund 2b, 3

Key Lake Explorations Limited -- Non- -- -- Yes/Oui 1989/06/07 InvFund

Keyera Corp. AB Non------InvFund

KGIC Inc. Loyalist Group Limited; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 Loyalist Insurance Group InvFund Limited, The

KGL Resources Ltd. KILO Goldmines Ltd.; Blue ON Non------Ribbon Capital Corporation InvFund

Khiron Life Sciences Corp. ON Non------InvFund

Kiaro Holdings Corp. DC Acquisition Corp. BC Non------InvFund

Kilkenny Capital Corporation QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/06/06 InvFund

Killam Apartment Limited Partnership NS Non------InvFund

Killam Apartment Real Estate Investment NS Non------Trust InvFund

Killarney Oil & Gas Development Company -- Non- -- -- Yes/Oui 1971/08/17 Limited 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) Killi Ltd. Freckle Ltd. ON Non------InvFund

Kimpex International Inc. QC Non- -- -- Yes/Oui 1999/05/07 InvFund

Kinaxis Inc. ON Non------InvFund

Kinburn Technology Corporation -- Non- -- -- Yes/Oui 1991/02/19 InvFund

Kincora Copper Limited Brazilian Diamonds BC Non------Limited; Black Swan InvFund Resources Ltd.; Black Swan Gold Mines Ltd.

King Global Ventures Inc. Rosita Mining Corporation; ON Non------Midlands Minerals InvFund Corporation; Grand Oakes Resources Corp.

Kingfisher Metals Corp. Seashore Resource BC Non------Partners Corp. InvFund

Kingman Minerals Ltd. Astorius Resources Ltd. BC Non------InvFund

Kingsbridge Apartments Limited -- Non- -- -- Yes/Oui 1994/06/06 InvFund

Kingscross Communities Incorporated Bijou Resource Corporation ON Non- -- -- Yes/Oui 2001/05/25 InvFund

Kingsway Financial Services Inc. ON Non------InvFund

Kinross Gold Corporation ON Non------InvFund

Kirkland Lake Gold Ltd. Newmarket Gold Inc. ON Non------InvFund

Kits Eyecare Ltd. BC Non------InvFund

Klondike Fever -- Non- -- -- Yes/Oui 1982/09/10 InvFund

kneat.com, inc. Fortune Bay Corp. NS Non------InvFund

Knick Exploration Inc. OphiraVencap Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/07 InvFund

Knight Therapeutics Inc. QC Non------InvFund

Knighthawk Inc. KnightHawk Airlines Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2021/03/08 InvFund

Knightscove Media Corp. Queen Street Entertainment ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/30 Capital Inc. InvFund

Knowledge House Inc. Knowledge House NS Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/07/23 Publishing Limited InvFund

Knowledgemax, Inc. Sideware Systems Inc. BC Non- Yes/Oui 1b, 1d Yes/Oui 2003/04/15 InvFund

Koios Beverage Corp. Super Nova Petroleum BC Non------Corp.; Super Nova Minerals InvFund Corp.

Kolibri Global Energy Inc. BNK Petroleum Inc. BC Non------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) KOLOMBO TECHNOLOGIES LTD. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/09/08 InvFund

Komunik Corporation QC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2009/11/27 InvFund 1e, 3

Konexus Technologies Limited Dotcom 2000 Inc.; Tyranex ON Non- Yes/Oui 1b Yes/Oui 2002/12/04 Gold Inc. InvFund

Kontrol Technologies Corp. Kontrol Energy Corp.; ON Non------Arrowhead Gold Corp. InvFund

Kootenay Silver Inc. BC Non------InvFund

KP Tissue Inc. ON Non------InvFund

KPI International Inc. Waite Dufault Mines Limited ON Non- -- -- Yes/Oui 2000/06/02 InvFund

Kraken Robotics Inc. ON Non------InvFund

Krystal Bond Inc. Infinitum Growth Fund Inc. ON Non- Yes/Oui 1a, 1b Yes/Oui 2002/04/12 InvFund

KT Capital Corp. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/01/13 InvFund

Kure Technologies, Inc. Unique Broadband ON Non------Systems, Inc.; PCS InvFund Wireless, Inc.

Kutcho Copper Corp. BC Non------InvFund

KuuHubb Inc. Delrand Resources ON Non------Limited; BRC InvFund DiamondCore Ltd.; BRC Diamond Corporation; BRC Development Corporation

Kuya Silver Corporation Miramont Resources Corp. BC Non------InvFund

KWG Resources Inc. ON Non------InvFund

K.B. Recycling Industries Ltd. ON Non------InvFund

K.T. Resources (1981) Limited -- Non- -- -- Yes/Oui 1984/07/26 InvFund L

La Fosse Platinum Group Inc. -- Non- -- -- Yes/Oui 1992/10/19 InvFund

La Imperial Resources Inc. BC Non- Yes/Oui 3 -- -- InvFund

La Jolla Capital Inc. MicroCoal Technologies BC Non------Inc.; Carbon Friendly InvFund Solutions Inc.

La Societe en Commandite Aiguebelle -- Non- -- -- Yes/Oui 1990/07/06 1982 InvFund

La Tour 1990 II Limited Partnership -- Non- -- -- Yes/Oui 1992/03/06 InvFund

LAB Research Inc. QC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2011/04/08 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) Labrador Iron Mines Holdings Limited ON Non------InvFund

Labrador Iron Ore Royalty Corporation ON Non------InvFund

Lachlan Star Limited BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Lafayette Paper Mills Limited QC Non- -- -- Yes/Oui 1997/10/30 InvFund

Laguna Gold Company -- Non- -- -- Yes/Oui 2001/06/25 InvFund

Lake Louise Limited Partnership MB Non------InvFund

Lake Winn Resources Corp. Equitorial Exploration Corp.; BC Non------Equitorial Capital Corp. InvFund

Lakeview Hotel Investment Corp. MB Non- Yes/Oui 3 -- -- InvFund

Lakex Mines Ltd. -- Non- -- -- Yes/Oui 1980/06/11 InvFund

Lamaska Capital Corp. BC Non------InvFund

Landmark Global Financial Corporation Landmark Corporation ON Non- -- -- Yes/Oui 2012/05/07 InvFund

Lands End Resources Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/10/05 InvFund

Lanebury Growth Capital Ltd. BC Non------InvFund

Lanesborough Real Estate Investment MB Non------Trust InvFund

Lanpar Technologies Inc. -- Non- -- -- Yes/Oui 1989/06/28 InvFund

Lantronix, Inc. BC Non------InvFund

Lara Exploration Ltd. BC Non------InvFund

Laramide Resources Ltd. ON Non------InvFund

Largo Resources Ltd. ON Non------InvFund

LaSalle Exploration Corp. BC Non------InvFund

Lassonde Industries Inc. QC Non------InvFund

Last Chase, The -- Non- -- -- Yes/Oui 1984/08/21 InvFund

Launch Resources Inc. Kicking Horse Resources AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/05/31 Ltd.; gronArctic Resources InvFund 1e, 3 Inc.; gronArctic Energy Inc.; Beaufort Petroleum Investment Limited

Laurentian Bank of Canada QC Non------InvFund

Laurion Mineral Exploration Inc. Laurion Gold Inc.; Northcott ON Non------Gold Inc.; Davidson Tisdale InvFund Ltd. 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)

LAVA Systems Inc. ON Non- -- -- Yes/Oui 1999/01/07 InvFund

Lazard Defensive Global Dividend Fund Lazard Global Managed ON InvFund ------Volatility Fund; Lazard Global Low Volatility Fund

Lazard Global Balanced Income Fund ON InvFund ------

Lazard Global Compounders Fund Greystone Global Equity ON InvFund ------Fund

Lazard International Compounders Fund ON InvFund ------

LBL Skysystems Corporation QC Non- Yes/Oui 1b Yes/Oui 2002/12/05 InvFund

LCTI Low Carbon Technologies BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/01/15 International Inc. InvFund

LDIC North American Small Business Fund ON InvFund ------(Corporate Class)

Le Chateau Inc. Chateau Stores of Canada QC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2021/01/11 Ltd. InvFund

Le Print Express International Inc. ON Non- -- -- Yes/Oui 2000/07/26 InvFund

Leader Energy Services Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/15 InvFund

Leader Industries Inc QC Non- Yes/Oui 1b Yes/Oui 2002/04/22 InvFund

Leadley, Gunning & Culp International Corp. Leadley, Gunning & Cuop -- Non- -- -- Yes/Oui 1995/12/21 International Corp. InvFund

Leaf Mobile Inc. Caprice Business BC Non------Development Canada Inc. InvFund

LeanLife Health Inc. LeenLife Pharma BC Non------International Inc.; SPT InvFund Sulphur Polymer Technologies Inc.; 0990756 B.C. LTD.

Learnco International Inc. Canfield Financial Ltd. ON Non- -- -- Yes/Oui 2004/06/03 InvFund

LEF McLean Brothers International Inc. ON Non- -- -- Yes/Oui 2001/06/28 InvFund

Legacy Education Savings Plan Global Educational Trust ON InvFund ------Plan

Legend Power Systems Inc. BC Non------InvFund

Lehndorff Canadian Properties ON Non- -- -- Yes/Oui 1998/06/10 InvFund

Lehndorff Properties (Canada) III -- Non- -- -- Yes/Oui 1993/07/15 InvFund

Leith Wheeler Balanced Fund BC InvFund ------

Leith Wheeler Canadian Dividend Fund BC InvFund ------

Leith Wheeler Canadian Equity Fund BC InvFund ------

Leith Wheeler Carbon Constrained BC InvFund ------Canadian Equity Fund

Leith Wheeler Core Bond Fund Leith Wheeler Fixed Income BC InvFund ------Fund 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) Leith Wheeler Corporate Advantage Fund Leith Wheeler Corporate BC InvFund ------Fixed Income Fund

Leith Wheeler Emerging Markets Equity BC InvFund ------Fund

Leith Wheeler High Yield Bond Fund BC InvFund ------

Leith Wheeler Income Advantage Fund BC InvFund ------

Leith Wheeler International Equity Plus BC InvFund ------Fund

Leith Wheeler Money Market Fund BC InvFund ------

Leith Wheeler Multi Credit Fund BC InvFund ------

Leith Wheeler Preferred Share Fund BC InvFund ------

Leith Wheeler Short Term Income Fund BC InvFund ------

Leith Wheeler U.S. Dividend Fund BC InvFund ------

Leith Wheeler U.S. Equity Fund BC InvFund ------

Leith Wheeler U.S. Small/Mid-Cap Equity BC InvFund ------Fund

Lencourt Limited -- Non- -- -- Yes/Oui 1995/12/21 InvFund

Lendified Holdings Inc. Hampton Bay Capital Inc. ON Non------InvFund

Lenox Polymers Limited -- Non- -- -- Yes/Oui 2000/02/08 InvFund

Leocor Gold Inc. Leocor Ventures Inc. BC Non------InvFund

Leon's Furniture Limited ON Non------InvFund

LeoNovus Inc. Work Horse Capital & ON Non------Strategic Acquisitions Ltd. InvFund

LEUCADIA FINANCE PARTNERS INC. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/09/04 InvFund

Leucrotta Exploration Inc. AB Non------InvFund

Level 14 Ventures Ltd. BC Non------InvFund

Leveljump Healthcare Corp. Good2Go2 Corp. ON Non------InvFund

Levesque Beaubien Geoffrion Inc. - -- Non------Education Savings Plan InvFund

Levesque, Beaubien and Company Inc. -- Non------InvFund

Leviathan Natural Products Inc. Leviathan Cannabis Group ON Non------Inc.; Morgan Resources InvFund Corp.; Gideon Capital Corp.

LexaGene Holdings Inc. (formerly Wolfeye BC Non------Resource Corp.) InvFund

Lexaria Bioscience Corp. Lexaria Corp. BC Non------InvFund

Lexicon Building Systems Ltd. American Insulock Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/10/07 InvFund

Lexington Biosciences, Inc. Glenwood Acquisitions BC Non------Corp. 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)

LGC Skyrota Wind Energy Corp. Zenith Industries Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/02/11 InvFund

LGX Oil + Gas Inc. Bowood Energy Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/09/06 InvFund

Libero Copper & Gold Corporation Libero Copper Corporation; BC Non------Libero Mining Corporation; InvFund Slater Mining Corporation

Liberty Defense Holdings, Ltd. Gulfstream Acquisition 1 BC Non------Corp. InvFund

Liberty Gold Corp. Pilot Gold Inc. BC Non------InvFund

Liberty Health Sciences Inc. SecureCom Mobile Inc. ON Non------InvFund

Liberty One Lithium Corp. Peace River Capital Corp.; BC Non------Petro Basin Energy Corp.; InvFund OSE Corp.; Oil Springs Energy Corp.; Wild River Resources Inc.

Lida Resources Inc. BC Non------InvFund

Lidco Industries Inc. -- Non- -- -- Yes/Oui 1994/06/01 InvFund

Lido Minerals Ltd. BC Non------InvFund

Life & Banc Split Corp. ON InvFund ------

Lifestyle Global Brands Limited Integrated Compliance AB Non------Solutions Limited; Goldbelt InvFund Empires Limited; Quartet Resources Limited

Lift & Co. Corp. MJ Opportunity Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/09/18 InvFund

Lightning Ventures Inc. Highmark Marketing Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/08/03 InvFund

Lightspeed POS Inc. QC Non------InvFund

Lightstream Resources Ltd. PetroBakken Energy Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/08 InvFund

Limerick Mines Limited ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2005/03/04 InvFund

Liminal BioSciences Inc. Prometic Life Sciences Inc.; QC Non------Innovon Life Sciences InvFund Holdings Limited

Linamar Corporation ON Non------InvFund

Lincluden Balanced Fund ON InvFund ------

Lincoln's Hill 31 Limited Partnership -- Non- -- -- Yes/Oui 1986/09/19 InvFund

Lincoln Ventures Ltd. TekModo Industries Inc.; BC Non------CarbonOne Technologies InvFund Inc.; Palo Duro Energy Inc.; Centillion Industries Inc.; ESS Capital Inc.

Lingo Media Corporation Lingo Media Inc.; Alpha ON Non------Communications Corp.; InvFund Alpha Ventures Inc. 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)

Link Global Technologies Inc. BC Non------InvFund

Link Mineral Ventures Ltd International Micham ON Non- -- -- Yes/Oui 2001/07/23 Resources Inc. InvFund

Lions Bay Capital Inc. BC Non------InvFund

Lions Gate Entertainment Corp. Beringer Gold Corp.; BC Non------Guyana Gold Corp. InvFund

Lions Petroleum Inc. Energy Visions Inc.; Energy AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2008/06/24 Ventures Inc. InvFund

Liquid Avatar Technologies Inc. KABN Systems NA ON Non------Holdings Corp.; Torino InvFund Power Solutions Inc.

Liquid Nutrition Group Inc. Lime Hill Capital ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/06/12 Corporation InvFund

Lite Access Technologies Inc. BC Non------InvFund

Lithium Americas Corp. Western Lithium USA BC Non------Corporation InvFund

Lithium Energi Exploration Inc. ON Non------InvFund

Lithium South Development Corporation NRG Metals Inc.; BC Non------CODRINGTON InvFund RESOURCE CORPORATION; Gold Port Resources Ltd.; Wollasco Minerals Inc.

Livent Inc. ON Non- -- -- Yes/Oui 2001/02/06 InvFund

Lobe Sciences Ltd. GreenStar Biosciences BC Non------Corp. InvFund

Loblaw Companies Limited ON Non------InvFund

Locke Rich Minerals Ltd. -- Non- -- -- Yes/Oui 1995/06/20 InvFund

Loewen Group Inc., The BC Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/08/30 InvFund

Logica Ventures Corp. ON Non------InvFund

Logistec Corporation QC Non------InvFund

Loh's Sinfully Good Ice Cream & Cookies -- Non- -- -- Yes/Oui 1988/01/07 Inc. InvFund

Lomiko Metals Inc. BC Non------InvFund

Loncor Resources Inc. ON Non------InvFund

Long Duration Bond Fund ON InvFund ------

Long Duration Credit Bond Fund ON InvFund ------

Long Term Bond Fund (Portico) ON InvFund ------

Lonmed Holdings Limited -- Non- -- -- Yes/Oui 1981/05/06 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)

Lonsdale Apartment Project MB Non- Yes/Oui 1d Yes/Oui 1992/12/16 InvFund

Loon Energy Corporation AB Non------InvFund

Loop Energy Inc. BC Non------InvFund

Loop Insights Inc. BC Non------InvFund

Loopshare Ltd. Kenna Resources Corp.; BC Non------Kenna Capital Corp. InvFund

Lorne Park Capital Partners Inc. ON Non------InvFund

LottoGopher Holdings Inc. BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2018/12/05 InvFund

Lotus Ventures Inc. BC Non------InvFund

Love -- Non- -- -- Yes/Oui 1984/06/20 InvFund

Lowell Farms Inc. Indus Holdings, Inc.; ON Non------Mezzotin Minerals Inc.; InvFund Zoolander Corporation

LSC Communications, Inc. ON Non------InvFund

Lucara Diamond Corp. Bannockburn Resources BC Non------Limited InvFund

Lucid Entertainment Inc. MagiCorp Entertainment ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/07/22 Inc.; Goldie Enterprises Inc. InvFund

Luckman Interactive, Inc. -- Non- -- -- Yes/Oui 1997/09/03 InvFund

Lucky Minerals Inc. BC Non------InvFund

Lucky Star, The -- Non- -- -- Yes/Oui 1993/01/29 InvFund

Luff Enterprises Ltd. Ascent Industries Corp. BC Non------InvFund

lululemon athletica inc. BC Non------InvFund

Lumiera Health Inc. Mondias Natural Products QC Non------Inc.; Element 79 Capital Inc. InvFund

Lumina Gold Corp. BC Non------InvFund

Luminart Inc. -- Non- -- -- Yes/Oui 1997/08/27 InvFund

Luminex Corporation ON Non------InvFund

Luminex Resources Corp. BC Non------InvFund

Lumsden Building Corporation Inc. -- Non- -- -- Yes/Oui 1980/07/22 InvFund

Lundin Gold Inc. BC Non------InvFund

Lundin Mining Corporation South Atlantic Ventures Ltd. ON Non------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)

Lupaka Gold Corp. BC Non------InvFund

Luxmar Resources Inc. -- Non- -- -- Yes/Oui 1990/03/09 InvFund

Luxor Exploration Inc. -- Non- -- -- Yes/Oui 1991/07/02 InvFund

Luxxfolio Holdings Inc. AX1 Capital Corp. BC Non------InvFund

LWP Capital Inc. Legumex Walker Inc. MB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/12 InvFund

LXRandCo, Inc. Gibraltar Growth QC Non------Corporation InvFund

Lydia Diamond Exploration of Canada Ltd. Acadia Minerals Limited; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/05/25 Acadia Minerals Corp.; InvFund Acadia Mineral Ventures Limited

Lydian International Limited Dawson Creek Capital ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2020/06/09 Corp. InvFund

Lyndex Explorations Limited ON Non- Yes/Oui 1a, 1f Yes/Oui 2003/02/20 InvFund

Lynx Golf, Inc. -- Non- -- -- Yes/Oui 1999/02/17 InvFund

Lyon Lake Mines Ltd. -- Non- -- -- Yes/Oui 2001/05/31 InvFund

Lysander-18 Asset Management Canadian ON InvFund ------Equity Fund

Lysander-Canso Balanced Fund Lysander Balanced Fund ON InvFund ------

Lysander-Canso Bond Fund Lysander Bond Fund; ON InvFund ------Lysander Canadian Bond Fund

Lysander-Canso Broad Corporate Bond ON InvFund ------Fund

Lysander-Canso Corporate Value Bond Lysander Corporate Value ON InvFund ------Fund Bond Fund

Lysander-Canso Credit Opportunities Fund ON InvFund ------

Lysander-Canso Equity Fund Lysander Equity Fund ON InvFund ------

Lysander-Canso Short Term and Floating Lysander Short Term and ON InvFund ------Rate Fund Floating Rate Fund

Lysander-Canso U.S. Credit Fund Lysander U.S. Credit Fund ON InvFund ------

Lysander-Crusader Equity Income Fund ON InvFund ------

Lysander-Fulcra Corporate Securities Fund ON InvFund ------

Lysander-Seamark Balanced Fund ON InvFund ------

Lysander-Seamark Total Equity Fund ON InvFund ------

Lysander-Slater Preferred Share ActivETF ON InvFund ------

Lysander-Slater Preferred Share Dividend ON InvFund ------Fund

Lysander-Triasima All Country Equity Fund ON InvFund ------

Lysander-Triasima All Country Long/Short ON InvFund ------Equity Fund 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) Lysander Balanced Income Fund Lysander-Triasima ON InvFund ------Balanced Income Fund

Lysander TDV Fund ON InvFund ------M

M Split Corp. ON InvFund ------

M8 Entertainment Inc. MDP Worldwide QC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2007/04/12 Entertainment Inc.; InvFund Behaviour Communications Inc.; Malofilm Communications Inc.

Macarthur Minerals Limited BC Non------InvFund

MacDonald Mines Exploration Ltd. ON Non------InvFund

Macdonald Oil Exploration Ltd. -- Non- Yes/Oui 1a Yes/Oui 2002/01/24 InvFund

Macfie Resources Inc. -- Non- -- -- Yes/Oui 1986/06/26 InvFund

Mackenzie - IG Canadian Bond Pool MB InvFund ------

Mackenzie - IG Canadian Corporate Bond MB InvFund ------Pool

Mackenzie - IG Canadian Equity Income MB InvFund ------Pool

Mackenzie - IG Canadian Equity Pool MB InvFund ------

Mackenzie - IG Global Bond Pool MB InvFund ------

Mackenzie - IG Global Credit Opportunities MB InvFund ------Pool

Mackenzie - IG International Equity Pool MB InvFund ------

Mackenzie - IG Low Volatility Canadian MB InvFund ------Equity Pool

Mackenzie - IG Low Volatility U.S. Equity MB InvFund ------Pool

Mackenzie - IG U.S. Equity Pool MB InvFund ------

Mackenzie All China Equity Fund ON InvFund ------

Mackenzie Alternative Enhanced Yield Fund ON InvFund ------

Mackenzie Anti-Benchmark Global ON InvFund ------Investment Grade Fund

Mackenzie Asian Small-Mid Cap Fund Mackenzie Asian ON InvFund ------Opportunities Fund

Mackenzie Balanced Allocation ETF ON InvFund ------

Mackenzie Balanced ETF Portfolio ON InvFund ------

Mackenzie Broad Risk Premia Collection ON InvFund ------Fund

Mackenzie Canadian Aggregate Bond Index ON InvFund ------ETF

Mackenzie Canadian All Corporate Bond ON InvFund ------Index ETF

Mackenzie Canadian Bond Fund Mackenzie Sentinel Bond ON InvFund ------Fund; Mackenzie Bond Fund; Industrial Bond Fund 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)

Mackenzie Canadian Dividend Class Mackenzie Canadian Large ON InvFund ------Cap Dividend Class; Mackenzie Maxxum Dividend Class; Mackenzie Maxxum Dividend Capital Class

Mackenzie Canadian Dividend Fund Mackenzie Canadian Large ON InvFund ------Cap Dividend Fund; Mackenzie MAXXUM Dividend Fund; Maxxum Dividend Fund; Prudential Dividend Fund of Canada

Mackenzie Canadian Equity Class Mackenzie Canadian All ON InvFund ------Cap Value Class; Mackenzie Saxon Stock Class

Mackenzie Canadian Equity Fund Mackenzie Canadian All ON InvFund ------Cap Value Fund; Mackenzie Saxon Stock Fund; Saxon Stock Fund

Mackenzie Canadian Equity Index ETF ON InvFund ------

Mackenzie Canadian Growth Balanced ON InvFund ------Class

Mackenzie Canadian Growth Balanced Mackenzie Universal ON InvFund ------Fund Canadian Balanced Fund; Universal Canadian Balanced Fund

Mackenzie Canadian Growth Class ON InvFund ------

Mackenzie Canadian Growth Fund Mackenzie Universal ON InvFund ------Canadian Growth Fund; Universal Canadian Growth Fund; Universal Canadian Growth Fund Limited

Mackenzie Canadian Large Cap Equity ON InvFund ------Index ETF

Mackenzie Canadian Money Market Fund Mackenzie Sentinel Money ON InvFund ------Market Fund; Mackenzie Money Market Fund; Industrial Short-Term Fund

Mackenzie Canadian Short-Term Bond ON InvFund ------Index ETF

Mackenzie Canadian Short Term Fixed ON InvFund ------Income ETF

Mackenzie Canadian Short Term Income Mackenzie Sentinel ON InvFund ------Fund Short-Term Income Fund; Mackenzie Sentinel Mortgage Fund; Mackenzie Mortgage Fund; Ivy Mortgage Fund

Mackenzie Canadian Small Cap Class Mackenzie Canadian Small ON InvFund ------Cap Value Class; Mackenzie Saxon Small Cap Class

Mackenzie Canadian Small Cap Fund Mackenzie Canadian Small ON InvFund ------Cap Value Fund; Mackenzie Saxon Small Cap Fund; Saxon Small Cap

Mackenzie China A-Shares CSI 300 Index ON InvFund ------ETF 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)

Mackenzie China Bond Fund ON InvFund ------

Mackenzie CL Canadian Dividend LP ON InvFund ------

Mackenzie CL Canadian Growth LP ON InvFund ------

Mackenzie CL Ivy Foreign Equity LP ON InvFund ------

Mackenzie CL Ivy Global Balanced LP ON InvFund ------

Mackenzie CL Ivy Global Balanced (Fixed ON InvFund ------Income) LP

Mackenzie CL Strategic Income LP ON InvFund ------

Mackenzie CL Strategic Income (Fixed ON InvFund ------Income) LP

Mackenzie CL US All Cap Growth LP ON InvFund ------

Mackenzie Conservative Allocation ETF ON InvFund ------

Mackenzie Conservative ETF Portfolio ON InvFund ------

Mackenzie Conservative Income ETF ON InvFund ------Portfolio

Mackenzie Core Plus Canadian Fixed ON InvFund ------Income ETF

Mackenzie Core Plus Global Fixed Income ON InvFund ------ETF

Mackenzie Corporate Bond Fund Mackenzie Sentinel ON InvFund ------Corporate Bond Fund; Mackenzie Corporate Bond Fund; Mackenzie Yield Advantage Fund; Industrial Yield Advantage Fund

Mackenzie Credit Absolute Return Fund ON InvFund ------

Mackenzie Cundill Canadian Balanced Cundill Canadian Balanced ON InvFund ------Fund Fund

Mackenzie Cundill Canadian Security Class Mackenzie Cundill ON InvFund ------Canadian Security Capital Class

Mackenzie Cundill Canadian Security Fund Cundill Canadian Security ON InvFund ------Fund; Cundill Security Fund

Mackenzie Cundill Value Class Mackenzie Cundill Value ON InvFund ------Capital Class

Mackenzie Cundill Value Fund Cundill Value Fund; Cundill ON InvFund ------Value Fund Ltd.

Mackenzie Developed ex-North America ON InvFund ------Aggregate Bond Index ETF (CAD-Hedged)

Mackenzie Developed Markets Real Estate ON InvFund ------Index ETF

Mackenzie Diversified Alternatives Fund ON InvFund ------

Mackenzie Emerging Markets Bond Index ON InvFund ------ETF (CAD-Hedged)

Mackenzie Emerging Markets Class Mackenzie Universal ON InvFund ------Emerging Markets Class; Mackenzie Universal Emerging Markets Capital Class; Mackenzie Universal World Emerging Growth Capital Class

Mackenzie Emerging Markets Fund ON 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)

Mackenzie Emerging Markets Large Cap ON InvFund ------Fund

Mackenzie Emerging Markets Local ON InvFund ------Currency Bond Index ETF

Mackenzie Emerging Markets Small Cap ON InvFund ------Fund

Mackenzie Enhanced Equity Risk Premia ON InvFund ------Fund

Mackenzie Enhanced Fixed Income Risk ON InvFund ------Premia Fund

Mackenzie European Small-Mid Cap Fund Mackenzie European ON InvFund ------Opportunities Fund

Mackenzie Floating Rate Income ETF ON InvFund ------

Mackenzie Floating Rate Income Fund ON InvFund ------

Mackenzie Global Credit Opportunities Fund ON InvFund ------

Mackenzie Global Dividend Fund Mackenzie Universal Global ON InvFund ------Infrastructure Income Fund; Mackenzie Universal Global Infrastructure Fund

Mackenzie Global Energy Opportunities ON InvFund ------Long/Short Fund

Mackenzie Global Environmental Equity ON InvFund ------Fund

Mackenzie Global Equity Fund Mackenzie Global ON InvFund ------Concentrated Equity Fund; Mackenzie Focus Fund; Mackenzie Select Managers Fund; Mackenzie Universal Select Managers Fund; Universal Select Managers Fund

Mackenzie Global Equity Income Fund ON InvFund ------

Mackenzie Global Fixed Income Allocation ON InvFund ------ETF

Mackenzie Global Growth Balanced Fund ON InvFund ------

Mackenzie Global Growth Class Mackenzie Universal Global ON InvFund ------Growth Class; Mackenzie Universal Global Future Class; Mackenzie Universal Global Future Capital Class; Keystone Altamira Global Equity Capital Class

Mackenzie Global High Yield Fixed Income ON InvFund ------ETF

Mackenzie Global Inflation-Linked Fund ON InvFund ------

Mackenzie Global Infrastructure Index ETF ON InvFund ------

Mackenzie Global Leadership Impact ETF ON InvFund ------

Mackenzie Global Low Volatility Equity Fund ON InvFund ------

Mackenzie Global Macro Fund ON InvFund ------

Mackenzie Global Resource Class Mackenzie Universal World ON InvFund ------Resource Class; Mackenzie Universal World Resource Capital Class 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)

Mackenzie Global Resource Fund Mackenzie Canadian ON InvFund ------Resource Fund; Mackenzie Universal Canadian Resource Fund; Universal Canadian Resource Fund

Mackenzie Global Small-Mid Cap Equity Mackenzie Global Small ON InvFund ------Class Cap Class; Mackenzie Global Small Cap Growth Class; Mackenzie Ivy Enterprise Class; Mackenzie Ivy Enterprise Capital Class

Mackenzie Global Small-Mid Cap Equity Mackenzie Global Small ON InvFund ------Fund Cap Fund; Mackenzie Global Small Cap Growth Fund; Mackenzie Ivy Enterprise Fund; Ivy Enterprise Fund

Mackenzie Global Small-Mid Cap Fund Mackenzie Global ON InvFund ------Opportunities Fund

Mackenzie Global Strategic Income Fund Mackenzie Global ON InvFund ------Diversified Income Fund; Mackenzie Sentinel Diversified Income Fund

Mackenzie Global Sustainability and Impact ON InvFund ------Balanced Fund

Mackenzie Global Sustainable Bond Fund ON InvFund ------

Mackenzie Global Sustainable Dividend ON InvFund ------Index ETF

Mackenzie Global Tactical Bond Fund ON InvFund ------

Mackenzie Global Tactical Investment Grade ON InvFund ------Bond Fund

Mackenzie Global Women's Leadership Mackenzie Global ON InvFund ------Fund Leadership Impact Fund

Mackenzie Gold Bullion Class Mackenzie Universal Gold ON InvFund ------Bullion Class

Mackenzie Greenchip Global Balanced ON InvFund ------Fund

Mackenzie Growth Allocation ETF ON InvFund ------

Mackenzie Growth ETF Portfolio ON InvFund ------

Mackenzie Income Fund Mackenzie Sentinel Income ON InvFund ------Fund; Mackenzie Income Fund; Mackenzie Industrial Income Fund; Industrial Income Fund

Mackenzie International Dividend Fund ON InvFund ------

Mackenzie International Equity Index ETF ON InvFund ------

Mackenzie International Equity Index ETF ON InvFund ------(CAD-Hedged)

Mackenzie International Quantitative Large ON InvFund ------Cap Fund

Mackenzie International Quantitative Small ON InvFund ------Cap Fund

Mackenzie Investment Grade Floating Rate ON InvFund ------Fund 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)

Mackenzie Ivy Canadian Balanced Class ON InvFund ------

Mackenzie Ivy Canadian Balanced Fund Mackenzie Ivy Growth and ON InvFund ------Income Fund; Ivy Growth and Income Fund

Mackenzie Ivy Canadian Fund Ivy Canadian Fund ON InvFund ------

Mackenzie Ivy European Class Mackenzie Ivy European ON InvFund ------Capital Class

Mackenzie Ivy Foreign Equity Class ON InvFund ------

Mackenzie Ivy Foreign Equity Currency ON InvFund ------Neutral Class

Mackenzie Ivy Foreign Equity Fund Ivy Foreign Equity Fund ON InvFund ------

Mackenzie Ivy Global Balanced Class ON InvFund ------

Mackenzie Ivy Global Balanced Fund Mackenzie Universal World ON InvFund ------Asset Allocation Fund; Universal World Asset Allocation Fund

Mackenzie Ivy Global Equity ETF ON InvFund ------

Mackenzie Ivy International Class Mackenzie International ON InvFund ------Growth Class; Mackenzie Universal International Stock Class; Mackenzie Universal International Stock Capital Class

Mackenzie Ivy International Fund Mackenzie International ON InvFund ------Growth Fund; Mackenzie Universal International Stock Fund; Universal International Stock Fund; Universal World Equity Fund

MacKenzie Master Limited Partnership MacKenzie Master Limited ON InvFund ------Partnership; Mackenzie Limited Master Partnership

Mackenzie Maximum Diversification All ON InvFund ------World Developed ex North America Index ETF

Mackenzie Maximum Diversification All Mackenzie High ON InvFund ------World Developed ex North America Index Diversification International Fund Equity Fund

Mackenzie Maximum Diversification All ON InvFund ------World Developed Index ETF

Mackenzie Maximum Diversification All Mackenzie High ON InvFund ------World Developed Index Fund Diversification Global Equity Fund

Mackenzie Maximum Diversification Canada Mackenzie High ON InvFund ------Index Class Diversification Canadian Equity Class

Mackenzie Maximum Diversification Canada ON InvFund ------Index ETF

Mackenzie Maximum Diversification ON InvFund ------Developed Europe Index ETF

Mackenzie Maximum Diversification Mackenzie High ON InvFund ------Developed Europe Index Fund Diversification European Equity Fund 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) Mackenzie Maximum Diversification ON InvFund ------Emerging Markets Index ETF

Mackenzie Maximum Diversification Mackenzie High ON InvFund ------Emerging Markets Index Fund Diversification Emerging Markets Equity Fund

Mackenzie Maximum Diversification US ON InvFund ------Index ETF

Mackenzie Maximum Diversification US Mackenzie High ON InvFund ------Index Fund Diversification US Equity Fund

Mackenzie Moderate Growth ETF Portfolio ON InvFund ------

Mackenzie Monthly Income Balanced ON InvFund ------Portfolio

Mackenzie Monthly Income Conservative ON InvFund ------Portfolio

Mackenzie Multi-Strategy Absolute Return ON InvFund ------Fund

Mackenzie North American Corporate Bond Mackenzie Sentinel North ON InvFund ------Fund American Corporate Bond Fund; Mackenzie Sentinel Registered North American Corporate Bond Fund

Mackenzie Portfolio Completion ETF ON InvFund ------

Mackenzie Precious Metals Class Mackenzie Universal World ON InvFund ------Precious Metals Class; Mackenzie Universal World Precious Metals Capital Class

Mackenzie Private Canadian Focused Equity ON InvFund ------Pool

Mackenzie Private Canadian Focused Equity ON InvFund ------Pool Class

Mackenzie Private Equity Replication Fund ON InvFund ------

Mackenzie Private Global Conservative ON InvFund ------Income Balanced Pool

Mackenzie Private Global Equity Pool ON InvFund ------

Mackenzie Private Global Equity Pool Class ON InvFund ------

Mackenzie Private Global Fixed Income Pool ON InvFund ------

Mackenzie Private Global Income Balanced ON InvFund ------Pool

Mackenzie Private Income Balanced Pool ON InvFund ------

Mackenzie Private Income Balanced Pool ON InvFund ------Class

Mackenzie Private US Equity Pool ON InvFund ------

Mackenzie Private US Equity Pool Class ON InvFund ------

Mackenzie Sovereign Bond Fund ON InvFund ------

Mackenzie Strategic Bond Fund ON InvFund ------

Mackenzie Strategic Income Class Mackenzie Sentinel ON InvFund ------Strategic Income Class 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) Mackenzie Strategic Income Fund Mackenzie Sentinel ON InvFund ------Strategic Income Fund; Mackenzie Sentinel Registered Strategic Income Fund; Mackenzie Sentinel Income Trust Fund

Mackenzie Unconstrained Bond ETF ON InvFund ------

Mackenzie Unconstrained Fixed Income ON InvFund ------Fund

Mackenzie US All Cap Growth Fund Mackenzie US Large Cap ON InvFund ------Growth Fund; Mackenzie Universal U.S. Growth Leaders Fund; Janus American Equity Fund; Maxxum American Equity Fund; Prudential American Equity Fund

Mackenzie US Core Equity Fund ON InvFund ------

Mackenzie US Dividend Fund ON InvFund ------

Mackenzie US Growth Class Mackenzie Universal North ON InvFund ------American Growth Class; Mackenzie Universal Future Capital Class

Mackenzie US High Yield Bond Index ETF ON InvFund ------(CAD-Hedged)

Mackenzie US Investment Grade Corporate ON InvFund ------Bond Index ETF (CAD-Hedged)

Mackenzie US Large Cap Equity Index ETF ON InvFund ------

Mackenzie US Large Cap Equity Index ETF ON InvFund ------(CAD-Hedged)

Mackenzie US Mid Cap Opportunities ON InvFund ------Currency Neutral Fund

Mackenzie US Mid Cap Opportunities Fund Mackenzie US ON InvFund ------Opportunities Fund

Mackenzie US Quantitative Large Cap Fund ON InvFund ------

Mackenzie US Quantitative Small Cap Fund ON InvFund ------

Mackenzie US Small-Mid Cap Growth Class Mackenzie US Mid Cap ON InvFund ------Growth Class; Mackenzie Universal American Growth Class

Mackenzie US Small-Mid Cap Growth Mackenzie US Mid Cap ON InvFund ------Currency Neutral Class Growth Currency Neutral Class; Mackenzie Universal American Growth Currency Neutral Class

Mackenzie US TIPS Index ETF ON InvFund ------(CAD-Hedged)

Mackenzie USD Global Strategic Income ON InvFund ------Fund

Mackenzie USD Global Tactical Bond Fund ON InvFund ------

Mackenzie USD Ultra Short Duration Income ON InvFund ------Fund

Mackenzie U.S. Aggregate Bond Index ETF ON InvFund ------(CAD-Hedged) 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) Maclos Capital Inc. LMS Medical Systems Inc.; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2019/08/02 Trophy Capital Inc. InvFund

Macro Enterprises Inc. Fulcrum Capital I Inc. BC Non------InvFund

Mad Catz Interactive, Inc. GTR Group Inc.; Games ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2017/07/06 Trader Inc.; Xencet InvFund Investments Inc.; Tecmar Technologies International Inc.; Legacy Storage Systems International Inc.

Madison Pacific Properties Inc. Princeton Mining BC Non------Corporation InvFund

MAG Silver Corp. Mega Capital Investments BC Non------Inc. InvFund

Magellan Aerospace Corporation Fleet Aerospace ON Non------Corporation InvFund

Magellan Real Estate Investment Fund -- Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2002/06/18 Limited Partnership InvFund

Magic Show, The -- Non- -- -- Yes/Oui 1983/10/17 InvFund

MagIndustries Corp. Magnesium Alloy ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/06/02 Corporation; Clavos InvFund Enterprises Inc.; Clavos Porcupine Mines Limited

Magister Mining Corporation Limited -- Non- -- -- Yes/Oui 1974/03/15 InvFund

Magna Gold Corp. ON Non------InvFund

Magna International Inc. ON Non------InvFund

Magnetic North Acquisition Corp. Black Bull Resources Inc. BC Non------InvFund

Magnum Energy Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/01/09 InvFund

Magnum Goldcorp Inc. Magnum Capital Corp. BC Non------InvFund

Magnum Hunter Resources Corporation AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Magor Corporation Biovest Corp. I ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2017/01/06 InvFund

Magra Computer Technologies Corp. Covesco Capital -- Non- -- -- Yes/Oui 2002/02/21 Corporation InvFund

Mahdia Gold Corp. Wintercrest Resources Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/03/02 InvFund

Mainstream Minerals Corporation ON Non------InvFund

Mainstreet Equity Corp. AB Non------InvFund

Maitri Health Technologies Corp. Dizun International BC Non------Enterprises Inc. InvFund

Major Drilling Group International Inc. NB Non------InvFund

Major Precious Metals Corp. Eastern Zinc Corp. BC Non------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)

Makara Mining Corp. BC Non------InvFund

Mako Mining Corp. Golden Reign Resources BC Non------Ltd. InvFund

Malaga Inc. Dynacor Mines Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2013/08/29 InvFund

Malette Industries Inc. Cowansville Capital Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2007/02/05 InvFund

Mandalay Resources Corporation ON Non------InvFund

Mandarin Golf and Country Club Inc., The -- Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2003/05/23 InvFund 1e, 3

Mandarin Mines Limited -- Non- -- -- Yes/Oui 1982/07/14 InvFund

Manfrey Capital Corporation CPL Ventures Ltd.; -- Non- -- -- Yes/Oui 1999/01/29 Coniston Capital InvFund Corporation

Mangazeya Mining Ltd. White Tiger Gold Ltd.; SL ON Non------Resources Inc. InvFund

ManifestSeven Holdings Corporation P&P Ventures Inc.; Polo BC Non------Biology Global Group InvFund Corporation; Amicus Capital Corp.

Manitex Capital Inc. QC Non------InvFund

Manitoba Hydro-Electric Board MB Non------InvFund

Manitok Energy Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/04 InvFund

Manitou Gold Inc. ON Non------InvFund

Manning Ventures Inc. BC Non------InvFund

MANSA EXPLORATION INC. ON Non------InvFund

Manulife Asia Equity Class ON InvFund ------

Manulife Balanced Equity Private Pool ON InvFund ------

Manulife Balanced Income Private Trust ON InvFund ------

Manulife Balanced Portfolio ON InvFund ------

Manulife Bond Fund AIC Bond Fund ON InvFund ------

Manulife Canadian Balanced Fund ON InvFund ------

Manulife Canadian Balanced Private Pool ON InvFund ------

Manulife Canadian Bond Fund Manulife Mawer Canadian ON InvFund ------Bond Fund

Manulife Canadian Dividend Growth Fund Standard Life Canadian ON InvFund ------Dividend Growth Fund; Standard Life Canadian Dividend Fund; Standard Life Canadian Dividend Mutual Fund 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) Manulife Canadian Equity Class Manulife Fundamental ON InvFund ------Equity Class; Manulife Canadian Stock Class; Manulife Dividend Class

Manulife Canadian Equity Private Pool ON InvFund ------

Manulife Canadian Growth and Income ON InvFund ------Private Trust

Manulife Canadian Investment Class Manulife Mawer Canadian ON InvFund ------Equity Class

Manulife Canadian Investment Fund ON InvFund ------

Manulife Canadian Unconstrained Bond Manulife Canadian Bond ON InvFund ------Fund Plus Fund; Elliott & Page Canadian Bond Plus Fund

Manulife Canadian Universe Bond Fund Elliott & Page Canadian ON InvFund ------Universe Bond Fund

Manulife China Class Manulife China ON InvFund ------Opportunities Class; MIX China Opportunities Class

Manulife Conservative Portfolio ON InvFund ------

Manulife Corporate Bond Fund Elliott & Page Corporate ON InvFund ------Bond Fund

Manulife Corporate Fixed Income Private ON InvFund ------Trust

Manulife Covered Call U.S. Equity Class Manulife U.S. Opportunities ON InvFund ------Class; AIC American Focused Corporate Class

Manulife Covered Call U.S. Equity Fund Manulife Value Fund; AIC ON InvFund ------Value Fund

Manulife Diversified Investment Fund Manulife Mawer Diversified ON InvFund ------Investment Fund

Manulife Dividend Income Class ON InvFund ------

Manulife Dividend Income Fund ON InvFund ------

Manulife Dividend Income Plus Class Manulife Canadian ON InvFund ------Focused Class; AIC Canadian Focused Corporate Class

Manulife Dividend Income Plus Fund Manulife Canadian ON InvFund ------Focused Fund; AIC Canadian Focused Fund

Manulife Dividend Income Private Pool ON InvFund ------

Manulife Dollar-Cost Averaging Fund ON InvFund ------

Manulife EAFE Equity Fund Manulife International ON InvFund ------Focused Fund; Manulife International Dividend Income Fund; Copernican International Dividend Income Fund; AIC World Equity Fund

Manulife Emerging Markets Fund Standard Life Emerging ON InvFund ------Markets Dividend Fund

Manulife Finance (Delaware), L.P. ON Non------InvFund

Manulife Financial Corporation ON Non------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)

Manulife Fundamental Balanced Class Manulife Canadian Equity ON InvFund ------Balanced Class

Manulife Fundamental Dividend Class Manulife Canadian ON InvFund ------Dividend Income Class; Standard Life Dividend Income Class

Manulife Fundamental Dividend Fund Manulife Canadian ON InvFund ------Dividend Income Fund; Standard Life Dividend Income Fund

Manulife Fundamental Equity Fund Manulife Canadian Stock ON InvFund ------Fund; Manulife Dividend Fund; Elliott & Page Dividend Fund

Manulife Fundamental Income Class Manulife Canadian Monthly ON InvFund ------Income Class; Standard Life Monthly Income Class

Manulife Fundamental Income Fund Manulife Canadian Monthly ON InvFund ------Income Fund; Standard Life Monthly Income Fund

Manulife Global All Cap Focused Fund Manulife Global Dividend ON InvFund ------Income Fund; AIC Global Premium Dividend Income Fund

Manulife Global Balanced Fund ON InvFund ------

Manulife Global Balanced Private Trust ON InvFund ------

Manulife Global Core Plus Bond Fund ON InvFund ------

Manulife Global Dividend Class ON InvFund ------

Manulife Global Dividend Fund ON InvFund ------

Manulife Global Dividend Growth Class Standard Life Global ON InvFund ------Dividend Growth Class

Manulife Global Dividend Growth Fund Standard Life Global ON InvFund ------Dividend Growth Fund

Manulife Global Equity Class Manulife Mawer Global ON InvFund ------Equity Class

Manulife Global Equity Private Pool ON InvFund ------

Manulife Global Fixed Income Private Trust ON InvFund ------

Manulife Global Franchise Class Manulife Global Equity ON InvFund ------Unconstrained Class; Standard Life Global Equity Class

Manulife Global Franchise Fund Manulife Global Franchise ON InvFund ------Fund; Manulife Global Equity Unconstrained Fund; Standard Life Global Equity Fund

Manulife Global Listed Infrastructure Class Manulife Global ON InvFund ------Infrastructure Class; Brookfield Redding Global Infrastructure Corporate Class

Manulife Global Listed Infrastructure Fund Manulife Global ON InvFund ------Infrastructure Fund; Brookfield Redding Global Infrastructure Fund 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)

Manulife Global Managed Volatility Portfolio ON InvFund ------

Manulife Global Real Estate Unconstrained Standard Life Global Real ON InvFund ------Fund Estate Fund

Manulife Global Small Cap Balanced Fund ON InvFund ------

Manulife Global Small Cap Fund Manulife Mawer Global ON InvFund ------Small Cap Fund

Manulife Global Strategic Balanced Yield ON InvFund ------Fund

Manulife Global Thematic Opportunities ON InvFund ------Class

Manulife Global Thematic Opportunities ON InvFund ------Fund

Manulife Global Unconstrained Bond Fund Manulife Global Tactical ON InvFund ------Credit Fund

Manulife Growth Opportunities Fund Elliott & Page Growth ON InvFund ------Opportunities Fund

Manulife Growth Portfolio ON InvFund ------

Manulife International Equity Private Trust ON InvFund ------

Manulife Moderate Portfolio ON InvFund ------

Manulife Money Market Fund Manulife Money Market ON InvFund ------Private Trust

Manulife Monthly High Income Class AIC Canadian Balanced ON InvFund ------Corporate Class

Manulife Monthly High Income Fund Elliott & Page Monthly High ON InvFund ------Income Fund

Manulife Multifactor Canadian Large Cap ON InvFund ------Index ETF

Manulife Multifactor Canadian SMID Cap ON InvFund ------Index ETF

Manulife Multifactor Developed International ON InvFund ------Index ETF

Manulife Multifactor Emerging Markets Index ON InvFund ------ETF

Manulife Multifactor U.S. Large Cap Index ON InvFund ------ETF

Manulife Multifactor U.S. Mid Cap Index ETF ON InvFund ------

Manulife Multifactor U.S. Small Cap Index ON InvFund ------ETF

Manulife Simplicity Balanced Portfolio E&P Manulife Balanced ON InvFund ------Asset Allocation Portfolio

Manulife Simplicity Conservative Portfolio ON InvFund ------

Manulife Simplicity Global Balanced ON InvFund ------Portfolio

Manulife Simplicity Growth Portfolio E&P Manulife Maximum ON InvFund ------Growth Asset Allocation Portfolio

Manulife Simplicity Moderate Portfolio ON InvFund ------

Manulife Smart Core Bond ETF ON InvFund ------

Manulife Smart Corporate Bond ETF ON InvFund ------

Manulife Smart Dividend ETF ON 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)

Manulife Smart Short-Term Bond ETF ON InvFund ------

Manulife Smart U.S. Dividend ETF ON InvFund ------

Manulife Strategic Balanced Yield Fund ON InvFund ------

Manulife Strategic Dividend Bundle ON InvFund ------

Manulife Strategic Income Fund Elliott & Page Strategic ON InvFund ------Income Fund

Manulife Strategic Investment Grade Global ON InvFund ------Bond Fund

Manulife Tactical Income Fund Standard Life Global ON InvFund ------Monthly Income Fund

Manulife Tax-Managed Growth Fund Manulife Mawer ON InvFund ------Tax-Managed Growth Fund; Manulife Tax-Managed Growth Fund; E&P Manulife Tax-Managed Growth Portfolio

Manulife U.S. All Cap Equity Class ON InvFund ------

Manulife U.S. All Cap Equity Fund ON InvFund ------

Manulife U.S. Balanced Private Trust Manulife Balanced Private ON InvFund ------Trust

Manulife U.S. Balanced Value Private Trust ON InvFund ------

Manulife U.S. Dividend Income Class Manulife U.S. Dividend ON InvFund ------Class

Manulife U.S. Dividend Income Fund Standard Life U.S Dividend ON InvFund ------Growth Fund

Manulife U.S. Dollar Strategic Balanced ON InvFund ------Yield Fund

Manulife U.S. Dollar Strategic Income Fund ON InvFund ------

Manulife U.S. Dollar U.S. All Cap Equity ON InvFund ------Fund

Manulife U.S. Equity Fund Manulife Mawer U.S. Equity ON InvFund ------Fund

Manulife U.S. Equity Private Pool ON InvFund ------

Manulife U.S. Monthly High Income Fund ON InvFund ------

Manulife U.S. Opportunities Fund AIC American Focused ON InvFund ------Fund

Manulife U.S. Unconstrained Bond Fund Manulife U.S. Tactical Credit ON InvFund ------Fund

Manulife Value Balanced Class ON InvFund ------

Manulife Value Balanced Fund ON InvFund ------

Manulife World Investment Class Manulife Mawer World ON InvFund ------Investment Class; Manulife World Investment Class; MIX World Investment Class

Manulife World Investment Fund ON InvFund ------

Manulife Yield Opportunities Fund ON InvFund ------

Maple Gold Mines Ltd. Aurvista Gold Corporation; BC Non------Aurvista Gold Corporation InvFund

Maple Leaf 2013 Oil & Gas Income Limited BC Non------Partnership 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)

Maple Leaf Foods Inc. ON Non------InvFund

Maple Leaf Green World Inc. AB Non------InvFund

Maple Leaf Income Class BC InvFund ------

Maple Leaf Resource Class BC InvFund ------

Maple Leaf Short Duration 2020-II BC InvFund ------Flow-Through Limited Partnership - National Class

Maple Leaf Short Duration 2020-II BC InvFund ------Flow-Through Limited Partnership - Quebec Class

Maple Leaf Short Duration 2021 BC InvFund ------Flow-Through Limited Partnership - National Class

Maple Leaf Short Duration 2021 BC InvFund ------Flow-Through Limited Partnership - Quebec Class

Maracambeau Mines Ltd. -- Non- -- -- Yes/Oui 1977/09/02 InvFund

Marathon Gold Corporation ON Non------InvFund

Marathon Oil Corporation AB Non------InvFund

Marauder Resources East Coast Inc. Endless Energy Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/12/10 InvFund

Marble Financial Inc. MLI Marble Lending Inc. BC Non------InvFund

Marifil Mines Limited BC Non------InvFund

Marimaca Copper Corp. Coro Mining Corp. ON Non------InvFund

Marine Mining Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/05/26 InvFund

Maritime Equity Fund NS InvFund Yes/Oui 1a, 1b, 3 -- --

Marquest Mutual Funds Inc. - Explorer Pathway Multi Series Fund ON InvFund ------Series Fund Inc.- Explorer Series Fund; MineralFields/EnergyFields Multi Series Fund Inc.

Marquest Mutual Funds Inc. - Flex Dividend Pathway Multi Series Fund ON InvFund ------and Income Growth Series Fund Inc. - Flex Dividend and Income Growth Series Fund

Marquis Balanced Class Portfolio ON InvFund ------

Marquis Balanced Growth Class Portfolio ON InvFund ------

Marquis Balanced Growth Portfolio Radiant Growth Portfolio ON InvFund ------

Marquis Balanced Income Portfolio Marquis Diversified All ON InvFund ------Income Portfolio; Diversified All Income Portfolio; Marquis All Income Portfolio 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) Marquis Balanced Portfolio Marquis MultiPartners ON InvFund ------Growth Portfolio; MultiPartners Balanced RSP Portfolio; Cartier & Partners Balanced RSP Portfolio

Marquis Equity Portfolio Radiant All Equity Portfolio ON InvFund ------

Marquis Growth Portfolio Marquis MultiPartners ON InvFund ------Equity Portfolio; MultiPartners High Growth RSP Protfolio

Marquis Institutional Balanced Growth Marquis Diversified Growth ON InvFund ------Portfolio Portfolio; Diversified Growth Portfolio; Marquis Growth Portfolio

Marquis Institutional Balanced Portfolio Marquis Diversified ON InvFund ------Balanced Portfolio; Diversified Balanced Portfolio; Marquis Balanced Portfolio

Marquis Institutional Bond Portfolio Marquis Canadian Bond ON InvFund ------Pool; Viscount Canadian Bond Pool

Marquis Institutional Canadian Equity Marquis Enhanced ON InvFund ------Portfolio Canadian Equity Pool; Cartier Cdn. Equity Fund

Marquis Institutional Equity Portfolio Marquis Diversified All ON InvFund ------Equity Portfolio; Diversified All Equity Portfolio; Marquis All Equity Portfolio

Marquis Institutional Global Equity Portfolio Marquis Global Equity Pool; ON InvFund ------Cartier Global Equity Fund

Marquis Institutional Growth Portfolio Marquis Diversified High ON InvFund ------Growth Portfolio; Diversified High Growth Portfolio; Marquis High Growth Portfolio

Marret High Yield Strategies Fund ON InvFund ------

Marret Multi-Strategy Income Fund ON InvFund ------

Marret Short Duration High Yield Fund ON InvFund ------

Marshall Minerals Corp. ON Non- -- -- Yes/Oui 2001/05/25 InvFund

Martello Court Limited Partnership -- Non- -- -- Yes/Oui 1990/10/30 InvFund

Martello Technologies Group Inc. ON Non------InvFund

Martin Health Group Inc. Martin Pycnogenol Products ON Non- Yes/Oui 1a, 1b, 3 Yes/Oui 2004/09/16 Inc. InvFund

Martina Minerals Corp. Manor Global Inc. ON Non------InvFund

Martinrea International Inc. Royal Laser Tech ON Non------Corporation InvFund

Marwest Apartment Real Estate Investment MB Non------Trust InvFund

Marzen Holdings Company Limited ON Non------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)

Mason Graphite Inc. POCML 1 INC. QC Non------InvFund

Masonic Temple Corporation, Limited -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Massive Resources Limited -- Non- -- -- Yes/Oui 1989/10/06 InvFund

Master Resources & Developments Limited -- Non- -- -- Yes/Oui 1989/06/16 InvFund

Matachewan Consolidated Mines, Limited ON Non------InvFund

Matco Balanced Fund MFi Balanced Fund AB InvFund ------

Matco Canadian Equity Income Fund Matco Canadian Equity AB InvFund ------Fund

Matco Fixed Income Fund AB InvFund ------

Matco Global Equity Fund AB InvFund ------

Matco Small Cap Fund AB InvFund ------

Mate Yellowknife Gold Mines Limited -- Non- -- -- Yes/Oui 1992/08/05 InvFund

Materials Protection Technologies Inc. -- Non- -- -- Yes/Oui 2002/05/22 InvFund

Matica Enterprises Inc. Matica Graphite Inc.; ON Non------Cadman Resources Inc. InvFund

Matrix 2013 Short Duration National Class ON InvFund Yes/Oui 1a, 1c, 3 -- --

Matrix 2013 Short Duration Québec Class ON InvFund Yes/Oui 1a, 1c, 3 -- --

Matt and Jenny -- Non- -- -- Yes/Oui 1984/10/12 InvFund

Mattel, Inc. ON Non------InvFund

Maudore Minerals Ltd. Maude Lake Exploration QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/10 Limited InvFund

MAV Beauty Brands Inc. ON Non------InvFund

Maverix Metals Inc. MacMillan Minerals Inc. BC Non------InvFund

Mawer Balanced Fund Mawer Canadian Balanced AB InvFund ------Retirement Savings Fund; Canadian Balanced Retirement Savings Fund

Mawer Canadian Bond Fund Canadian Bond Fund AB InvFund ------

Mawer Canadian Equity Fund Canadian Equity Fund AB InvFund ------

Mawer Canadian Money Market Fund Canadian Money Market AB InvFund ------Fund

Mawer EAFE Large Cap Fund AB InvFund ------

Mawer Emerging Markets Equity Fund AB InvFund ------

Mawer Global Balanced Fund AB InvFund ------

Mawer Global Bond Fund AB InvFund ------

Mawer Global Equity Fund AB InvFund ------

Mawer Global Small Cap Fund AB 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) Mawer International Equity Fund Mawer World Investment AB InvFund ------Fund; World Investment Fund

Mawer New Canada Fund New Canada Fund AB InvFund ------

Mawer Tax Effective Balanced Fund Mawer Canadian AB InvFund ------Diversified Investment Fund; Canadian Diversified Investment Fund

Mawer U.S. Equity Fund U.S. Equity Fund AB InvFund ------

Mawson Gold Limited Mawson Resources BC Non------Limited InvFund

Maxam Arbitrage Fund BC InvFund ------

Maxar Technologies Inc. ON Non------InvFund

Maxim Atlantic Corporation IMARK Corporation; Durkin BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/05/26 Hayes Publishing Ltd. InvFund

Maxim Power Corp. AB Non------InvFund

Maxtech Ventures Inc. BC Non------InvFund

Maxwell Communication Corporation plc -- Non- -- -- Yes/Oui 1992/02/17 InvFund

Maxwell Communications Finance Canada -- Non- -- -- Yes/Oui 1992/03/06 Limited InvFund

Mayday Mines Limited -- Non- -- -- Yes/Oui 1979/10/05 InvFund

Mayfair Gold Corp. BC Non------InvFund

Mayfair Resources & Developments Limited -- Non- -- -- Yes/Oui 1982/01/28 InvFund

Mazarin Inc. Mazarin Mining Corporation QC Non------Inc. InvFund

MBN Corporation Middlefield Tactical Energy AB InvFund ------Corporation; OilSands Canada Corporation

MCAN Mortgage Corporation MCAP Inc.; MTC Mortgage ON Non------Investment Corporation InvFund

McChip Resources Inc. ON Non------InvFund

McColl-Frontenac Inc. -- Non------InvFund

McCoy Global Inc. McCoy Corporation; McCoy AB Non------Bros. Inc. InvFund

McEwen Mining Inc. US Gold Corporation ON Non------InvFund

McFinley Red Lake Mines Ltd. -- Non- -- -- Yes/Oui 1993/07/15 InvFund

MCI Onehealth Technologies Inc. ON Non------InvFund

McIntyre Mines Limited -- Non- -- -- Yes/Oui 1990/06/27 InvFund

McLaren Resources Inc. ON Non------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) mCloud Technologies Corp. BC Non------InvFund

MD American Growth Fund MD US Large Cap Growth ON InvFund ------Fund; MD US Equity Fund

MD American Value Fund MD US Large Cap Value ON InvFund ------Fund

MD Bond Fund ON InvFund ------

MD Canadian Equity Fund MD Select Fund ON InvFund ------

MD Dividend Growth Fund MD Income & Growth Fund ON InvFund ------

MD Equity Fund ON InvFund ------

MD Fossil Fuel Free Bond Fund ON InvFund ------

MD Fossil Fuel Free Equity Fund ON InvFund ------

MD Growth Investments Limited ON InvFund ------

MD International Growth Fund ON InvFund ------

MD International Value Fund ON InvFund ------

MD Money Fund ON InvFund ------

MD Precision Balanced Growth Portfolio MD Balanced Growth ON InvFund ------Portfolio

MD Precision Balanced Income Portfolio ON InvFund ------

MD Precision Canadian Balanced Growth MD Balanced Fund ON InvFund ------Fund

MD Precision Canadian Moderate Growth MD Dividend Income Fund; ON InvFund ------Fund MD Dividend Fund

MD Precision Conservative Portfolio MD Conservative Portfolio ON InvFund ------

MD Precision Maximum Growth Portfolio MD Maximum Growth ON InvFund ------Portfolio

MD Precision Moderate Balanced Portfolio MD Moderate Balanced ON InvFund ------Portfolio

MD Precision Moderate Growth Portfolio ON InvFund ------

MD Short-Term Bond Fund MD Bond and Mortgage ON InvFund ------Fund

MD Strategic Opportunities Fund ON InvFund ------

MD Strategic Yield Fund ON InvFund ------

MDA Ltd. ON Non------InvFund

MDC Partners Inc. MDC Corporation Inc.; MDC ON Non------Communications InvFund Corporation; MDC Corporation mdf commerce inc. Mediagrif Interactive QC Non------Technologies Inc. InvFund

MDPIM Bond Pool MDPIM Canadian Long ON InvFund ------Term Bond Pool

MDPIM Canadian Equity Pool MD Canadian Tax Managed ON InvFund ------Pool

MDPIM Dividend Pool ON InvFund ------

MDPIM Emerging Markets Equity Pool ON InvFund ------

MDPIM International Equity Index Pool ON 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)

MDPIM International Equity Pool ON InvFund ------

MDPIM Short-Term Bond Pool MDPIM Canadian Bond ON InvFund ------Pool

MDPIM Strategic Opportunities Pool ON InvFund ------

MDPIM Strategic Yield Pool ON InvFund ------

MDPIM S&P 500 Index Pool ON InvFund ------

MDPIM S&P/TSX Capped Composite Index ON InvFund ------Pool

MDPIM US Equity Pool MD US Tax Managed Pool ON InvFund ------

ME Resource Corp. QMI Seismic Inc. BC Non------InvFund

Meadowbrook Apartment Project MB Non- -- -- Yes/Oui 1995/06/08 InvFund

Meadowvale Court -- Non- -- -- Yes/Oui 1993/07/23 InvFund

Meadowvale Gardens Apartment Project - -- Non- -- -- Yes/Oui 1996/06/03 Phase II InvFund

Med-Chem Health Care Limited -- Non- -- -- Yes/Oui 1998/12/01 InvFund

Med BioGene Inc. BC Non- Yes/Oui 3 -- -- InvFund

Medaro Mining Corp. BC Non------InvFund

Medcolcanna Organics Inc. Integrated Energy Storage BC Non------Corp.; Aileron Ventures InvFund Limited

MedcomSoft Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/03/02 InvFund

Medexus Pharmaceuticals Inc. Pediapharm Inc. QC Non------InvFund

Media Central Corporation Inc. IntellaEquity Inc.; Augusta ON Non------Industries Inc.; Fiber Optic InvFund Systems Technology, Inc.

Medical Facilities Corporation ON Non------InvFund

Medical Intelligence Technologies Inc. St-Moritz Capital Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/06/12 InvFund

Medical Pathways International Inc. Polysteel Building Systems -- Non- -- -- Yes/Oui 2001/05/25 Ltd. InvFund

Medical Services International Inc. Medical Resorts AB Non- Yes/Oui 1a, 3 Yes/Oui 2003/11/25 International Inc.; Trac InvFund Industries Inc.

Medicenna Therapeutics Corp. A2 Acquisition Corp. ON Non------InvFund

Medicure Inc. MB Non------InvFund

Medifocus Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/09/04 InvFund

Medipattern Corporation, The ON Non- Yes/Oui 1c, 1e Yes/Oui 2013/06/26 InvFund

MediPharm Labs Corp. POCML 4 Inc. ON Non------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)

Medipure Holdings Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/11/09 InvFund

Medius Communications Inc. -- Non- -- -- Yes/Oui 1999/12/15 InvFund

Medivolve Inc. QuestCap Inc.; Copper One ON Non------Inc.; Continent Resources InvFund Inc.

Medlon Small Business Development -- Non- -- -- Yes/Oui 1981/05/06 Limited InvFund

MedMen Enterprises Inc. BC Non------InvFund

Medmira Inc. NS Non- Yes/Oui 3 -- -- InvFund

Mednow Inc. BC Non------InvFund

Medokrisp Food Systems Limited -- Non- -- -- Yes/Oui 1984/09/26 InvFund

Medusa Mining Limited ON Non- Yes/Oui 1a, 3 Yes/Oui 2013/01/28 InvFund

MedX Health Corp. ON Non------InvFund

MedXtractor Corp AB Non------InvFund

MEG Energy Corp. AB Non------InvFund

Mega Uranium Ltd. Maple Minerals Corp.; ON Non------Maple Minerals Inc.; Glen InvFund Auden Resources Limited

Megacard Technologies Inc. -- Non- -- -- Yes/Oui 1983/11/17 InvFund

Megalode Corporation -- Non- -- -- Yes/Oui 1994/10/24 InvFund

MegaWatt Lithium and Battery Metals Corp. Walcott Resources Ltd. BC Non------InvFund

Megawheels Technologies Inc. Megawheels Inc.; AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2007/01/09 Megawheels.com Inc. InvFund

MegumaGold Corp. Coronet Metals Inc. BC Non------InvFund

Melanesian Minerals Corporation -- Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2002/05/27 InvFund

Melanie -- Non- -- -- Yes/Oui 1986/09/22 InvFund

Melcor Developments Ltd. AB Non------InvFund

Melcor Real Estate Investment Trust AB Non------InvFund

Melior Resources Inc. Coalcorp Mining Inc. ON Non------InvFund

Melodia 100 Percent Equity Growth Portfolio QC InvFund ------

Melodia Balanced Growth Portfolio Diapason Growth Portfolio QC InvFund ------

Melodia Conservative Income Portfolio Diapason Conservative QC InvFund ------Portfolio 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)

Melodia Diversified Growth Portfolio Diapason Balanced Growth QC InvFund ------Portfolio

Melodia Diversified Income Portfolio Diapason Retirement QC InvFund ------Portfolio F (Growth)

Melodia Maximum Growth Portfolio Diapason Maximum Growth QC InvFund ------Portfolio

Melodia Moderate Growth Portfolio Diapason Balanced Income QC InvFund ------Portfolio

Melodia Moderate Income Portfolio Diapason Retirement QC InvFund ------Portfolio D (Balanced Income)

Melodia Very Conservative Income Portfolio Diapason Retirement QC InvFund ------Portfolio B (Conservative)

Memex Inc. Astrix Networks Inc. ON Non------InvFund

Mene Inc. ON Non------InvFund

Mentor Networks Inc. -- Non- -- -- Yes/Oui 1998/09/15 InvFund

Mercantile Guardian Group Ltd. -- Non- -- -- Yes/Oui 1975/04/09 InvFund

Mercantile International Petroleum Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2004/06/02 InvFund

Mercator Minerals Ltd. Silver Eagle Resources Ltd. BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2014/12/01 InvFund

Mercator Transport Group Corporation Nature Genetiks Capital Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/09/10 InvFund

Mercer International Inc. BC Non------InvFund

Mercer Park Brand Acquisition Corp. ON Non------InvFund

Merch Performance Inc. -- Non- Yes/Oui 1b Yes/Oui 2003/10/15 InvFund

Merchant Capital Group Incorporated Applied Carbon -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/07/23 Technology, Inc.; Applied InvFund Carbon Technology Inc.

Merida Merger Corp. I ON Non------InvFund

Meridian Resources Inc. -- Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2001/05/01 InvFund 1e, 3

Merit Energy Ltd. -- Non- -- -- Yes/Oui 2000/06/30 InvFund

Meritage American Equity Portfolio QC InvFund ------

Meritage Balanced Income Portfolio QC InvFund ------

Meritage Balanced Portfolio QC InvFund ------

Meritage Canadian Equity Class Portfolio QC InvFund ------

Meritage Canadian Equity Portfolio QC InvFund ------

Meritage Conservative Income Portfolio QC InvFund ------

Meritage Conservative Portfolio QC InvFund ------

Meritage Diversified Fixed Income Portfolio QC 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)

Meritage Global Balanced Portfolio Meritage Global Income QC InvFund ------and Growth Portfolio

Meritage Global Conservative Portfolio QC InvFund ------

Meritage Global Equity Class Portfolio QC InvFund ------

Meritage Global Equity Portfolio QC InvFund ------

Meritage Global Growth Class Portfolio QC InvFund ------

Meritage Global Growth Plus Class Portfolio Meritage Global Aggressive QC InvFund ------Growth Class Portfolio

Meritage Global Growth Plus Portfolio Meritage Global Aggressive QC InvFund ------Growth Portfolio

Meritage Global Growth Portfolio QC InvFund ------

Meritage Global Moderate Portfolio QC InvFund ------

Meritage Growth Class Portfolio QC InvFund ------

Meritage Growth Income Portfolio QC InvFund ------

Meritage Growth Plus Class Portfolio Meritage Equity Class QC InvFund ------Portfolio

Meritage Growth Plus Income Portfolio Meritage Equity Income QC InvFund ------Portfolio

Meritage Growth Plus Portfolio Meritage Equity Portfolio QC InvFund ------

Meritage Growth Portfolio QC InvFund ------

Meritage International Equity Portfolio QC InvFund ------

Meritage Moderate Income Portfolio QC InvFund ------

Meritage Moderate Portfolio QC InvFund ------

Meritage Tactical ETF Balanced Portfolio QC InvFund ------

Meritage Tactical ETF Equity Portfolio QC InvFund ------

Meritage Tactical ETF Fixed Income Portfolio QC InvFund ------

Meritage Tactical ETF Growth Portfolio QC InvFund ------

Meritage Tactical ETF Moderate Portfolio QC InvFund ------

Meritus Minerals Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/08/15 InvFund

Merrill Lynch Financial Assets Inc. S & P 500 Bulls; BULLS ON Non------Offering Corporation InvFund

Meryllion Resources Corporation BC Non------InvFund

MetalCorp Limited ON Non------InvFund

Metalla Royalty & Streaming Ltd. Excalibur Resources Ltd. BC Non------InvFund

Metallic Minerals Corp. Monster Mining Corp. BC Non------InvFund

Metallica Metals Corp. Cameo Industries Corp. BC Non- Yes/Oui 3 -- -- InvFund

Metallis Resources Inc. Coltstar Ventures Inc. BC Non------InvFund

Metalo Manufacturing Inc. Muskrat Minerals ON Non------Incorporated; VR Interactive InvFund Corporation; VistaTech Corporation 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)

Metalore Resources Limited ON Non------InvFund

Metals Creek Resources Corp. Endurance Fund ON Non------Corporation, The InvFund

Metamaterial Inc. Continental Precious ON Non------Minerals Inc. InvFund

Metaverse Capital Corp. Global Blockchain Mining BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2020/01/07 Corp. InvFund

Meteor Creek Resources Inc. Double Down Resources -- Non- Yes/Oui 1a Yes/Oui 2003/05/23 Ltd. InvFund

Meteorite Capital Inc. QC Non------InvFund

Methanex Corporation BC Non------InvFund

Metro Inc. Metro-Richelieu Inc. QC Non------InvFund

Metro Vancouver Properties Corp. Migenix Inc.; Micrologix BC Non------Biotech Inc. InvFund

Mexican Gold Mining Corp. Mexican Gold Corp.; Source BC Non------Exploration Corp. InvFund

MGX Minerals Inc. BC Non------InvFund

mHealth Capital Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

Mich Resources Ltd. Michelin Mining Corp. BC Non------InvFund

Microbe Corporation -- Non- -- -- Yes/Oui 1990/10/09 InvFund

Microbix Biosystems Inc. ON Non------InvFund

Microcomp 83 R & D Program Limited -- Non- -- -- Yes/Oui 1987/09/08 Partnership InvFund

Micromem Technologies Inc. Avanticorp International Inc. ON Non------InvFund

MicroPlanet Technology Corp. HF Capital Corp. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/05/12 InvFund

Midas Capital Corporation -- Non- -- -- Yes/Oui 1999/09/24 InvFund

Middle Age Crazy -- Non- -- -- Yes/Oui 1986/09/22 InvFund

Middlefield American Core Dividend ETF AB InvFund ------

Middlefield Can-Global REIT Income Fund AB InvFund ------

Middlefield Canadian Dividend Growers Middlefield Canadian AB InvFund ------Class Dividend Growth Class; Middlefield Canadian Growth Class; Middlefield Growth Class; Middlefield Mutual Funds Limited; Middlefield Growth Fund Limited

Middlefield Global Agriculture Class AB InvFund ------

Middlefield Global Dividend Growers Class AB 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)

Middlefield Global Infrastructure Fund AB InvFund ------

Middlefield Global Real Asset Fund AB InvFund ------

Middlefield Global Real Estate Class Middlefield Real Estate AB InvFund ------Class; ActiveIndex REIT Class

Middlefield Global Sustainable Energy Middlefield Global Energy AB InvFund ------Class Class; Middlefield Groppe Tactical Energy Class; Groppe Tactical Energy Class

Middlefield Health & Wellness ETF AB InvFund ------

Middlefield Healthcare & Life Sciences ETF AB InvFund ------

Middlefield High Interest Income Class Middlefield Short-Term AB InvFund ------Income Class

Middlefield Income Plus Class AB InvFund ------

Middlefield REIT INDEXPLUS ETF AB InvFund ------

Middlefield U.S. Dividend Growers Class Middlefield US Dividend AB InvFund ------Growth Class

Midland Exploration Inc. QC Non------InvFund

Midpoint Holdings Ltd. Javelina Resources Ltd. BC Non------InvFund

Midway Gold Corp. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Milger Investment & Development -- Non- -- -- Yes/Oui 1980/04/18 Corporation Limited InvFund

Mill Creek Explorations Limited -- Non- -- -- Yes/Oui 1980/05/05 InvFund

Mill Run Golf Club Mill Run Golf & Country ON Non------Club; Fire Fighters Mill Run InvFund Golf & Country Club

Millenium Biologix Corporation Cytovax Biotechnologies ON Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- Inc. InvFund 1e, 3

MillenMin Ventures Inc. ON Non------InvFund

Millennial Lithium Corp. BC Non------InvFund

Millennium Equities Ltd. -- Non- Yes/Oui 1a Yes/Oui 2001/05/25 InvFund

Millers Cove Resources Inc. -- Non- -- -- Yes/Oui 1990/07/19 InvFund

Millrock Resources Inc. First Factor Developments BC Non------Inc.; iWave Information InvFund Systems Inc.; iWave.com, Inc.; Venstone Ventures Corp.; Beaufort Energy Limited

Millstream Mines Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/01/05 InvFund

Milner Consolidated Silver Mines Ltd. ON Non------InvFund

Miltec Technology Inc. Interfirst Resources Inc. -- Non- -- -- Yes/Oui 2000/07/07 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)

Mimi's Rock Corp. Commerce Acquisition ON Non------Corp. InvFund

Minaurum Gold Inc. Chava Resources Ltd. BC Non------InvFund

Minco Capital Corp. Minco Gold Corporation; BC Non------Minco Mining & Metals InvFund Corporation

Minco Silver Corporation BC Non------InvFund

Mind Cure Health Inc. BC Non------InvFund

Mind Medicine (MindMed) Inc. Broadway Gold Mining Ltd. ON Non------InvFund

MindBeacon Holdings Inc. ON Non------InvFund

Mindready Solutions Inc. QC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2007/04/19 InvFund

Mindset Pharma Inc. ON Non------InvFund

Minera Alamos Inc. Virgin Metals Inc.; El ON Non------Bonanza Mining InvFund Corporation Limited

Minera IRL Limited BC Non------InvFund

Mineral Mountain Resources Ltd. BC Non------InvFund

Minfocus Exploration Corp. BC Non------InvFund

Minnova Corp. Auriga Gold Corp.; Ursa ON Non------Major International Inc.; InvFund Ursa Major Minerals Incorporated; Ursa Major International Inc.

Minpro International Ltd. Oro Blanco Resources -- Non- Yes/Oui 1b Yes/Oui 2002/02/04 Corp.; Hilldale Explorations InvFund Corp.; Hilldale Holdings Inc.

Minsud Resources Corp. Rattlesnake Ventures Inc. ON Non------InvFund

MINT Income Fund Middlefield High Income AB InvFund ------Trust

Minto Apartment Real Estate Investment ON Non------Trust InvFund

Mintron Enterprises Ltd. -- Non- -- -- Yes/Oui 1991/04/23 InvFund

Mirabela Nickel Limited BC Non- Yes/Oui 1b Yes/Oui 2015/09/25 InvFund

Miracle Entertainment, Inc. 1st Miracle Group Inc.; -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/09/23 North American Health and InvFund Fitness Corp.; Typhon Industries Limited

Mirati Therapeutics, Inc. QC Non------InvFund

Mirror Oilfield Construction Corporation -- Non- -- -- Yes/Oui 1994/06/06 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)

Misdeal -- Non- -- -- Yes/Oui 1982/09/10 InvFund

Mispec Resources Inc. -- Non- -- -- Yes/Oui 1999/11/09 InvFund

Mistango River Resources Inc. GLR Resources Inc. ON Non------InvFund

MJ Innovation Capital Corp. ON Non------InvFund

MJardin Group, Inc. Sumtra Diversified Inc. ON Non------InvFund

MLD Core Fund ON InvFund ------

MM Fund ElevenFund ON InvFund ------

MNP Petroleum Corporation Manas Petroleum BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/19 Corporation InvFund

MOAG Copper Gold Resources Inc. Greenfab Build Systems ON Non- Yes/Oui 2a, 2c, 3 Yes/Oui 2015/10/13 Inc. InvFund

Mobi724 Global Solutions Inc. Hybrid PayTech World Inc.; QC Non------Freeport Capital Inc. InvFund

Mobile Knowledge Inc. SiGEM Inc.; Tourism & -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/07/03 Entertainment Management InvFund (1998) Inc.; Tourism & Entertainment Growth Fund Inc.

Modern Ova Trends Limited -- Non- -- -- Yes/Oui 1980/06/03 InvFund

Modern Plant Based Foods Inc. Modern Meat Inc.; Navis BC Non------Resources Corp.; Star InvFund Minerals Group Ltd.

Moducan Building Systems Ltd. -- Non- -- -- Yes/Oui 1991/07/16 InvFund

Mogo Inc. Difference Capital Financial BC Non------Inc.; Difference Capital InvFund Funding Inc.; TriNorth Capital Inc.; South China Industries Canada Inc.

Mojave Brands Inc. Mojave Jane Brands Inc.; BC Non------High Hampton Holdings InvFund Corp.; Herbal Clone Bank Canada Inc.; Infinity Minerals Corp.

Mojave Gold Corp. Zanzibar Gold Inc.; Moshi BC Non------Mountain Industries Ltd. InvFund

Molco Industries Limited -- Non- -- -- Yes/Oui 1986/06/02 InvFund

Molecule Holdings Inc. Everton Resources Inc.; QC Non------3Net Media Corporation InvFund

Molson Coors Brewing Company QC Non------InvFund

Molson Coors Canada Inc. QC Non------InvFund

Monarch Mining Corporation QC Non------InvFund

Monarch Resources Limited -- Non- Yes/Oui 1b Yes/Oui 2002/01/08 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)

Mondev Senior Living Inc. Cylinder Enterprises -- Non- Yes/Oui 1a Yes/Oui 2002/08/28 Limited InvFund

Moneta Porcupine Mines Inc. ON Non------InvFund

Money Market Fund Prime Credit Money Market ON InvFund ------Fund; Primus Capital Advisors Prime Credit Money Market Fund

Moneysworth & Best Shoe Care Inc. HMD Capital Corp.; Hydra -- Non- -- -- Yes/Oui 2000/07/21 Corp; Blue Heaven InvFund Resources Corp.

Mongolia Growth Group Ltd. ON Non------InvFund

Mongoose Mining Ltd. BC Non------InvFund

Monitor Ventures Inc. American Vanadium Corp.; BC Non------Rocky Mountain Resources InvFund Corp.

MonoGen, Inc. Oxbow Equities Corp. ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2009/04/09 InvFund

Mont Blanc Apartments (Issuer) Limited -- Non- -- -- Yes/Oui 1999/10/06 Partnership InvFund

Montage Gold Corp. BC Non------InvFund

Montana Exploration Corp. AltaCanada Energy Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/04 InvFund

Montebello Egyptian Bloodstock ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1998/05/22 Investments D Inc.

Montebello Egyptian Bloodstock ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1998/05/22 Investments IV Inc.

Montebello Equine Investments II Inc. ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1998/05/22

Montebello Equine Investments VII Inc. ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1998/05/22

Montego Resources Inc. BC Non------InvFund

Monterey Minerals Inc. BC Non------InvFund

Montero Mining and Exploration Ltd. BC Non------InvFund

Monument Mining Limited Moncoa Corporation; AM BC Non------Technologies Limited; InvFund Applied Mine Technologies Inc.

Monumental Gold Corp. BC Non------InvFund

Moon River Capital Ltd ON Non------InvFund

Moovly Media Inc. Pantheon Ventures Ltd. BC Non------InvFund

Morguard Corporation Acktion Corporation; ON Non------Acklands Limited InvFund

Morguard North American Residential Real ON Non------Estate Investment Trust 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) Morguard Real Estate Investment Trust ON Non------InvFund

Morien Resources Corp. Advanced Primary Minerals NS Non------Corporation; Beta Minerals InvFund Inc.

Morneau Shepell Inc. ON Non------InvFund

Morningstar Aggressive Portfolio ON InvFund ------

Morningstar Balanced Portfolio ON InvFund ------

Morningstar Conservative Portfolio ON InvFund ------

Morningstar Growth Portfolio ON InvFund ------

Morningstar Moderate Portfolio ON InvFund ------

Morningstar Strategic Canadian Equity Fund ON InvFund ------

Mosaic Capital Corporation AB Non------InvFund

MOSAIC MINERALS CORP. BC Non------InvFund

Mosport Film Productions (1978) -- Non- -- -- Yes/Oui 1982/07/14 InvFund

Mother Lode -- Non- -- -- Yes/Oui 1982/10/06 InvFund

Motion Works Group Limited Motion Works Corporation -- Non- -- -- Yes/Oui 1999/11/09 InvFund

Mount Logan Capital Inc. Marret Resource Corp.; ON Non------Primary Corp. InvFund

Mount Real Corporation QC Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

Mountain Lake Minerals Inc BC Non------InvFund

Mountain Province Diamonds Inc. Mountain Province Mining ON Non------Inc. InvFund

Mountain Valley MD Holdings Inc. Meadow Bay Gold ON Non------Corporation InvFund

Mountain View Ventures Inc. -- Non- -- -- Yes/Oui 1992/02/05 InvFund

Mountainside Carriage Lane II Limited -- Non- -- -- Yes/Oui 1995/06/08 Partnership InvFund

Mountainside Carriage Lane Limited -- Non- -- -- Yes/Oui 1995/06/08 Partnership InvFund

MountainStar Gold Inc. Mountain-West Resources BC Non- -- -- Yes/Oui 2015/09/16 Inc. InvFund

MPL Communications Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/05/07 InvFund

MPX International Corporation ON Non------InvFund

MRF 2021 Resource Limited Partnership AB InvFund ------

MRP Waste Management Corp. -- Non- -- -- Yes/Oui 1992/12/04 InvFund

MTW Solutions Online Inc. -- Non- Yes/Oui 1b Yes/Oui 2001/12/07 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) MTY Food Group Inc. QC Non------InvFund

Mullen Group Ltd. AB Non------InvFund

Multi-Asset Growth Strategy Russell Multi-Asset Growth ON InvFund ------Strategy; Russell LifePoints All Equity Portfolio; LifePoints All Equity Portfolio; All Equity Portfolio; Long-Term Equity Portfolio

Multi-Asset Growth Strategy Class Russell Multi-Asset Growth ON InvFund ------Strategy Class; Russell LifePoints All Equity Class Portfolio; LifePoints All Equity Class Portfolio

Multi-Asset Growth & Income Strategy Multi-Asset Growth & ON InvFund ------Income; Russell Multi-Asset Growth & Income; Russell Enhanced Canadian Growth & Income Portfolio

Multi-Asset Growth & Income Strategy Class Multi-Asset Growth & ON InvFund ------Income Class; Russell Multi-Asset Growth & Income Class; Russell Enhanced Canadian Growth & Income Class Portfolio

Multi-Asset Income Strategy LifePoints Balanced ON InvFund ------Income; Russell LifePoints Balanced Income Portfolio; LifePoints Balanced Income Portfolio; Balanced Income Portfolio; Lifepoints Balanced Income Portfolio

Multi-Asset Income Strategy Class LifePoints Balanced ON InvFund ------Income Class; Russell LifePoints Balanced Income Class Portfolio

Multi-Asset International Equity Multi-Asset Equity ON InvFund ------Completion

Multi-Minerals Limited -- Non- -- -- Yes/Oui 1980/10/03 InvFund

Multi Choice Communications Inc. -- Non- -- -- Yes/Oui 1987/02/09 InvFund

Multimedia Nova Corporation Multimedia WTM ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/08/05 Corporation InvFund

Mulvihill Premium Yield Fund ON InvFund ------

Mundoro Capital Inc. BC Non------InvFund

Murchison Minerals Ltd. Manicouagan Minerals Inc. ON Non------InvFund

Musk Metals Corp. Gold Plus Mining Inc.; Syd BC Non------Financial Inc. InvFund

Must Capital Inc. Intrinsic4D Inc.; Maple ON Non------Power Capital Corporation InvFund

MustGrow Biologics Corp. SK Non------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) Myconic Capital Corp. BC Non------InvFund

Mydecine Innovations Group Inc. Newleaf Brands Inc.; New BC Non------Age Farm Inc.; New Age InvFund Brands Inc.

MYM Nutraceuticals Inc. My Marijuana Canada Inc. BC Non------InvFund

Myriad Metals Corp. BC Non------InvFund

M.L. Cass Petroleum Corporation M.L. Cass Petroleum -- Non- Yes/Oui 1b Yes/Oui 2002/08/27 Corporation InvFund N

Nabis Holdings Inc. Innovative Properties Inc. BC Non------InvFund

Nabors Industries Ltd. AB Non------InvFund

NADG NNN Real Estate Investment Trust ON Non------InvFund

Namaste Technologies Inc. Next Gen Metals Inc.; CB ON Non------Resources Ltd.; Copper InvFund Belt Resources Ltd.

NAME Inc. EcomPark Inc.; Storage ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2009/01/27 One Inc. InvFund 1e, 3

NameSilo Technologies Corp. Brisio Innovations Inc. BC Non- Yes/Oui 3 -- -- InvFund

Namibia Critical Metals Inc. Namibia Rare Earths Inc. NS Non------InvFund

Namibian Minerals Corporation ON Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2003/06/27 InvFund

NamSys Inc. Cencotech Inc. ON Non------InvFund

Nano One Materials Corp. BC Non------InvFund

NanoSphere Health Sciences Inc. Corazon Gold Corp.; ReMac BC Non------Zinc Corp.; OMC Capital InvFund Corporation

Nanotech Security Corp. Wireless2 Technologies BC Non------Inc; Strategic Technologies InvFund Inc.

NanoXplore Inc. Graniz Mondal Inc.; Inca QC Non------Mining Corp. InvFund

Napa/Carneros Winegrowers Limited -- Non- -- -- Yes/Oui 1998/06/01 Partnership InvFund

Nass Valley Gateway Ltd. BC Non------InvFund

Natcore Technology Inc. Syracuse Capital Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

National Bank Balanced Diversified Fund National Bank Aggressive QC InvFund ------Diversified Fund; InvesNat Aggressive Diversified Fund; General Trust of Canada - Balanced Fund

National Bank Conservative Diversified InvesNat Conservative QC InvFund ------Fund Diversified Fund 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)

National Bank Growth Diversified Fund National Bank Intrepid QC InvFund ------Diversified Fund; InvesNat Intrepid Diversified Fund

National Bank Moderate Diversified Fund InvesNat Moderate QC InvFund ------Diversified Fund

National Bank of Canada QC Non------InvFund

National Bank Secure Diversified Fund InvesNat Secure Diversified QC InvFund ------Fund

National Electronic Technologies Corp. Broder Devco Inc. ON Non- -- -- Yes/Oui 2001/05/25 InvFund

National Fibretech Inc. -- Non- -- -- Yes/Oui 1997/07/03 InvFund

National Health Stores Inc. -- Non- -- -- Yes/Oui 2001/09/05 InvFund

National Petroleum Corporation Limited -- Non- -- -- Yes/Oui 1996/05/29 InvFund

National Quotes Inc. -- Non- -- -- Yes/Oui 1989/05/02 InvFund

NatureBank Asset Management Inc. Offsetters Climate BC Non------Solutions Inc.; ERA Carbon InvFund Offsets Ltd.; Interim Capital Corp.

Nautilus Minerals Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2020/12/10 InvFund 1e, 3

Nautor Progressive Corporation AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/10 InvFund

NAV Canada Nav Canada ON Non------InvFund

Navigator Acquisition Corp. BC Non------InvFund

Navitrak International Corporation NS Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/06/03 InvFund

NBI Active Canadian Preferred Shares ETF QC InvFund ------

NBI Active International Equity ETF QC InvFund ------

NBI Active U.S. Equity ETF QC InvFund ------

NBI Balanced Portfolio QC InvFund ------

NBI Bond Fund National Bank Bond Fund; QC InvFund ------InvesNat Bond Fund; General Trust of Canada - Bond Fund

NBI Canadian All Cap Equity Fund National Bank Canadian All QC InvFund ------Cap Equity Fund; Omega Canadian Equity Fund; National Bank/Fidelity True North Fund

NBI Canadian Bond Index Fund QC InvFund ------

NBI Canadian Bond Private Portfolio QC InvFund ------

NBI Canadian Diversified Bond Private QC InvFund ------Portfolio

NBI Canadian Dividend Income ETF QC 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) NBI Canadian Equity Fund National Bank Canadian QC InvFund ------Equity Fund; Invesnat Canadian Equity Fund

NBI Canadian Equity Growth Fund National Bank Canadian QC InvFund ------Equity Growth Fund; Altamira Canadian Equity Growth Fund; Altamira Equity Fund

NBI Canadian Equity Index Fund QC InvFund ------

NBI Canadian Equity Private Portfolio QC InvFund ------

NBI Canadian Family Business ETF QC InvFund ------

NBI Canadian High Conviction Equity QC InvFund ------Private Portfolio

NBI Canadian Index Fund National Bank Canadian QC InvFund ------Index Fund; Altamira Canadian Index Fund; Altamira Precision Canadian Index Fund

NBI Canadian Preferred Equity Private QC InvFund ------Portfolio

NBI Canadian Small Cap Equity Private QC InvFund ------Portfolio

NBI Conservative Portfolio QC InvFund ------

NBI Corporate Bond Fund National Bank Corporate QC InvFund ------Bond Fund; Altamira Corporate Bond Fund

NBI Corporate Bond Private Portfolio QC InvFund ------

NBI Diversified Emerging Markets Equity NBI Emerging Markets QC InvFund ------Fund Equity Private Portfolio

NBI Dividend Fund National Bank Dividend QC InvFund ------Fund; Invesnat Dividend Fund; Natcan Dividend Fund

NBI Emerging Markets Fund NBI Westwood Emerging QC InvFund ------Markets Fund; Westwood Emerging Markets Fund; Omega Emerging Markets Fund; National Bank Emerging Markets Fund

NBI Equity Income Private Portfolio QC InvFund ------

NBI Equity Portfolio QC InvFund ------

NBI Floating Rate Income Fund National Bank Floating Rate QC InvFund ------Income Fund

NBI Global Bond Fund National Bank Global Bond QC InvFund ------Fund; Altamira Global Bond Fund; National Bank Global Bond Fund; National Bank Global RSP Bond Fund; National Bank International RSP Bond Fund; Invesnat International RSP Bond Fund 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) NBI Global Diversified Equity Fund National Bank Global QC InvFund ------Diversified Equity Fund; Omega Global Equity Fund; National Bank/Fidelity Global Fund; National Bank/Fidelity International Portfolio Fund

NBI Global Equity Fund National Bank Global Equity QC InvFund ------Fund

NBI Global Private Equity ETF QC InvFund ------

NBI Global Real Assets Income ETF QC InvFund ------

NBI Global Real Assets Income Fund QC InvFund ------

NBI Global Tactical Bond Fund National Bank Global QC InvFund ------Tactical Bond Fund

NBI Growth Portfolio QC InvFund ------

NBI High Yield Bond ETF QC InvFund ------

NBI High Yield Bond Fund National Bank High Yield QC InvFund ------Bond Fund; Altamira High Yield Bond Fund; National Bank High Yield Bond Fund

NBI High Yield Bond Private Portfolio QC InvFund ------

NBI Income Fund National Bank Income QC InvFund ------Fund; Altamira Income Fund

NBI International Currency Neutral Index National Bank International QC InvFund ------Fund Currency Neutral Index Fund; Altamira International Currency Neutral Index Fund; Altamira Precision International Currency Neutral Index Fund; Altamira Precision International RSP Index Fund

NBI International Equity Index Fund QC InvFund ------

NBI International Equity Private Portfolio QC InvFund ------

NBI International High Conviction Equity QC InvFund ------Private Portfolio

NBI International Index Fund National Bank International QC InvFund ------Index Fund; Altamira International Index Fund; National Bank International Index Fund; National Bank International RSP Index Fund; InvesNat International RSP Index Fund

NBI Jarislowsky Fraser Select Balanced Jarislowsky Fraser Select QC InvFund ------Fund Balanced Fund

NBI Jarislowsky Fraser Select Canadian Jarislowsky Fraser Select QC InvFund ------Equity Fund Canadian Equity Fund

NBI Jarislowsky Fraser Select Income Fund Jarislowsky Fraser Select QC InvFund ------Income Fund

NBI Liquid Alternatives ETF QC InvFund ------

NBI Moderate Portfolio QC 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) NBI Money Market Fund National Bank Money QC InvFund ------Market Fund; Invesnat Money Market Fund

NBI Multiple Asset Class Private Portfolio QC InvFund ------

NBI Municipal Bond Plus Private Portfolio QC InvFund ------

NBI Non-Traditional Capital Appreciation QC InvFund ------Private Portfolio

NBI Non-Traditional Fixed Income Private QC InvFund ------Portfolio

NBI North American Dividend Private QC InvFund ------Portfolio

NBI Precious Metals Fund National Bank Precious QC InvFund ------Metals Fund; Altamira Precious and Strategic Metal Fund

NBI Preferred Equity Fund National Bank Preferred QC InvFund ------Equity Fund; Altamira Prefered Equity Fund

NBI Preferred Equity Income Fund National Bank Preferred QC InvFund ------Equity Income Fund; Omega Preferred Equity Fund

NBI Presumed Sound Investments Fund QC InvFund ------

NBI Quebec Growth Fund National Bank Quebec QC InvFund ------Growth Fund; Altamira Quebec Growth Fund; National Bank Quebec Growth Fund

NBI Real Assets Private Portfolio QC InvFund ------

NBI Resource Fund National Bank Resource QC InvFund ------Fund; Altamira Resource Fund

NBI Science and Technology Fund National Bank Science and QC InvFund ------Technology Fund; Altamira Science and Technology Fund

NBI Secure Portfolio QC InvFund ------

NBI Small Cap Fund National Bank Small QC InvFund ------Capitalization Fund; InvesNat Small Capitalization Fund; General Trust of Canada - Growth Fund

NBI SmartBeta Canadian Equity Fund QC InvFund ------

NBI SmartBeta Global Equity Fund QC InvFund ------

NBI SmartData International Equity Fund National Bank Consensus QC InvFund ------International Equity Fund; Omega Consensus International Equity Fund

NBI SmartData U.S. Equity Fund National Bank Consensus QC InvFund ------American Equity Fund; Omega Consensus American Equity Fund

NBI Strategic U.S. Income and Growth Fund National Bank Strategies QC InvFund ------U.S. Income and Growth Fund 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)

NBI Sustainable Canadian Bond ETF QC InvFund ------

NBI Sustainable Canadian Corporate Bond ON InvFund ------ETF

NBI Sustainable Canadian Equity ETF QC InvFund ------

NBI Sustainable Global Equity ETF QC InvFund ------

NBI Tactical Asset Allocation Fund QC InvFund ------

NBI Tactical Equity Private Portfolio QC InvFund ------

NBI Tactical Mortgage & Income Fund National Bank Mortgage QC InvFund ------Fund; Invesnat Mortgage Fund

NBI Unconstrained Fixed Income ETF QC InvFund ------

NBI Unconstrained Fixed Income Fund QC InvFund ------

NBI U.S. Bond Private Portfolio QC InvFund ------

NBI U.S. Currency Neutral Index Fund National Bank U.S. QC InvFund ------Currency Neutral Index Fund; Altamira U.S. Currency Neutral Index Fund; Altamira Precision U.S. Currency Neutral Index Fund; Altamira Precision U.S. RSP Index Fund

NBI U.S. Dividend Fund National Bank U.S. QC InvFund ------Dividend Fund

NBI U.S. Equity Fund National Bank U.S. Equity QC InvFund ------Fund; Altamira U.S. Equity Fund; Altamira US Larger Company Fund

NBI U.S. Equity Index Fund QC InvFund ------

NBI U.S. Equity Private Portfolio QC InvFund ------

NBI U.S. High Conviction Equity Private QC InvFund ------Portfolio

NBI U.S. Index Fund National Bank U.S. Index QC InvFund ------Fund; Altamira U.S. Index Fund; National Bank American Index Fund; National Bank American RSP Index Fund; InvesNat American RSP Index Fund

NBS Capital Inc. ON Non------InvFund

NCM Balanced Income Portfolio AB InvFund ------

NCM Conservative Income Portfolio AB InvFund ------

NCM Core American NCM US Dividend Plus AB InvFund ------Class; Norrep US Dividend Plus Class of Norrep Opportunities Corp.; Norrep US Class of Norrep Opportunities Corp.

NCM Core Canadian Norrep Core Canadian; AB InvFund ------Norrep Core Canadian Pool

NCM Core Global Norrep Core Global; Norrep AB InvFund ------Core Global Pool 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) NCM Global Income Growth Class Norrep Global Income AB InvFund ------Growth Class of Norrep Opportunities Corp.

NCM Growth and Income Portfolio AB InvFund ------

NCM Income Growth Class Norrep Income Growth AB InvFund ------Class of Norrep Opportunities Corp.

NCM Norrep Fund Norrep Fund AB InvFund ------

NCM Short Term Income Fund Norrep Short Term Income AB InvFund ------Fund

NCM Small Companies Class Norrep II Class of Norrep AB InvFund ------Opportunities Corp.

Nearctic Nickel Mines Inc. Ungava Minerals Corp.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/04/02 Coretek Vencap Inc. InvFund

Neartic Resources Inc. -- Non- -- -- Yes/Oui 1991/06/03 InvFund

Neatt Corporation Cochise Resources Inc. -- Non- -- -- Yes/Oui 2002/05/22 InvFund

Nebex Resources Ltd. -- Non- -- -- Yes/Oui 1998/11/24 InvFund

Nebu Resources Inc. ON Non------InvFund

NEI Balanced Private Portfolio ON InvFund ------

NEI Balanced Yield Portfolio NEI Global Strategic Yield ON InvFund ------Fund

NEI Canadian Bond Fund Ethical Income Fund ON InvFund ------

NEI Canadian Dividend Fund NEI Northwest Canadian ON InvFund ------Dividend Fund; Northwest Canadian Dividend Fund; Maestral Canadian Dividend Fund

NEI Canadian Equity Fund NEI Northwest Canadian ON InvFund ------Equity Fund; Northwest Canadian Equity Fund; Northwest Growth Fund; Concorde Growth Fund

NEI Canadian Equity Pool ON InvFund ------

NEI Canadian Equity RS Fund NEI Ethical Canadian Equity ON InvFund ------Fund; NEI Ethical Canadian Dividend Fund; Ethical Canadian Dividend Fund

NEI Canadian Small Cap Equity Fund NEI Northwest Specialty ON InvFund ------Equity Fund; Northwest Specialty Equity Fund; Marathon Equity Fund

NEI Canadian Small Cap Equity RS Fund NEI Ethical Special Equity ON InvFund ------Fund; Ethical Special Equity Fund

NEI Conservative Yield Portfolio ON InvFund ------

NEI Emerging Markets Fund NEI Northwest Emerging ON InvFund ------Markets; NEI Northwest EAFE Fund; Northwest EAFE Fund; Maestral Global Equity Fund

NEI Environmental Leaders Fund ON 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)

NEI ESG Canadian Enhanced Index Fund NEI Jantzi Social Index® ON InvFund ------Fund; Meritas Jantzi Social Index Fund

NEI Fixed Income Pool ON InvFund ------

NEI Global Dividend RS Fund NEI Ethical Global Dividend ON InvFund ------Fund; Ethical Global Dividend Fund

NEI Global Equity Fund NEI Northwest Global ON InvFund ------Equity Fund; Northwest Global Equity Fund; Northwest Foreign Equity Fund; Northwest International Fund; Concorde International Fund

NEI Global Equity Pool ON InvFund ------

NEI Global Equity RS Fund NEI Ethical Global Equity ON InvFund ------Fund; Ethical Global Equity Fund

NEI Global High Yield Bond Fund NEI Northwest Specialty ON InvFund ------Global High Yield Bond Fund; Northwest Specialty Global High Yield Bond Fund

NEI Global Impact Bond Fund ON InvFund ------

NEI Global Sustainable Balanced Fund NEI Ethical Balanced Fund; ON InvFund ------Ethical Balanced Fund

NEI Global Total Return Bond Fund ON InvFund ------

NEI Global Value Fund ON InvFund ------

NEI Growth Private Portfolio ON InvFund ------

NEI Growth & Income Fund NEI Northwest Growth and ON InvFund ------Income Fund; Northwest Growth and Income Fund; Northwest Balanced Fund; Concorde Balanced Fund

NEI Income Private Portfolio ON InvFund ------

NEI Income & Growth Private Portfolio ON InvFund ------

NEI International Equity Fund Meritas International Equity ON InvFund ------Fund

NEI International Equity RS Fund NEI Ethical International ON InvFund ------Equity Fund; Ethical International Equity Fund

NEI Managed Asset Allocation Pool ON InvFund ------

NEI Money Market Fund Northwest Money Market ON InvFund ------Fund; Maestral Money Market Fund

NEI Select Balanced Portfolio NEI Select Canadian ON InvFund ------Balanced Portfolio; Northwest Select Canadian Balanced Portfolio; Credential Select Balanced Portfolio 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) NEI Select Balanced RS Portfolio NEI Ethical Select Balanced ON InvFund ------Portfolio; NEI Ethical Select Canadian Balanced Portfolio; Ethical Select Canadian Balanced Portfolio

NEI Select Growth Portfolio NEI Select Canadian ON InvFund ------Growth Portfolio; Northwest Select Canadian Growth Portfolio; Credential Select Growth Portfolio

NEI Select Growth RS Portfolio NEI Ethical Select Growth ON InvFund ------Portfolio; NEI Ethical Select Canadian Growth Portfolio; Ethical Select Canadian Growth Portfolio

NEI Select Growth & Income Portfolio OceanRock Growth & ON InvFund ------Income Portfolio; QFM World Balanced Fund

NEI Select Growth & Income RS Portfolio Meritas Growth & Income ON InvFund ------Portfolio; Meritas Balanced Growth Portfolio Fund

NEI Select Income Portfolio OceanRock Income ON InvFund ------Portfolio

NEI Select Income RS Portfolio NEI Ethical Select Income ON InvFund ------Portfolio; Ethical Select Income Portfolio

NEI Select Income & Growth Portfolio NEI Select Conservative ON InvFund ------Portfolio; Northwest Select Conservative Portfolio; Credential Select Conservative Portfolio

NEI Select Income & Growth RS Portfolio NEI Ethical Select ON InvFund ------Conservative Portfolio; Ethical Select Conservative Portfolio; Ethical Advantage 2010 Fund

NEI Select Maximum Growth Portfolio NEI Select Global Maximum ON InvFund ------Growth; Northwest Select Global Maximum Growth Portfolio; Credential Select High Growth Portfolio

NEI Select Maximum Growth RS Portfolio Meritas Maximum Growth ON InvFund ------Portfolio

NEI Tactical Yield Portfolio NEI Northwest Tactical ON InvFund ------Yield Fund; Northwest Tactical Yield Fund

NEI U.S. Dividend Fund NEI Northwest U.S. ON InvFund ------Dividend Fund; NEI Northwest U.S. Equity Fund; Northwest U.S. Equity Fund; Maestral American Equity Fund

NEI U.S. Equity Fund OceanRock U.S. Equity ON InvFund ------Fund; QFM Global Equity Fund 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) NEI U.S. Equity RS Fund NEI Ethical U.S. Equity ON InvFund ------Fund; NEI Ethical American Multi-Strategy Fund; Ethical American Multi-Strategy Fund; Ethical North American Equity Fund

NEO Battery Materials Ltd. Pan Andean Minerals Ltd.; BC Non- Yes/Oui 3 -- -- BCGold Corp. InvFund

Neo Lithium Corp. POCML 3 Inc. ON Non------InvFund

Neo Performance Materials Inc. ON Non------InvFund

Neoleukin Therapeutics, Inc. Aquinox Pharmaceuticals, BC Non------Inc. InvFund

NeonMind Biosciences Inc. BC Non------InvFund

Neovasc Inc. Medical Ventures Corp. BC Non------InvFund

Neptune Wellness Solutions Inc. Neptune Technologies & QC Non------Bioressources Inc. InvFund

Nerds On Site Inc. ON Non------InvFund

Nerium Biotechnology, Inc. ON Non------InvFund

NervGen Pharma Corp. BC Non------InvFund

Nesbitt Thomson Education Savings Plan ON InvFund ------(The)

NetActive Inc. Channelware Inc. ON Non- Yes/Oui 1b Yes/Oui 2001/11/21 InvFund

NetCents Technology Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 -- -- InvFund

Netcoins Holdings Inc. GAR Limited; Garden Lake BC Non------Resources Ltd. InvFund

Netforfun.com Inc. Netforfun.com.Inc.; R.D.G. ON Non- -- -- Yes/Oui 2001/03/12 Minerals Inc.; Aronos InvFund Multinational Inc.

Neuberger Berman Mid Cap Growth Fund Neuberger & Berman ON InvFund Yes/Oui 1a, 1c, 1d -- -- Manhattan Fund, Inc.

NeuPath Health Inc. Klinik Health Ventures ON Non------Corp. InvFund

Neuromedical Technologies Inc. -- Non- -- -- Yes/Oui 1994/06/06 InvFund

Neutral Balanced Fund Balanced Fund; Balanced ON InvFund ------50/50 Fund; Conservative Balanced Fund

Nevada Bob's Golf Inc. Nevada Bob's Canada Inc. -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/03/08 InvFund

Nevada Copper Corp. BC Non------InvFund

Nevada Exploration Inc. C Level Bio International BC Non------Holding Inc. InvFund

Nevada Iron Ltd. ON Non- Yes/Oui 1a, 1b, 1d, 3 -- -- 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)

Nevada Sunrise Gold Corporation BC Non------InvFund

Nevada Zinc Corporation Goldspike Exploration Inc. ON Non------InvFund

Nevado Resources Corporation Nevado Venture Capital BC Non------Corporation InvFund

Nevaro Capital Corporation BC Non------InvFund

Nevasco Corporation -- Non- -- -- Yes/Oui 1991/05/17 InvFund

Never Trust An Honest Thief -- Non- -- -- Yes/Oui 1983/10/17 InvFund

New Age Metals Inc. Pacific North West Capital BC Non------Corp. InvFund

New Commerce Split Fund ON InvFund ------

New Found Gold Corp. BC Non------InvFund

New Gold Inc. DRC Resources ON Non------Corporation InvFund

New Golden Sceptre Minerals Ltd. -- Non- -- -- Yes/Oui 1998/05/29 InvFund

New Klondike Exploration Ltd. United Reef Limited ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/04/04 InvFund

New Leaders Class ON InvFund ------

New Leaf Ventures Inc. BC Non------InvFund

New Look Vision Group Inc. New Look Eyewear Inc. QC Non------InvFund

New Oroperu Resources Inc. Oroperu Resources Inc. BC Non------InvFund

New Pacific Metals Corp. New Pacific Holdings Corp.; BC Non------New Pacific Metals Corp. InvFund

New Placer Dome Gold Corp. BARRIAN MINING CORP. BC Non------InvFund

New Sage Energy Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/08/07 InvFund

New Stratus Energy Inc. Red Rock Energy Inc. AB Non------InvFund

New Target Mining Corp. BC Non------InvFund

New Tech Minerals Corp. American Potash Corp.; BC Non------Magna Resources Ltd.; InvFund New Tech Lithium Corp.

New Textmont Explorations Limited -- Non- -- -- Yes/Oui 1992/12/16 InvFund

New Wave Holdings Corp. New Wave Esports Corp.; BC Non------Trueclaim Exploration Inc. InvFund

New Zealand Energy Corp. BC Non------InvFund

Newchild International Inc. -- Non- -- -- Yes/Oui 1997/11/04 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) Newcore Gold Ltd. BC Non------InvFund

Newcrest Mining Limited ON Non------InvFund

Newfields Minerals Inc. -- Non- -- -- Yes/Oui 1991/05/17 InvFund

Newfoundland Power Inc. Newfoundland Light & QC Non------Power Co. Limited InvFund

NewGen Alternative Income Fund ON InvFund ------

NewGen Focused Alpha Fund ON InvFund ------

NewKidCo International Inc. Softquad International Inc. ON Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2003/06/12 InvFund

Newlook Industries Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/04 InvFund

Newlox Gold Ventures Corp. BC Non------InvFund

Newmont Corporation Newmont Goldcorp ON Non------Corporation; Newmont InvFund Mining Corporation

Newnote Financial Corp. Winrock Resources Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/12/17 InvFund

Newrange Gold Corp. Colombian Mines BC Non------Corporation InvFund

Newscope Capital Corporation BC Non------InvFund

Newstrike Brands Ltd. Newstrike Resources Ltd. ON Non------InvFund

Newtopia Inc. ON Non------InvFund

Nexa Resources S.A. ON Non------InvFund

Nexco Resources Inc. BC Non------InvFund

Nexe Innovations Inc. Whatcom Capital Corp. BC Non------InvFund

Nexera Energy Inc. Emerald Bay Energy Inc. AB Non------InvFund

NexGen Energy Ltd. Clermont Capital Inc. BC Non------InvFund

NexgenRx Inc. ON Non------InvFund

Nexia Health Technologies Inc. Nightingale Informatix ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/08/05 Corporation InvFund

Nexient Learning Inc. CrossOff Incorporated; NS Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/05/30 Keltic Incorporated InvFund

NexJ Health Holdings Inc. ON Non------InvFund

NexJ Systems Inc. ON Non------InvFund

NexPoint Hospitality Trust ON Non------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) Next Edge Biotech and Life Sciences ON InvFund ------Opportunities Fund

Next Green Wave Holdings Inc. BC Non------InvFund

Nextech AR Solutions Corp. BC Non------InvFund

Nextleaf Solutions Ltd. Legion Metals Corp. BC Non------InvFund

NextPoint Acquisition Corp. ON Non------InvFund

NextSource Materials Inc. Energizer Resources Inc.; ON Non------Uranium Star Corp. InvFund

Nexus Gold Corp. Alita Resources Ltd. BC Non------InvFund

Nexus Group International Inc. Heritage Concepts QC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/06/09 International Inc.; Grandma InvFund 1e, 3 Lee's Inc.

Nexus Real Estate Investment Trust Edgefront Real Estate ON Non------Investment Trust InvFund

NFI Group Inc. New Flyer Industries Inc. MB Non------InvFund

NHC Communications Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/12/29 InvFund 1e, 3

NHS Industries Ltd. BC Non------InvFund

Nickel 28 Capital Corp. Conic Metals Corp. ON Non------InvFund

Nickel Creek Platinum Corp. Wellgreen Platinum Ltd.; BC Non------Prophecy Platinum Corp. InvFund

Nickel North Exploration Corp. Orient Venture Capital Inc. BC Non------InvFund

Nickel Rim Mines Limited -- Non- -- -- Yes/Oui 1992/07/24 InvFund

Nicola Mining Inc. Huldra Silver Inc. BC Non------InvFund

Nighthawk Gold Corp. Merc International Minerals ON Non------Inc. InvFund

Niko Resources Ltd. AB Non------InvFund

Nile Industries Ltd. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/06/05 InvFund

Ninepoint 2020 Short Duration ON InvFund ------Flow-Through Limited Partnership

Ninepoint 2021 Flow-Through Limited ON InvFund ------Partnership - National Class

Ninepoint 2021 Flow-Through Limited ON InvFund ------Partnership - Quebec Class

Ninepoint Alternative Credit Opportunities Ninepoint Alternative Credit ON InvFund ------Fund Opportunities Fund (Terminated); Ninepoint Alternative Credit Opportunities Fund 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) Ninepoint Alternative Health Fund Ninepoint UIT Alternative ON InvFund ------Health Fund; UIT Alternative Health Fund; UIT Global REIT Fund

Ninepoint Convertible Securities Fund ON InvFund ------

Ninepoint Diversified Bond Class Sprott Diversified Bond ON InvFund ------Class; Sprott Diversified Yield Class

Ninepoint Diversified Bond Fund Sprott Diversified Bond ON InvFund ------Fund; Sprott Diversified Yield Fund

Ninepoint Energy Fund Sprott Energy Fund ON InvFund ------

Ninepoint Focused Global Dividend Class Sprott Focused Global ON InvFund ------Dividend Class

Ninepoint FX Strategy Fund ON InvFund ------

Ninepoint Global Infrastructure Fund Sprott Global Infrastructure ON InvFund ------Fund; Exemplar Global Infrastructure Fund

Ninepoint Global Real Estate Fund Sprott Global Real Estate ON InvFund ------Fund; Sprott Global REIT & Property Equity Fund

Ninepoint Gold and Precious Minerals Fund Sprott Gold and Precious ON InvFund ------Minerals Fund

Ninepoint Gold Bullion Fund Sprott Gold Bullion Fund ON InvFund ------

Ninepoint High Interest Savings Fund Ninepoint Short-Term Bond ON InvFund ------Fund; Sprott Short-Term Bond Fund

Ninepoint International Small Cap Fund Sprott International Small ON InvFund ------Cap Fund

Ninepoint Resource Class Sprott Resource Class; ON InvFund ------Sprott Global Resource Class

Ninepoint Return Advantaged U.S. Equity Ninepoint Enhanced U.S. ON InvFund ------Index Class Equity Class; Sprott Enhanced U.S. Equity Class

Ninepoint Risk Advantaged U.S. Equity Ninepoint Enhanced Equity ON InvFund ------Index Class Class; Sprott Enhanced Equity Class

Ninepoint Silver Bullion Fund Sprott Silver Bullion Fund ON InvFund ------

Ninepoint Silver Equities Class Sprott Silver Equities Class ON InvFund ------

Niobay Metals Inc. (formerly MDN INC.) MDN Inc.; Northern Mining QC Non------Explorations Ltd. InvFund

Niocan Inc. QC Non------InvFund

NioCorp Developments Ltd. ON Non------InvFund

NIR Diagnostics Inc. CME Telemetrix Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/02/20 InvFund

NLX Resources Inc. -- Non- -- -- Yes/Oui 1991/07/16 InvFund

Nobelium Tech Corp. NS Non------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) Nobilis Health Corp. Northstar Healthcare Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

Noble China Inc. -- Non- Yes/Oui 1a, 1d Yes/Oui 2003/05/21 InvFund

Noble Iron Inc. Texada Software Inc. ON Non------InvFund

Noble Mineral Exploration Inc. Ring of Fire Resources Inc.; ON Non------Hawk Uranium Inc.; Hawk InvFund Precious Minerals Inc.; Hawk Junction Capital Corp.

Nomad Royalty Company Ltd. Guerrero Ventures Inc.; Inlet QC Non------Resources Ltd. InvFund

Norad Resources Ltd. -- Non- -- -- Yes/Oui 1992/02/28 InvFund

Noranda Income Fund ON Non------InvFund

Norbord Inc. Noranda Forest Inc.; Nexfor ON Non------Inc. InvFund

Norbourg Balanced Fund QC InvFund Yes/Oui 1a, 1b, 1c, 1d, 3 -- --

Norbourg Canadian Tactical Asset QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- -- Allocation Fund

Norbourg Convertible Debentures Fund QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- --

Norbourg Emerging Growth Companies QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- -- Fund

Norbourg Equity-Special Situations Fund QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- --

Norbourg Fixed Income Fund QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- --

Norbourg International Balanced Fund QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- --

Norbourg Money Market Fund QC InvFund Yes/Oui 1a, 1b, 1c, 3 -- --

Nord Resources Corporation BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/05/21 InvFund

Norden Crown Metals Corporation Boreal Metals Corp.; BC Non------European Ferro Metals Ltd. InvFund

Nordic Lite Inc. -- Non- -- -- Yes/Oui 1995/06/06 InvFund

Nordore Mining Co. Ltd. -- Non- -- -- Yes/Oui 1977/10/21 InvFund

Norman Mines Ltd. -- Non- -- -- Yes/Oui 1982/12/03 InvFund

Noront Resources Ltd. ON Non------InvFund

Norsemont Mining Inc. Norsemont Capital Inc.; BC Non------Lornex Capital Inc. InvFund

Nortel Networks Corporation ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2012/12/11 InvFund

Nortel Networks Limited Nortel Networks ON Non- Yes/Oui 1c, 1e Yes/Oui 2012/12/11 Corporation; Northern InvFund Telecom Limited

North American Construction Group Ltd. North American Energy AB Non------Partners Inc.; NACG InvFund Holdings Inc. 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) North American Detectors Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/01/07 InvFund

North American Financial 15 Split Corp. Financial 15 Split Corp. II ON InvFund ------

North American Nickel Inc. Widescope Resources; BC Non------International Gemini InvFund Technology Inc.

North American Resource Capital Limited -- Non- -- -- Yes/Oui 1990/10/10 InvFund

North American Tungsten Corporation Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 -- -- InvFund

North Bud Farms Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/06/02 InvFund

North Growth Canadian Equity Fund BC InvFund ------

North Growth U.S. Equity Advisor Fund BC InvFund ------

North Point Explorations Limited -- Non- -- -- Yes/Oui 1975/04/09 InvFund

North Sea Energy Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/04 InvFund

Northaven Resources Corp. Diamond International BC Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2014/09/08 Exploration Inc.; Diamond InvFund Exploration Inc.; Patrician Diamonds Inc.; Patrician Consolidated Gold Mines Ltd.; Patrician Gold Mines Ltd.

Northcliff Resources Ltd. Cabre Capital Corp. BC Non------InvFund

Northcore Resources Inc. Big Red Diamond QC Non------Corporation InvFund

Northcore Technologies Inc. ADB Systems International ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/09 Ltd. InvFund

Northern Dynasty Minerals Ltd. BC Non------InvFund

Northern Eagle Fund ON InvFund -- -- Yes/Oui 1990/08/24

Northern Frontier Corp. Frontier Acquisition Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/09/06 InvFund

Northern Graphite Corporation ON Non------InvFund

Northern Lights Resources Corp. BC Non------InvFund

Northern Power Systems Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Northern Shield Resources Inc. ON Non------InvFund

Northern Sphere Mining Corp. Argentium Resources Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

Northern Superior Resources Inc. Superior Diamonds Inc. ON Non------InvFund

Northern Vertex Mining Corp. BC Non------InvFund

Northfield Capital Corporation ON Non------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) Northgate Limited Partnership -- Non- -- -- Yes/Oui 1993/08/10 InvFund

Northim Mines Inc. -- Non- -- -- Yes/Oui 1979/07/17 InvFund

Northland Power Inc. ON Non------InvFund

Northland Resources SE Northland Resources S.A.; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/06/09 Northland Resources Inc. InvFund

Northland Systems Training Inc. ON Non- Yes/Oui 1a, 1b Yes/Oui 2003/01/23 InvFund

Northpoint Corporation Madison Holdings Limited; -- Non- -- -- Yes/Oui 1999/10/06 Madison Partners Limited InvFund

Northquest Ventures Inc. -- Non- -- -- Yes/Oui 1995/06/15 InvFund

Northstar Aerospace, Inc. Derlan Industries Limited ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2012/04/05 InvFund

Northstar Gold Corp. ON Non------InvFund

Northview Canadian High Yield Residential ON Non------Fund InvFund

NorthWest Healthcare Properties Real ON Non------Estate Investment Trust InvFund

Norvista Capital Corporation X-Terra Resources ON Non------Corporation; Canadian InvFund Empire Exploration Corp.; Northern Crown Mines Ltd.

NORZINC LTD. BC Non------InvFund

Nothing Personal -- Non- -- -- Yes/Oui 1992/09/30 InvFund

Nouveau Monde Graphite Inc. Nouveau Monde Mining QC Non------Enterprises Inc. InvFund

NOVA Gas Transmission Ltd. Nova Gas Transmission AB Non------Ltd. InvFund

Nova Leap Health Corp. NS Non------InvFund

Nova Mentis Life Science Corp. Liberty Leaf Holdings Ltd.; BC Non------Weststar Resources Corp. InvFund

Nova Royalty Corp. BC Non------InvFund

Nova Scotia Power Incorporated NS Non------InvFund

NovaBay Pharmaceuticals, Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

NovaDx Ventures Corp. NovaDx International Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/11/10 InvFund

NovaGold Resources Inc. BC Non------InvFund

Novamind Inc. ON Non------InvFund

Novanta Inc. GSI Group Inc.; GSI NB Non------Lumonics Inc.; Lumonics InvFund Inc. 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)

Noveko International Inc. Noveko Echographs Inc.; QC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2013/10/03 Atlantis Exploration Inc.; InvFund Noveder Inc.

Novo Resources Corp. Galliard Resources Corp. BC Non------InvFund

Novra Technologies Inc. BC Non------InvFund

NSI Global Inc. NSI Communications Inc.; -- Non- Yes/Oui 1b Yes/Oui 2003/09/16 Delayed Data InvFund Communcations Inc.

NSJ Gold Corp. BC Non------InvFund

NSP Pharma Corp. Leadership Fund Inc., The ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/09/05 InvFund

Ntex Incorporated Allcorp United Inc. -- Non- Yes/Oui 1a, 1d Yes/Oui 2002/05/31 InvFund

NTG Clarity Networks Inc. ON Non------InvFund

NTI Resources Limited New Concept Technologies -- Non- -- -- Yes/Oui 1999/09/24 International Limited; New InvFund Concept Technologies International Inc.

Nu-Life Corp. NatraCeuticals Inc.; VSI ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2003/05/21 Vendcorp Ltd. InvFund 1e, 3

Nuance Communications, Inc. AB Non------InvFund

Nubeva Technologies Ltd. Sherpa Holdings Corp. BC Non------InvFund

Nubian Resources Ltd. ICS Copper Systems Ltd. BC Non------InvFund

Nucontex Corporation Nucontext Corporation; -- Non- Yes/Oui 1a Yes/Oui 2002/11/21 ADAM Technologies Inc.; InvFund MRS Travel Ltd.

Nuinsco Resources Limited ON Non------InvFund

NuLegacy Gold Corporation BC Non------InvFund

Numinus Wellness Inc. BC Non------InvFund

Nuran Wireless Inc. BC Non------InvFund

Nurcapital Corporation Ltd. ON Non------InvFund

Nutaaq R & D Investments Limited -- Non- -- -- Yes/Oui 1983/12/06 Partnership InvFund

Nutaaq Software Inc. -- Non- -- -- Yes/Oui 1983/12/06 InvFund

Nutrien Ltd. SK Non------InvFund

Nutritional High International Inc. ON Non------InvFund

Nuvei Corporation QC Non------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)

NuVista Energy Ltd. AB Non------InvFund

Nuvo Pharmaceuticals Inc. Nuvo Research Inc.; ON Non------Dimethaid Research Inc. InvFund

Nuvolt Corporation Inc. Norco Capital Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/01/05 InvFund

NXT Energy Solutions Inc. AB Non------InvFund

N.W.T. Copper Mines Limited ON Non- -- -- Yes/Oui 2008/03/03 InvFund O

O2Gold Inc. Origin Gold Corporation; QC Non------OneCap Investment InvFund Corporation

O3 Mining Inc. BC Non------InvFund

Oakley Ventures Inc. BC Non------InvFund

Oaks Golf and Country Club Inc. -- Non- -- -- Yes/Oui 1993/10/21 InvFund

Obsidian Energy Ltd. Penn West Petroleum Ltd. AB Non------InvFund

Occidental Petroleum Corporation ON Non------InvFund

OceanaGold Corporation ON Non------InvFund

Oceanic Electronics Corporation Inc. -- Non- -- -- Yes/Oui 1986/11/28 InvFund

OceanLake Commerce Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/10/02 InvFund

OCS Technologies Corp. -- Non- -- -- Yes/Oui 1995/09/29 InvFund

Odyssey Industries Incorporated -- Non- -- -- Yes/Oui 1983/07/27 InvFund

Odyssey Resources Limited ON Non------InvFund

Off Your Rocker -- Non- -- -- Yes/Oui 1987/09/25 InvFund

Oil Optimization Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/10 InvFund

Oil Patch Group Inc. -- Non- -- -- Yes/Oui 1988/09/12 InvFund

Oilsands Quest Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2012/08/08 InvFund 1e, 3

Old API Wind-down Ltd. Aralez Pharmaceuticals Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

Old PSG Wind-down Ltd. Performance Sports Group ON Non- Yes/Oui 1a, 1c, 1e, 3 -- -- Ltd.; Bauer Performance InvFund Sports Ltd.

Olivut Resources Ltd. AB Non------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) Olympia Financial Group Inc. Target Energy Inc. AB Non------InvFund

Olympia & York 240 Sparks Street Limited -- Non- -- -- Yes/Oui 1996/05/27 InvFund

Olympia & York First Canadian Place -- Non- -- -- Yes/Oui 1996/05/27 Limited InvFund

Omai Gold Mines Corp. Anconia Resources Corp.; ON Non------Citadel Gold Mines Inc. InvFund

Omnitech Consultant Group Inc. Bio Angel 1 Corporation QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/05/28 InvFund

Omniweb Inc. Shar-Mar Holdings Ltd. -- Non- -- -- Yes/Oui 1992/06/23 InvFund

Onco Petroleum Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/07/03 InvFund

Oncolytics Biotech Inc. AB Non------InvFund

ONE Financial All-Weather Profit Canada ON InvFund Yes/Oui 1a, 1c, 3 -- -- Fund

ONE Financial All-Weather Profit Canada ON InvFund Yes/Oui 1a, 1c, 3 -- -- Investment Pool

ONE Financial All-Weather Profit ON InvFund Yes/Oui 1a, 1c, 3 -- -- Commodities Fund

ONE Financial All-Weather Profit ON InvFund Yes/Oui 1a, 1c, 3 -- -- Commodities Investment Pool

ONE Financial All-Weather Profit ON InvFund Yes/Oui 1a, 1c, 3 -- -- Conservative Growth 2022 Principal-Protected Investment Pool

ONE Financial All-Weather Profit ON InvFund Yes/Oui 1a, 1c, 3 -- -- Conservative Growth 2022 Protected Portfolio

ONE Financial All-Weather Profit Emerging ON InvFund Yes/Oui 1a, 1c, 3 -- -- Markets Fund

ONE Financial All-Weather Profit Emerging ON InvFund Yes/Oui 1a, 1c, 3 -- -- Markets Investment Pool

ONE Financial All-Weather Profit Europe & ON InvFund Yes/Oui 1a, 1c, 3 -- -- Asia Fund

ONE Financial All-Weather Profit Europe & ON InvFund Yes/Oui 1a, 1c, 3 -- -- Asia Investment Pool

ONE Financial All-Weather Profit Global ON InvFund Yes/Oui 1a, 1c, 3 -- -- Diversified Fund

ONE Financial All-Weather Profit Global ON InvFund Yes/Oui 1a, 1c, 3 -- -- Diversified Growth Fund

ONE Financial All-Weather Profit Global ON InvFund Yes/Oui 1a, 1c, 3 -- -- Diversified Growth Investment Pool

ONE Financial All-Weather Profit Global ON InvFund Yes/Oui 1a, 1c, 3 -- -- Diversified Investment Pool

ONE Financial All-Weather Profit Growth & ON InvFund Yes/Oui 1a, 1c, 3 -- -- Income Balanced Fund

ONE Financial All-Weather Profit Growth & ON InvFund Yes/Oui 1a, 1c, 3 -- -- Income Balanced Investment Pool

ONE Financial All-Weather Profit Monthly ON InvFund Yes/Oui 1a, 1c, 3 -- -- Bond Investment Pool 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) ONE Financial All-Weather Profit Monthly ON InvFund Yes/Oui 1a, 1c, 3 -- -- ROC Income 2022 Principal-Protected Investment Pool

ONE Financial All-Weather Profit Monthly ON InvFund Yes/Oui 1a, 1c, 3 -- -- ROC Income 2022 Protected Portfolio

ONE Financial All-Weather Profit Monthly ON InvFund Yes/Oui 1a, 1c, 3 -- -- Tax-Efficient Bond Fund

ONE Financial All-Weather Profit Short-term ON InvFund Yes/Oui 1a, 1c, 3 -- -- Savings Investment Pool

ONE Financial All-Weather Profit ON InvFund Yes/Oui 1a, 1c, 3 -- -- Tax-Efficient Short-term Savings Fund

ONE Financial All-Weather Profit U.S. Fund ON InvFund Yes/Oui 1a, 1c, 3 -- --

ONE Financial All-Weather Profit U.S. ON InvFund Yes/Oui 1a, 1c, 3 -- -- Investment Pool

ONE Financial Real Property Development ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/14 Trust (2008-1) InvFund

ONE Financial Real Property Income Fund ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/14 (2008-1) InvFund

ONE Signature Financial Corporation July Resources Corp. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2007/01/29 InvFund

One World Lithium Inc. One World Minerals Inc. BC Non------InvFund

ONEnergy Inc. Look Communications Inc. ON Non- -- -- Yes/Oui 2019/05/06 InvFund

Oneroof Energy Group, Inc. Carlaw Capital IV Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

OneSoft Solutions Inc. AB Non------InvFund

Onex Corporation ON Non------InvFund

Online Direct Inc. Res International Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2001/10/18 InvFund 1e, 3

Online Hearing Inc. ON Non- -- -- Yes/Oui 2013/02/04 InvFund

Ontario Cine Corp. -- Non- -- -- Yes/Oui 1991/07/16 InvFund

Ontario General Insurance Company -- Non- -- -- Yes/Oui 1989/06/02 InvFund

Ontario Power Generation Inc. ON Non------InvFund

Ontario Teachers' Village (Florida) Limited ON Non- -- -- Yes/Oui 1994/06/06 Partnership InvFund

Ontario Teachers Mortgage Fund ON InvFund -- -- Yes/Oui 1979/12/05

Opawica Explorations Inc. BC Non------InvFund

Open Text Corporation ON Non------InvFund

Opimian California Vineyards Corporation, -- Non- -- -- Yes/Oui 1994/05/03 The InvFund

Oppenheimer Holdings Inc. Fahnestock Viner Holdings ON Non------Inc. 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) Opsens Inc. QC Non------InvFund

Optimi Health Corp. BC Non------InvFund

Optimum Ventures Ltd. BC Non------InvFund

Optiva Inc. Redknee Solutions Inc. ON Non------InvFund

Oracle Mining Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/16 InvFund

Orange France Telecom QC Non------InvFund

Orbit Garant Drilling Inc. QC Non------InvFund

Orbite Technologies Inc. Orbite Aluminae Inc.; QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/07 Exploration Orbite VSPA Inc. InvFund

Orbus Pharma Inc. Bovar Inc. AB Non------InvFund

Orca Gold Inc. Canaco Resources Inc. BC Non------InvFund

Orchid Ventures, Inc. BC Non- Yes/Oui 3 -- -- InvFund

Orea Mining Corp. Columbus Gold Corp. BC Non------InvFund

Orefinders Resources Inc. BC Non------InvFund

Oremex Gold Inc. Black Birch Capital ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/08/14 Acquisition I Corp. InvFund

OREX MINERALS INC. BC Non------InvFund

Orezone Gold Corporation BC Non------InvFund

Orford Mining Corporation Focused Capital Corp. ON Non------InvFund

Organic Garage Ltd. Crestwell Resources Inc. BC Non------InvFund

Organic Potash Corporation ON Non------InvFund

OrganiGram Holdings Inc. NB Non------InvFund

OrganiMax Nutrient Corp. Alset Minerals Corp.; Alset BC Non------Energy Corp.; Benton InvFund Capital Corp.; Benton Resources Corp.

Organto Foods Inc. Columbus Exploration BC Non------Corporation; Columbus InvFund Silver Corporation

Oriental Non-Ferrous Resources BC Non- Yes/Oui 1c, 1e Yes/Oui 2019/09/05 Development Inc. InvFund

Origen Resources Inc. BC Non------InvFund

Orinoco Tours Limited -- Non- -- -- Yes/Oui 1990/11/05 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)

Orion Nutraceuticals Inc. BC Non- Yes/Oui 3 -- -- InvFund

Orla Mining Ltd. Red Mile Minerals Corp. BC Non------InvFund

Orletto Capital II Inc. QC Non------InvFund

Oroco Resource Corp. BC Non------InvFund

Orocobre Limited ON Non------InvFund

Orogen Royalties Inc. Evrim Resources Corp.; BC Non------Avaranta Resources Ltd.; InvFund Allman Technologies Inc.

Orosur Mining Inc. Uruguay Mineral Exploration BC Non------Inc.; Uruguay Goldfields InvFund Inc.; Canadian Black River Petroleum Ltd.

Orsu Metals Corporation European Minerals BC Non------Corporation; Kazakhstan InvFund Minerals Corp.; XXpert Rental Tool Inc.

Ortho Regenerative Technologies Inc. QC Non------InvFund

Orvana Minerals Corp. ON Non------InvFund

Osino Resources Corp. BC Non------InvFund

Osisko Gold Royalties Ltd Osisko Gold Royalties Ltd. QC Non------InvFund

Osisko Mining Inc. Oban Mining Corporation; ON Non------Braeval Mining Corporation InvFund

Osta Biotechnologies Inc. Biopotential Capital Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/04 InvFund

OTI Technologies Inc. -- Non- -- -- Yes/Oui 1987/07/22 InvFund

Outback Goldfields Corp. Skarb Exploration Corp. BC Non------InvFund

Outcrop Gold Corp. BC Non------InvFund

OutdoorPartner Media Corporation Cutwater Capital ON Non------Corporation InvFund

Outlook Resources Inc. Cantex Energy Inc.; Findore ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/04/04 Minerals Inc. InvFund

OV2 Investment 1 Inc. ON Non- Yes/Oui 3 -- -- InvFund

Ovation Science Inc. BC Non------InvFund

Ovintiv Inc. AB Non------InvFund P

P2 Gold Inc. Central Timmins BC Non------Exploration Corp. 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) P2P Info Inc. BC Non------InvFund

Pac Roots Cannabis Corp. Mountain Lake Minerals Inc. BC Non------InvFund

Pace Corporation, The ON Non- -- -- Yes/Oui 1998/05/29 InvFund

Pacific Consolidated Resources Corp. Pacific Falkon Resources -- Non- Yes/Oui 1a, 1b Yes/Oui 2001/11/28 Corp. InvFund

Pacific Empire Minerals Corp. BC Non------InvFund

Pacific Energy Resources Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/03/30 InvFund 1e, 3

Pacific Energy Systems Ltd. -- Non- -- -- Yes/Oui 1996/06/05 InvFund

Pacific Lottery Corporation Applied Gaming Solutions AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2012/05/07 of Canada Inc. InvFund

Pacific National Financial Corporation -- Non- -- -- Yes/Oui 1992/08/31 InvFund

Pacific Orient Capital Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/02/12 InvFund

Pacific Vector Holdings Inc. Gatorz Inc.; IBF 1 Corp ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/07/10 InvFund

Pacrim International Capital Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2012/03/22 InvFund 1e, 3

PacRim Resources Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/11/03 InvFund

Padlock Partners UK Fund I ON Non------InvFund

Paige Innovations Inc. -- Non- -- -- Yes/Oui 1998/09/23 InvFund

Paladin Energy Ltd. Paladin Resources Ltd. ON Non------InvFund

Palamina Corp. ON Non------InvFund

Palladium One Mining Inc. BC Non------InvFund

Pallet Pallet Inc. ON Non- -- -- Yes/Oui 2000/08/18 InvFund

Palliser Oil & Gas Corporation AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/11 InvFund

Palm Beach County Utilities Corporation -- Non- -- -- Yes/Oui 1990/08/03 InvFund

Palm Springs Square Limited Partnership -- Non- -- -- Yes/Oui 1984/10/17 InvFund

Palos Equity Income Fund QC InvFund ------

Pampa Metals Corporation Fireswirl Technologies Inc.; BC Non------Redstone Capital Corp. InvFund

Pan American Fertilizer Corp. Golden Fame Resources BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/05/14 Corp.; Canfe Ventures Ltd. InvFund

Pan American Silver Corp. BC Non------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) Pan Global Resources Inc. Mosam Capital Corp. BC Non------InvFund

Pan Ocean Explorations Inc. SLN Ventures Corporation -- Non- -- -- Yes/Oui 2001/07/09 InvFund

Pan Pacific Petroleum Inc. AB Non- -- -- Yes/Oui 1994/03/08 InvFund

Pan Pacific Strategies Corp. -- Non- Yes/Oui 1a, 1d Yes/Oui 1998/01/28 InvFund

Pan Union Petroleum Corporation -- Non- -- -- Yes/Oui 1989/01/26 InvFund

Pancontinental Resources Corporation Pancontinental Gold BC Non------Corporation; Pancontinental InvFund Uranium Corporation

Pangolin Diamonds Corp. ON Non------InvFund

Panorama Capital Corp. BC Non------InvFund

Panoro Minerals Ltd. BC Non------InvFund

Para-Tech Energy Services Inc. Para-Tech Energy -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/06/19 Corporation; Newgate InvFund Resources Ltd.

Paragon Entertainment Corporation ON Non- -- -- Yes/Oui 1998/08/25 InvFund

Parallel Energy Trust AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/11/25 InvFund

Paramount Gold Nevada Corp. ON Non------InvFund

Paramount Resources Ltd. AB Non------InvFund

ParcelPal Technology Inc. Plus8 Global Ventures, Ltd. BC Non------InvFund

Parex Resources Inc. AB Non------InvFund

Park Lawn Corporation ON Non------InvFund

Park Meditech Inc. -- Non- -- -- Yes/Oui 1998/02/05 InvFund

Park Square Properties Limited Partnership -- Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 1998/07/29 InvFund

Parkit Enterprise Inc. Greenscape Capital Group BC Non------Inc. InvFund

Parkland Corporation Parkland Fuel Corporation AB Non------InvFund

Parkview Lodge Apartments Limited -- Non- -- -- Yes/Oui 1979/03/13 InvFund

Parkview Village II, Limited Partnership -- Non- -- -- Yes/Oui 1985/06/23 InvFund

Parkview Village I, Limited Partnership -- Non- -- -- Yes/Oui 1985/04/03 InvFund

Partner Jet Corp. Golden Penguin Resources ON Non------Inc. 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) Partners Value Investments Inc. Partners Value Fund Inc.; ON Non------BAM Investments Corp.; InvFund BNN Investments Ltd.; Canadian Express Ltd.; Consolidated Canadian Express Limited

Partners Value Investments LP ON Non------InvFund

Partners Value Split Corp. BAM Split Corp.; BNN Split ON InvFund ------Corp.

Parton Capital Inc. International Inter-Link Inc. AB Non- Yes/Oui 1b Yes/Oui 2003/03/11 InvFund

Partyco Holdings Ltd. -- Non- Yes/Oui 1a Yes/Oui 2002/05/23 InvFund

Pascal Biosciences Inc. bioMmune Technologies BC Non- Yes/Oui 3 -- -- Inc.; MC Partners Inc. InvFund

Pasinex Resources Limited Triple Dragon Resources BC Non------Inc. InvFund

Pason Systems Inc. AB Non------InvFund

Passport Potash Inc. Passport Metals Inc.; BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/07/15 International X-Chequer InvFund Resources Inc.; X-Chequer Resources Inc.; Palace Explorations Inc.

Pat Gold Mines Limited -- Non- -- -- Yes/Oui 1987/06/23 InvFund

Patagonia Gold Corp. Hunt Mining Corp.; BC Non------SINOMAR CAPITAL CORP. InvFund

Patino, N.V. -- Non- -- -- Yes/Oui 1985/08/26 InvFund

Patriot Gold Corp. BC Non------InvFund

Patriot One Technologies Inc. Clear Mountain Resources BC Non------Corp. InvFund

Pay Linx Financial Corporation AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/11 InvFund

Payfare Inc. ON Non------InvFund

PC Chips Corporation HookUp Communication ON Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2003/01/24 Corporation InvFund

PCJ Absolute Return II Fund ON InvFund ------

PCL Industries Limited -- Non- -- -- Yes/Oui 1992/06/08 InvFund

PDC Biological Health Group Corporation BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/12/17 InvFund

Peace Arch Entertainment Group Inc. Vidatron Entertainment ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2008/12/04 Group Inc. InvFund 1e, 3

Peachtree Network Inc. -- Non- Yes/Oui 1b Yes/Oui 2002/02/25 InvFund

Peak Brewing Group Inc. Banff Brewery Corporation -- Non- Yes/Oui 1a, 1d, 3 Yes/Oui 2004/02/23 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) Peak Fintech Group Inc. Peak Positioning QC Non------Technologies Inc.; Java InvFund Capital, Inc.

Peakbirch Logic Inc. Kootenay Zinc Corp.; BC Non------Oceanside Capital Corp. InvFund

Peaksoft Multinet Corp. Peaksoft Corporation; Peak BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2002/03/05 Technologies Inc. InvFund

Pearl River Holdings Limited Bayside Capital ON Non------Corporation InvFund

Peekaboo Beans Inc. BC Non------InvFund

Pega Capital Corporation -- Non- -- -- Yes/Oui 1996/09/26 InvFund

Pegasus Gold Inc. -- Non- -- -- Yes/Oui 1999/12/16 InvFund

Pelangio Exploration Inc. ON Non------InvFund

Pelham Gold "N" Grain Inc. -- Non- -- -- Yes/Oui 1991/06/03 InvFund

Peloton Minerals Corporation Montana Gold Mining ON Non------Company Inc.; Gold Reef InvFund International, Inc.; OMG Mineral Exploration Inc.

Pembina Pipeline Corporation AB Non------InvFund

PEMBROKE AMERICAN GROWTH FUND GBC American Growth QC InvFund ------INC. Fund Inc., The; GBC North American Growth Fund Inc., The

PEMBROKE CANADIAN BOND FUND GBC Canadian Bond Fund, QC InvFund ------The

PEMBROKE CANADIAN GROWTH FUND GBC Canadian Growth QC InvFund ------Fund, The

PEMBROKE CONCENTRATED FUND QC InvFund ------

PEMBROKE CORPORATE BOND FUND GBC Corporate Bond Fund, QC InvFund ------The

PEMBROKE GLOBAL BALANCED FUND GBC Global Balanced ON InvFund ------Fund, The

PEMBROKE GROWTH AND INCOME FUND GBC Growth and Income QC InvFund ------Fund, The

PEMBROKE INTERNATIONAL GROWTH GBC International Growth QC InvFund ------FUND Fund, The

PEMBROKE MONEY MARKET FUND GBC Money Market Fund, QC InvFund ------The

Pender Bond Universe Fund BC InvFund ------

Pender Corporate Bond Fund BC InvFund ------

Pender Enhanced Income Fund Vertex Enhanced Income BC InvFund ------Fund

Pender Growth Fund Inc. BC Non------InvFund

Pender Small Cap Opportunities Fund BC InvFund ------

Pender Small/Mid Cap Dividend Fund BC 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)

Pender Strategic Growth and Income Fund Pender Balanced Fund BC InvFund ------

Pender Strategic Investment Fund BC InvFund ------

Pender US All Cap Equity Fund BC InvFund ------

Pender Value Fund BC InvFund ------

Pender Value Fund II Vertex Value Fund BC InvFund ------

Penn Capital Inc. MJ Bioscience Corp. BC Non------InvFund

Pennine Petroleum Corporation AB Non- Yes/Oui 3 Yes/Oui 2020/06/22 InvFund

Pennington's Stores Limited -- Non- -- -- Yes/Oui 1995/01/05 InvFund

Pennzoil Company -- Non------InvFund

Pension Mutual Fund Limited ON InvFund ------

Penway Explorers Ltd. -- Non- -- -- Yes/Oui 1990/04/10 InvFund

People Corporation GroupWorks Financial ON Non------Corp. InvFund

PepCap Resources, Inc. Pepcap Ventures Inc. BC Non------InvFund

Peragis Inc. Points North Digital -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2001/07/10 Technologies, Inc.; Peragis InvFund Inc.; Points North Digital Technologies, Inc.

Pere Marquette Petroleums Ltd. -- Non- -- -- Yes/Oui 1974/01/04 InvFund

Perial Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, Yes/Oui 2006/08/02 InvFund 2c, 3

Perihelion Capital Ltd. BC Non------InvFund

Perisson Petroleum Corporation AB Non------InvFund

Perk Labs Inc. Glance Technologies Inc. BC Non------InvFund

Permanent Acceptance Corporation Limited -- Non- -- -- Yes/Oui 1989/02/15 InvFund

Permex Petroleum Corporation BC Non------InvFund

Perpetua Resources Corp. Midas Gold Corp. BC Non------InvFund

Perpetual Energy Inc. AB Non------InvFund

Perrex Resources Inc. -- Non- -- -- Yes/Oui 1990/11/06 InvFund

Perseus Mining Limited BC Non------InvFund

Pershimex Resources Corporation Khalkos Exploration Inc. QC Non------InvFund

PERSONAS SOCIAL INCORPORATED Peeks Social Ltd.; KEEK ON Non------INC.; Primary Petroleum InvFund Corporation 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)

Peruvian Metals Corp. Duran Ventures Inc. ON Non------InvFund

PESA Corporation Qustream Corporation; ON Non------Maklyn Venture Capital InvFund Corp.

Petaquilla Minerals Ltd. Adrian Resources Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2015/01/09 InvFund 1e, 3

Petro-Canada Enterprises Inc. -- Non------InvFund

Petro-Sun International Inc. -- Non- -- -- Yes/Oui 1988/05/25 InvFund

Petro-Victory Energy Corp. AB Non------InvFund

PETRO VIKING ENERGY INC. AB Non------InvFund

Petrocapita Income Trust AB Non- -- -- Yes/Oui 2019/05/06 InvFund

PetroCorp Group Inc. PowerComm Inc. AB Non------InvFund

Petrol One Corp. International Zimtu BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/07/08 Technologies Inc. InvFund

Petroleum Capital Energy Inc. -- Non- -- -- Yes/Oui 1993/07/29 InvFund

Petrolex Energy Corporation Pacific Axis Ventures Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/07/25 InvFund

Petrolia Energy Corporation AB Non- -- -- Yes/Oui 2018/09/13 InvFund

Petrolympic Ltd. Pisces Capital Corp. ON Non------InvFund

Petromin Resources Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2017/04/10 InvFund

PetroShale Inc. Algonquin Oil & Gas AB Non------Limited; Algonquin InvFund Petroleum Corporation; Kuma Resources Limited

PetroTal Corp. Sterling Resources Ltd. AB Non------InvFund

Petroteq Energy Inc. MCW Energy Group ON Non------Limited; MCW Enterprises InvFund Ltd.; AXEA Capital Corp.

Petrowest Corporation AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2017/12/05 InvFund

Petrus Resources Ltd. AB Non------InvFund

Peyto Exploration & Development Corp. AB Non------InvFund

Peyto Oils Ltd. -- Non- -- -- Yes/Oui 1981/06/13 InvFund

PEZM Gold Inc. Greenshield Explorations BC Non------Limited; Greenshield InvFund Resources Ltd.

PFB Corporation AB Non------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)

Pharma Patch plc -- Non- -- -- Yes/Oui 1995/07/21 InvFund

PharmaCielo Ltd. ON Non------InvFund

Pharmadrug Inc. Aura Health Inc.; Lamêlée ON Non------Iron Ore Ltd.; Gimus InvFund Resources Inc.

PharmaGap Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/06 InvFund

Pharmaglobe Inc. -- Non- Yes/Oui 1b Yes/Oui 1999/10/13 InvFund

PharmEng International Inc Chrysalis Capital ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/05/20 Corporation InvFund

Philip Services Corp. Philip Environmental Inc. -- Non- -- -- Yes/Oui 2000/06/02 InvFund

Phillips, Hager & North Balanced Fund ON InvFund ------

Phillips, Hager & North Balanced Pension ON InvFund ------Trust

Phillips, Hager & North Bond Fund ON InvFund ------

Phillips, Hager & North Canadian Equity ON InvFund ------Fund

Phillips, Hager & North Canadian Equity ON InvFund ------Pension Trust

Phillips, Hager & North Canadian Equity ON InvFund ------Plus Pension Trust

Phillips, Hager & North Canadian Equity ON InvFund ------Underlying Fund

Phillips, Hager & North Canadian Equity ON InvFund ------Underlying Fund II

Phillips, Hager & North Canadian Equity ON InvFund ------Value Class

Phillips, Hager & North Canadian Equity ON InvFund ------Value Fund

Phillips, Hager & North Canadian Growth Phillips, Hager & North ON InvFund ------Fund Canadian Equity Plus Fund; Phillips, Hager & North R.S.P./R.I.F. Equity Fund

Phillips, Hager & North Canadian Income ON InvFund ------Fund

Phillips, Hager & North Canadian Money ON InvFund ------Market Fund

Phillips, Hager & North Conservative Equity ON InvFund ------Income Fund

Phillips, Hager & North Conservative ON InvFund ------Pension Trust

Phillips, Hager & North Currency-Hedged ON InvFund ------Overseas Equity Fund

Phillips, Hager & North Currency-Hedged ON InvFund ------U.S. Equity Fund

Phillips, Hager & North Dividend Income ON InvFund ------Fund

Phillips, Hager & North Global Equity Fund ON 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)

Phillips, Hager & North Growth Pension ON InvFund ------Trust

Phillips, Hager & North High Yield Bond ON InvFund ------Fund

Phillips, Hager & North Inflation-Linked ON InvFund ------Bond Fund

Phillips, Hager & North LifeTime 2015 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2020 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2025 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2030 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2035 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2040 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2045 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2050 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2055 Fund ON InvFund ------

Phillips, Hager & North LifeTime 2060 Fund ON InvFund ------

Phillips, Hager & North Long Inflation-linked ON InvFund ------Bond Fund

Phillips, Hager & North Monthly Income ON InvFund ------Class

Phillips, Hager & North Monthly Income ON InvFund ------Fund

Phillips, Hager & North Overseas Equity ON InvFund ------Class

Phillips, Hager & North Overseas Equity ON InvFund ------Fund

Phillips, Hager & North Short Term Bond & ON InvFund ------Mortgage Fund

Phillips, Hager & North Small Float Fund ON InvFund ------

Phillips, Hager & North Total Return Bond ON InvFund ------Fund

Phillips, Hager & North U.S. Dividend Phillips, Hager & North ON InvFund ------Income Fund Overseas Equity Fund

Phillips, Hager & North U.S. Equity Fund ON InvFund ------

Phillips, Hager & North U.S. Growth Fund PH&N North American ON InvFund ------Equity Fund

Phillips, Hager & North U.S. Multi-Style ON InvFund ------All-Cap Equity Class

Phillips, Hager & North U.S. Multi-Style ON InvFund ------All-Cap Equity Fund

Phillips, Hager & North Vintage Fund ON InvFund ------

Phillips, Hager & North $U.S. Money Market ON InvFund ------Fund

Phobia -- Non- -- -- Yes/Oui 1983/10/17 InvFund

Phoenician Fund Corporation I, The ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2013/06/17 InvFund

Phoenix Canada Oil Company Limited ON Non------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)

Phoenix Capital Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2007/08/24 InvFund

Phoenix Gold Resources Corp. Zuri Capital Corp. BC Non------InvFund

Phoenix Health Group Inc. Tridont Health Care Inc. -- Non- -- -- Yes/Oui 2000/07/26 InvFund

Photon Control Inc. Coldswitch Technologies BC Non------Inc.; CST Cold Switch InvFund Technologies Inc.

PHX Energy Services Corp. AB Non------InvFund

Picton Mahoney Fortified Active Extension ON InvFund ------Alternative Fund

Picton Mahoney Fortified Arbitrage Vertex Liquid Alternative BC InvFund ------Alternative Fund Fund

Picton Mahoney Fortified Arbitrage Plus Vertex Liquid Alternative BC InvFund ------Alternative Fund Fund Plus

Picton Mahoney Fortified Equity Fund ON InvFund ------

Picton Mahoney Fortified Income Alternative ON InvFund ------Fund

Picton Mahoney Fortified Income Fund ON InvFund ------

Picton Mahoney Fortified Long Short ON InvFund ------Alternative Fund

Picton Mahoney Fortified Market Neutral ON InvFund ------Alternative Fund

Picton Mahoney Fortified Multi-Asset Fund ON InvFund ------

Picton Mahoney Fortified Multi-Strategy ON InvFund ------Alternative Fund

Picton Mahoney Tactical Income Fund ON InvFund ------

Pieridae Energy Limited AB Non------InvFund

Pima Zinc Corp. Rae-Wallace Mining ON Non------Company InvFund

PIMCO - IG Global Bond Pool MB InvFund ------

PIMCO Canadian Total Return Bond Fund ON InvFund ------

PIMCO Climate Bond Fund (Canada) ON InvFund ------

PIMCO ESG Income Fund (Canada) ON InvFund ------

PIMCO Flexible Global Bond Fund (Canada) PIMCO Global Advantage ON InvFund ------Strategy Bond Fund (Canada)

PIMCO Global Income Opportunities Fund ON InvFund ------

PIMCO Global Short Maturity Fund (Canada) ON InvFund ------

PIMCO Investment Grade Credit Fund ON InvFund ------(Canada)

PIMCO Low Duration Monthly Income Fund ON InvFund ------(Canada)

PIMCO Managed Conservative Bond Pool ON InvFund ------

PIMCO Managed Core Bond Pool ON InvFund ------

PIMCO Monthly Income Fund (Canada) ON 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)

PIMCO Tactical Income Fund ON InvFund ------

PIMCO Unconstrained Bond Fund (Canada) ON InvFund ------

Pine Cliff Energy Ltd. AB Non------InvFund

Pine Trail Real Estate Investment Trust Pine Trail Capital Trust AB Non------InvFund

Pine Valley Mining Corporation BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2009/04/03 InvFund 1e, 3

Pinedale Energy Limited Outrider Energy Corp.; BC Non------Bryant Resources Inc. InvFund

Pinehurst Capital I Inc. ON Non------InvFund

Pinehurst Capital II Inc. ON Non------InvFund

Pinetree Capital Ltd. Pinetree Capital Corp.; ON Non------Pinetree Capital Inc. InvFund

Pineview Tower Apartment Project ON Non------InvFund

Pinnacle Balanced Portfolio Pinnacle Conservative ON InvFund ------Balanced Growth Portfolio

Pinnacle Renewable Energy Inc. Pinnacle Renewable BC Non------Holdings Inc. InvFund

Pioneer Media Holdings Inc. Haro Metals Corp. BC Non------InvFund

Pioneering Technology Corp. Pioneering Technology Inc.; ON Non------Lemontonic Inc.; Passion InvFund Media Inc.

Piper Resources Ltd. 2937077 Canada Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/08/29 InvFund

Pipestone Energy Corp. Blackbird Energy Inc. AB Non------InvFund

Pivotal Financial Corp. ON Non------InvFund

Pivotal Therapeutics Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/05 InvFund

Pivotree Inc. ON Non------InvFund

Pixelworks, Inc. ON Non------InvFund

Pixman Nomadic Media Inc. Pixman Capital Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/11/09 InvFund

Pizza Pizza Royalty Corp. ON Non------InvFund

PJX Resources Inc. ON Non------InvFund

PK Core Fund ON InvFund ------

PKS Capital Corp. BC Non------InvFund

Place Concorde East Limited Partnership -- Non- -- -- Yes/Oui 1994/06/06 InvFund

Place Concorde West Limited Partnership -- Non- -- -- Yes/Oui 1994/06/06 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)

Place Montfort Apartment Project ON Non------InvFund

Plaintree Systems Inc. ON Non------InvFund

Planet 13 Holdings Inc. Carpincho Capital Corp.; ON Non------High Income Preferred InvFund Shares Corporation

Planetsafe Enviro Corporation ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2003/03/27 InvFund 1e, 3

Plant-Based Investment Corp. Cannabis Growth ON Non------Opportunity Corporation InvFund

PlantX Life Inc. Vegaste Technologies BC Non------Corp.; Winston Resources InvFund Inc.; Gorilla Resources Corp.

Plant&Co. Brands Ltd. Eurolife Brands Inc.; BC Non------Cannvas MedTech Inc. InvFund

Plasticycle Inc. -- Non- -- -- Yes/Oui 1996/06/05 InvFund

Plata-Peru Resources Inc. Soocana Explorations Ltd. -- Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 1999/10/13 InvFund

Plata Latina Minerals Corporation BC Non------InvFund

Plateau Energy Metals Inc. Plateau Uranium Inc.; ON Non------Macusani Yellowcake Inc.; InvFund Silver Net Equities Corp.

Platform 9 Capital Corp. ON Non------InvFund

Platinex Inc. ON Non------InvFund

Platinova A/S ON Non- -- -- Yes/Oui 2003/09/09 InvFund

Platinova Resources Ltd. -- Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2003/09/09 InvFund

Platinum Group Metals Ltd. BC Non------InvFund

Platinum Lake Technology Inc. -- Non- -- -- Yes/Oui 1991/04/12 InvFund

Plato Gold Corp. ON Non------InvFund

Playa El Agua Hotel Limited Partnership -- Non- -- -- Yes/Oui 1990/11/05 InvFund

Plaza Retail REIT NB Non------InvFund

Pleasant Realty & Financial Corporation -- Non- -- -- Yes/Oui 1992/06/03 InvFund

Plum Financial Group Inc. Plum Financial Planning ON Non------Ltd.; Gro-Net Financial Tax InvFund & Pension Planners Ltd.; David Ingram and Associates Management Services Inc.

Plumbing Marts of America, Inc. -- Non- -- -- Yes/Oui 1982/06/28 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)

Plurilock Security Inc. Libby K Industries Inc. BC Non------InvFund

Plus Products Inc. BC Non------InvFund

Plymouth Rock Technologies Inc. Alexandra Capital Corp. BC Non------InvFund

POCML 5 INC. ON Non------InvFund

POCML 6 Inc. ON Non------InvFund

Poda Technologies Ltd. BC Non------InvFund

POET Technologies Inc. Opel Technologies Inc.; ON Non------Opel Solar International InvFund Inc.; OPEL International Inc.; Tandem Resources Ltd.

Point Loma Resources Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/05 InvFund

Pointe West Golf Club Corp. ON Non------InvFund

Points International Ltd. Exclamation International ON Non------Incorporated; Sports InvFund Technologies Group Inc.

Polaris Infrastructure Inc. Ram Power, Corp. ON Non------InvFund

Pollard Banknote Limited MB Non------InvFund

PolyMet Mining Corp. ON Non------InvFund

Polyphalt Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/07/21 InvFund

Pond Technologies Holdings Inc. ON Non------InvFund

Ponder Oils Ltd. -- Non- -- -- Yes/Oui 1986/07/03 InvFund

Ponderosa Fund BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/14 InvFund

Ponderous Panda Capital Corp. BC Non------InvFund

Pontus Protein Ltd. AmWolf Capital Corp. BC Non------InvFund

Pool Safe Inc. Pounder Venture Capital ON Non------Corp. InvFund

Poplar Creek Resources Inc. AB Non------InvFund

Poplar Point Energy Inc. Poplar Point Explorations ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2011/05/09 Inc. InvFund

PopReach Corporation Mithrandir Capital Corp. ON Non------InvFund

Portage Biotech Inc. Bontan Corporation Inc.; ON Non------Dealcheck.com Inc.; InvFund Foodquest International Corp. 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)

Portex Minerals Inc. Strategic Resource ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/02/03 Acquisition Corporation InvFund

Portfolio Series Balanced Fund CI Canadian Balanced ON InvFund ------Portfolio; Spectrum Canadian Balanced Portfolio; Spectrum United Canadian Balanced Portfolio; Spectrum United Canadian Portfolio of Funds; United Canadian Portfolio of Funds

Portfolio Series Balanced Growth Fund CI Global Balanced ON InvFund ------Portfolio; CI Balanced Portfolio

Portfolio Series Conservative Balanced CI Global Conservative ON InvFund ------Fund Portfolio; CI Conservative Portfolio

Portfolio Series Conservative Fund CI Canadian Conservative ON InvFund ------Portfolio; Spectrum Canadian Conservative Portfolio; Spectrum United Canadian Conservative Portfolio

Portfolio Series Growth Fund CI Global Growth Portfolio; ON InvFund ------CI Growth Portfolio

Portfolio Series Income Fund CI Canadian Income ON InvFund ------Portfolio; Spectrum Canadian Income Portfolio; Spectrum United Canadian Income Portfolio

Portfolio Series Maximum Growth Fund CI Global Maximum Growth ON InvFund ------Portfolio; CI Maximum Growth Portfolio

Portland 15 of 15 Alternative Fund Portland Global Dividend ON InvFund ------Fund

Portland Canadian Balanced Fund ON InvFund ------

Portland Global Alternative Fund Portland Global Banks ON InvFund ------Fund

Portland Global Balanced Fund Portland Global Income ON InvFund ------Fund

Portland North American Alternative Fund ON InvFund ------

Porto Energy Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/08/13 InvFund

POSaBIT Systems Corporation Foreshore Exploration BC Non------Partners Corp. InvFund

Poseidon Concepts Corp. Open Range Energy Corp. AB Non- Yes/Oui 1a, 1c, 1d, 1e, Yes/Oui 2013/02/26 InvFund 2b, 3

Position Inc. -- Non- -- -- Yes/Oui 1999/09/24 InvFund

Posters Plus Marketing Corp. -- Non- -- -- Yes/Oui 1990/06/28 InvFund

Postmedia Network Canada Corp. ON Non------InvFund

Pounce Technologies Inc. Slyce Inc.; Oculus Ventures AB Non------Corporation 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) Povey Corporation Limited -- Non- -- -- Yes/Oui 1986/12/01 InvFund

Power Corporation of Canada QC Non------InvFund

Power Financial Corporation QC Non------InvFund

Power Metals Corp. Aldrin Resource Corp. BC Non------InvFund

Power Tech Corporation Inc. CMJ Capital Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/09/16 InvFund

Poynt Corporation Multiplied Media AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/06/12 Corporation; illumiCell InvFund Corporation

PPOA Holding, Inc. (formerly Protective Protective Products of AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/07/08 Products of America, Inc.) America, Inc.; Ceramic InvFund 1e, 3 Protection Corporation

PPX Mining Corp. Peruvian Precious Metals BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2021/02/03 Corp.; Sienna Gold Inc. InvFund

Prairie Provident Resources Inc. AB Non------InvFund

Prairie Storm Resources Corp. Quendale Capital Corp. AB Non------InvFund

PrairieSky Royalty Ltd. AB Non------InvFund

Precious Metals and Mining Trust ON InvFund ------

Precipitate Gold Corp. BC Non------InvFund

Precision Assessment Technology Conor Pacific Group Inc.; BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2008/04/10 Corporation Conor Pacific InvFund Environmental Technologies Inc.

Precision Drilling Corporation AB Non------InvFund

Predictiv AI Inc. Internet of Things Inc.; HTN ON Non------Inc. InvFund

Predictive Health Analytics Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/22 InvFund

Predictmedix Inc. Cultivar Holdings Inc. ON Non------InvFund

Preferred Dental Technologies Inc. Whitewater Capital Corp. MB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/01/31 InvFund

PreMD Inc. IMI International Medical ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2009/04/08 Innovations Inc.; IMI InvFund Diagnatech Inc.

Premier Diversified Holdings Inc. Premier Diagnostic Health BC Non------Services Inc. InvFund

Premier Gold Mines Limited ON Non------InvFund

Premier Health of America Inc. Physinorth Acquisition QC Non------Corporation Inc. InvFund

Premium Brands Holdings Corporation Thallion Pharmaceuticals BC Non------Inc. InvFund

Premium Equity Corporation -- Non- -- -- Yes/Oui 1986/06/26 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)

Premium Exploration Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/12 InvFund

Premium Income Corporation ON InvFund ------

Premium Letney Canada Inc. ON Non- Yes/Oui 1a, 1b, 1d Yes/Oui 1989/11/08 InvFund

Premium Springwater & Juice Company -- Non- -- -- Yes/Oui 1996/01/09 Ltd. InvFund

Prenor Financial Ltd. -- Non- -- -- Yes/Oui 1994/05/24 InvFund

Preo Software Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2012/12/06 InvFund

Prestige Telecom Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, Yes/Oui 2011/10/18 InvFund 2a, 3

Pretium Resources Inc. BC Non------InvFund

PreveCeutical Medical Inc. Carrara Exploration Corp. BC Non------InvFund

Primaria Capital (Canada) Ltd. 0922518 B.C. Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/02/03 InvFund

Prime City One Capital Corp. Scorpio Capital Corp. ON Non------InvFund

Prime Dividend Corp. ON InvFund ------

Prime Meridian Resources Corp. BC Non------InvFund

Prime Minerals Corp. Wedona Uranium Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/09/18 InvFund

Primeline Energy Holdings Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/09/04 InvFund

Primenet Communications Inc. Medican Pharma -- Non- Yes/Oui 1a, 1b Yes/Oui 2001/10/26 International Inc. InvFund

Primerica Balanced Yield Fund Primerica Conservative ON InvFund ------Growth Fund; Primerica Canadian Balanced Portfolio Fund

Primerica Canadian Balanced Growth Fund Primerica Growth Fund; ON InvFund ------Primerica Canadian High Growth Portfolio Fund

Primerica Canadian Money Market Fund Primerica Canadian Money ON InvFund ------Market Portfolio Fund

Primerica Global Balanced Growth Fund Primerica Moderate Growth ON InvFund ------Fund; Primerica Canadian Growth Portfolio Fund

Primerica Global Equity Fund Primerica Aggressive ON InvFund ------Growth Fund; Primerica Canadian Aggressive Growth Portfolio Fund

Primerica Income Fund Primerica Canadian ON InvFund ------Income Portfolio Fund

Primo Nutraceuticals Inc. Bougainville Ventures Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/12/04 InvFund

Primo Water Corporation Cott Corporation ON Non------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) Primrose Technology Corporation -- Non- -- -- Yes/Oui 1987/06/30 InvFund

Printera Corporation PMG Financial Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/09/11 InvFund

Prismo Metals Inc. BC Non------InvFund

Priszm Income Fund Priszm Canadian Income ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/01/24 Fund InvFund

Prize Puzzle Inc. -- Non- -- -- Yes/Oui 1984/04/11 InvFund

Pro-Trans Ventures Inc. CPVC Bromont Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/09/10 InvFund

Pro Fundamental Balanced Index Fund ON InvFund Yes/Oui 1a, 1c, 1d -- --

Pro Fundamental Bond Index Fund ON InvFund Yes/Oui 1a, 1c, 1d -- --

Pro Minerals Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/09/12 InvFund

Pro Money Market Fund ON InvFund Yes/Oui 1a, 1c, 1d -- --

Pro Real Estate Investment Trust QC Non------InvFund

Probe Exploration Inc. AB Non- -- -- Yes/Oui 2000/07/17 InvFund

Probe Metals Inc. ON Non------InvFund

Probity Mining 2020-II Short Duration BC InvFund ------Flow-Through Limited Partnership - British Columbia Class

Probity Mining 2020-II Short Duration BC InvFund ------Flow-Through Limited Partnership - National Class

Probity Mining 2020-II Short Duration BC InvFund ------Flow-Through Limited Partnership - Quebec Class

Probity Mining 2020 Short Duration BC InvFund ------Flow-Through Limited Partnership - National Class

Probity Mining 2020 Short Duration BC InvFund ------Flow-Through Limited Partnership  British Columbia Class

Probity Mining 2020 Short Duration BC InvFund ------Flow-Through Limited Partnership  Quebec Class

Probity Mining 2021 Short Duration BC InvFund ------Flow-Through Limited Partnership - British Columbia Class

Probity Mining 2021 Short Duration BC InvFund ------Flow-Through Limited Partnership - National Class

Probity Mining 2021 Short Duration BC InvFund ------Flow-Through Limited Partnership - Quebec Class

Process Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/05/07 InvFund

Prodigy Ventures Inc. 71 Capital Corp. ON Non------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)

Production Enhancement Group, Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/12/10 InvFund

Profound Medical Corp. Mira IV Acquisition Corp. ON Non------InvFund

Progressive Planet Solutions Inc. Ashburton Ventures Inc. BC Non------InvFund

Project One Resources Ltd. BC Non------InvFund

Projectus Development Fund Incorporated ON InvFund -- -- Yes/Oui 1991/07/24

Promax Energy Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/03/28 InvFund 1e, 3

ProMIS Neurosciences Inc. Amorfix Life Sciences Ltd. ON Non------InvFund

Pronto Explorations Limited -- Non- -- -- Yes/Oui 1991/07/26 InvFund

ProntoForms Corporation TrueContext Mobile ON Non------Solutions Corporation; InvFund Carlaw Capital ll Corp.

Proper Channels -- Non- -- -- Yes/Oui 1982/09/10 InvFund

Prophecy Potash Corp. BC Non- Yes/Oui 3 -- -- InvFund

ProSep Inc. TORR Canada Inc.; QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2013/11/26 Environmental Applied InvFund Research Technology House - Earth (Canada) Corporation

Prospect Park Capital Corp. ON Non------InvFund

Prospect Ridge Resources Corp. BC Non------InvFund

Prosper Gold Corp. Lander Energy Corporation BC Non------InvFund

Protech Home Medical Corp. BC Non------InvFund

Proteo Technology Corporation -- Non- -- -- Yes/Oui 1992/05/12 InvFund

Provenance Gold Corp. BC Non------InvFund

Providence Gold Mines Inc. Red Hut Metals Inc. BC Non------InvFund

Province of Manitoba MB Non------InvFund

Prudential-Bache Self-Directed Education ON InvFund ------Savings Plan

Prudential Place Apartment Project -- Non- -- -- Yes/Oui 1990/06/20 InvFund

PsyBio Therapeutics Corp. Leo Acquisitions Corp. BC Non------InvFund

Psyched Wellness Ltd. Duncan Park Holdings ON Non------Corporation 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) Psyence Group Inc. Cardinal Capital Partners ON Non------Inc.; GDV Resources Inc.; InvFund Global Development Resources, Inc.; Eli Eco Logic Inc.

PUDO Inc. Grandview Gold Inc.; ON Non------Consolidated Grandview InvFund Inc.

Pulse Oil Corp. Wolfpack Capital Corp. BC Non------InvFund

Pulse Seismic Inc. Pulse Data Inc.; Augusta AB Non------Gold Corporation; Golden InvFund Bear Minerals Inc.

Puma Exploration Inc. QC Non------InvFund

Pure Energy Resources Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 1987/04/01 InvFund

Pure Energy Visions Corporation ON Non- Yes/Oui 1a, 1c, 1e, 1l, 3 Yes/Oui 2012/12/06 InvFund

Pure Extracts Technologies Corp. BC Non------InvFund

Pure Global Cannabis Inc. Royal Sapphire Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/07/08 InvFund

Pure Hydrogen Corporation Limited Strata-X Energy Ltd.; AB Non------Strata-X Ltd.; Ozcapital InvFund Ventures Inc.

PureK Holdings Corp. AF1 Capital Corp. BC Non------InvFund

Purepoint Uranium Group Inc. Casablanca Capital Corp. ON Non------InvFund

Purpose Behavioural Opportunities Fund Redwood Behavioral ON InvFund ------Opportunities Fund; First Avenue Dividend Growers Class; Redwood Global Innovations Class

Purpose Best Ideas Fund ON InvFund ------

Purpose Bitcoin ETF ON InvFund ------

Purpose Canadian Equity Growth Fund Redwood Equity Growth ON InvFund ------Fund; Redwood Equity Growth Class; Ark StoneCastle Stable Growth Class

Purpose Canadian Financial Income Fund ON InvFund ------

Purpose Canadian Income Growth Fund Redwood Income Growth ON InvFund ------Fund; Redwood Income Growth Class; Ark StoneCastle Stable Income Class

Purpose Canadian Preferred Share Fund Redwood Canadian ON InvFund ------Preferred Share Fund; Redwood Floating Rate Preferred Fund; Redwood Diversified Income Fund

Purpose Cash Management Portfolio ON InvFund ------

Purpose Conservative Income Fund ON InvFund ------

Purpose Core Dividend Fund ON 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)

Purpose Core Equity Income Fund Redwood Core Income ON InvFund ------Equity Fund; Connected Wealth Core Income Class

Purpose Credit Opportunities Fund ON InvFund ------

Purpose Diversified Real Asset Fund ON InvFund ------

Purpose Emerging Markets Dividend Fund Redwood Emerging ON InvFund ------Markets Dividend Fund; Redwood Emerging Markets Dividend Income Fund

Purpose Enhanced Dividend Fund ON InvFund ------

Purpose Enhanced Premium Yield Fund Purpose MLP & ON InvFund ------Infrastructure Income Fund; Redwood MLP & Infrastructure Income Fund; LOGiQ MLP and Infrastructure Income Class; Front Street MLP and Infrastructure Income Class

Purpose Floating Rate Income Fund ON InvFund ------

Purpose Global Bond Class Purpose Managed Duration ON InvFund ------Investment Grade Bond Fund; Purpose Strategic Investment Grade Bond Fund; Redwood Tactical Credit Fund; LOGiQ Tactical Bond Class; Front Street Tactical Bond Class

Purpose Global Bond Fund Purpose Tactical ON InvFund ------Investment Grade Bond Fund

Purpose Global Innovators Fund Redwood Global Innovators ON InvFund ------Fund; Redwood Global Opportunities Fund; LOGiQ Global Opportunities Class; Front Street Global Opportunities Class; Front Street Global Opportunities Fund

Purpose Global Resource Fund Redwood Resource Growth ON InvFund ------and Income Fund; LOGiQ Resource Growth and Income Class; Front Street Resource Growth and Income Class; Front Street Resource Class; Front Street Resource Fund; Front Street Resource Fund Class; Front Street Resource Fund

Purpose Gold Bullion Fund ON InvFund ------

Purpose High Interest Savings ETF ON InvFund ------

Purpose International Dividend Fund ON InvFund ------

Purpose International Tactical Hedged ON InvFund ------Equity Fund

Purpose Marijuana Opportunities Fund Marijuana Opportunities ON InvFund ------Fund; Redwood Infrastructure Income

Purpose Money Market Fund ON 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)

Purpose Monthly Income Fund ON InvFund ------

Purpose Multi-Asset Income Fund Redwood High Income ON InvFund ------Fund; LOGiQ High Income Fund; Aston Hill High Income Fund; Aston Hill North American Dividend Fund

Purpose Multi-Strategy Market Neutral Fund ON InvFund ------

Purpose Premium Money Market Fund ON InvFund ------

Purpose Premium Yield Fund ON InvFund ------

Purpose Real Estate Income Fund Purpose Duration Hedged ON InvFund ------Real Estate Fund

Purpose Silver Bullion Fund Silver Bullion Trust ON InvFund ------

Purpose Special Opportunities Fund Redwood Special ON InvFund ------Opportunities Fund; LOGiQ Special Opportunities Class; Front Street Special Opportunities Class; Front Street Special Opportunities Canadian Class; Front Street Special Opportunities Canadian Fund; Special Opportunities Fund Ltd.

Purpose Strategic Yield Fund Redwood Strategic Yield ON InvFund ------Fund; LOGiQ Strategic Yield Fund; Aston Hill Strategic Yield Fund; Aston Hill Global Convertible Bond Fund; Lazard Global Convertible Bond Fund

Purpose Structured Equity Growth Fund ON InvFund ------

Purpose Structured Equity Yield Portfolio ON InvFund ------

Purpose Structured Equity Yield Portfolio II ON InvFund ------

Purpose Tactical Asset Allocation Fund Redwood Tactical Asset ON InvFund ------Allocation Fund; Connected Wealth Tactical Class

Purpose Tactical Hedged Equity Fund ON InvFund ------

Purpose Total Return Bond Fund ON InvFund ------

Purpose US Cash Fund Purpose US Cash ETF ON InvFund ------

Purpose US Dividend Fund ON InvFund ------

Purpose U.S. Preferred Share Fund Redwood U.S. Preferred ON InvFund ------Share Fund

Purthanol Resources Limited Global Biotech Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/04/12 InvFund

Pushfor Investments Inc. JG Wealth Inc.; JG Wealth BC Non- Yes/Oui 1a, 1c, 1e, 3 -- -- Management Corporation InvFund

Putnam - IG High Yield Income Pool MB InvFund ------

Putnam Health Sciences Trust for Canada -- Non- -- -- Yes/Oui 1989/10/19 InvFund

Pyramid Petroleum Inc. AB Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2009/06/24 InvFund

Pyrogenesis Canada Inc. QC Non------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) Q

Q-Entertainment Inc. Q-Zar Inc. -- Non- Yes/Oui 1a, 1d Yes/Oui 1998/01/27 InvFund

Q2 Gold Resources Inc. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2011/01/14 InvFund

QC Copper and Gold Inc. PowerOre Inc. BC Non------InvFund

QcX Gold Corp. First Mexican Gold Corp.; BC Non------Auric Development InvFund Corporation

QMX Gold Corporation Alexis Minerals Corporation ON Non------InvFund

Qnetix Inc. Birka Capital Corp. -- Non- Yes/Oui 1a Yes/Oui 2003/06/26 InvFund

QSOLAR Limited AB Non- -- -- Yes/Oui 2015/04/20 InvFund

QSound Labs, Inc. AB Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2009/04/13 InvFund

Quadrant Film Investors 1978-A -- Non- -- -- Yes/Oui 1982/09/30 InvFund

Quadrille Retirement Homes Limited -- Non- -- -- Yes/Oui 1989/09/14 Partnership No. 1 InvFund

Quality Dino Entertainment Ltd. -- Non- -- -- Yes/Oui 1998/06/23 InvFund

Quanta Resources Inc. T S Telecom Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/08/12 InvFund

Quantified Signal Imaging Inc. -- Non- -- -- Yes/Oui 1992/01/28 InvFund

Quantitative Alpha Trading Inc. RTN Stealth Software Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/02 Arris Resources Inc.; InvFund Bassett Ventures Inc.; AssistGlobal Technologies Corp.

Quantum Battery Metals Corp Quantum Cobalt Corp; BC Non------Bravura Ventures Corp. InvFund

Quantum Numbers Corp. Active Growth Capital Inc. ON Non------InvFund

Quarterhill Inc. Wi-LAN Inc. ON Non------InvFund

Quartz Crystals Mines Limited -- Non- -- -- Yes/Oui 1991/06/26 InvFund

Quartz Mountain Resources Ltd. Quartz Mountain Gold Corp. BC Non------InvFund

Quebecor Inc. QC Non------InvFund

Queen's Road Capital Investment Ltd. QUEEN'S ROAD CAPITAL BC Non------LTD.; Lithion Energy Corp.; InvFund Barisan Gold Corporation

Queen Street Camera Inc. -- Non- -- -- Yes/Oui 1990/01/04 InvFund

Queensway Financial Holdings Limited -- Non- -- -- Yes/Oui 2001/05/30 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) Quest 84 Energy Program -- Non- -- -- Yes/Oui 1985/07/10 InvFund

Quest 85 Energy Program Limited -- Non- -- -- Yes/Oui 1986/02/05 Partnership InvFund

Questerre Energy Corporation AB Non------InvFund

Questfire Energy Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2017/12/05 InvFund

Quinsam Capital Corporation ON Non------InvFund

Quinte Bay No. 3 Limited Partnership -- Non- -- -- Yes/Oui 1999/10/06 InvFund

Quisitive Technology Solutions, Inc. Nebo Capital Corp. ON Non------InvFund

Quizam Media Corp. BC Non------InvFund

Quorum Expansion Capital Fund Inc. ON InvFund Yes/Oui 1a, 1b, 1c, 3 -- --

Qwick Media Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/05/07 InvFund

QYOU Media Inc. ON Non------InvFund

QZZ Inc. -- Non- -- -- Yes/Oui 1988/01/13 InvFund

Q.E.X. Resources Inc. -- Non- -- -- Yes/Oui 1998/07/07 InvFund

Q/Media Services Corporation Q/Media Software -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/01/13 Corporation InvFund R

Ra Minerals Inc. (prev. Ra Resources Ltd.) Ra Resources Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/12/06 InvFund

Racad Technologies Ltd. Cyber Digital Video ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/08/12 Services Ltd. InvFund

Radial Research Corp. BC Non------InvFund

Radiant Energy Corporation Northern Atlas Inc. ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2013/03/08 InvFund

Radient Technologies Inc. AB Non------InvFund

RADIKO HOLDINGS CORP. International Cannabrands AB Non------Inc.; GEA TECHNOLOGIES InvFund LTD.

Raffles Financial Group Limited Explorex Resources Inc. BC Non------InvFund

Rage Energy Ltd. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2008/12/09 InvFund

Railtown AI Technologies Inc. Railtown Capital Corp. BC Non------InvFund

Rain City Resources Inc. BC Non------InvFund

Raindrop Ventures Inc. BC Non------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) Rainy Hollow Ventures Inc. BC Non------InvFund

Rainy Mountain Royalty Corp. East West Resource BC Non------Corporation InvFund

Ram Petroleums Limited -- Non- Yes/Oui 1a, 1d Yes/Oui 2000/07/21 InvFund

Rambler Metals and Mining plc AB Non------InvFund

Rambler Oil Company -- Non- -- -- Yes/Oui 1985/06/19 InvFund

RAMM Pharma Corp. ON Non------InvFund

Range Energy Resources Inc. Hawkstone Energy Corp.; BC Non------Range Energy Resources InvFund Inc.; Range Metals Inc.

Range Gold Corp. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/05/13 InvFund

Ranney Gold Mines Limited -- Non- -- -- Yes/Oui 1989/06/13 InvFund

Rapid Dose Therapeutics Corp. ACME Resources Corp. ON Non------InvFund

Rapid Solutions Corporation AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/09/14 InvFund

Rare Element Resources Ltd. BC Non------InvFund

Ravencrest Condominium Hotel Limited -- Non- -- -- Yes/Oui 1991/10/21 Partnership InvFund

Ravenquest Biomed Inc. Ravencrest Resources Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/06/03 InvFund

Ravensource Fund First Asia Income Fund, The ON InvFund ------

Rayonier Advanced Materials Inc. QC Non------InvFund

Razor Energy Corp. Vector Resources Inc. AB Non------InvFund

Razore Rock Resources Inc. Edda Resources Inc. ON Non------InvFund

RB Energy Inc. Canada Lithium Corp.; BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/15 Black Pearl Minerals InvFund Consolidated Inc.; Black Pearl Minerals Inc.

RBC 1-5 Year Laddered Canadian Bond ON InvFund ------ETF

RBC 1-5 Year Laddered Corporate Bond ON InvFund ------ETF

RBC Asia Pacific ex-Japan Equity Fund ON InvFund ------

RBC Asian Equity Fund RBC Asian Growth Fund; ON InvFund ------Royal Asian Growth Fund

RBC Balanced Fund Royal Balanced Fund ON InvFund ------

RBC Balanced Growth & Income Class ON InvFund ------

RBC Balanced Growth & Income Fund ON InvFund ------

RBC BlueBay Global Diversified Income ON InvFund ------(CAD Hedged) ETF 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)

RBC Bond Fund Royal Bond Fund; Royal ON InvFund ------Trust Bond Fund

RBC Canadian Bank Yield Index ETF ON InvFund ------

RBC Canadian Bond Index Fund RBC Advisor Canadian ON InvFund ------Bond Fund; DS Premier Canadian Bond Portfolio

RBC Canadian Discount Bond ETF ON InvFund ------

RBC Canadian Dividend Class ON InvFund ------

RBC Canadian Dividend Fund RBC Dividend Fund; Royal ON InvFund ------Dividend Fund; Royfund Dividend Fund

RBC Canadian Equity Class ON InvFund ------

RBC Canadian Equity Fund Royal Canadian Equity ON InvFund ------Fund; Royfund Canadian Equity Fund

RBC Canadian Equity Income Class ON InvFund ------

RBC Canadian Equity Income Fund RBC Canadian Diversified ON InvFund ------Income Trust Fund

RBC Canadian Government Bond Index RBC Canadian Bond Index ON InvFund ------Fund Fund; Royal Canadian Bond Index Fund

RBC Canadian Index Fund Royal Canadian Index Fund ON InvFund ------

RBC Canadian Mid-Cap Equity Class ON InvFund ------

RBC Canadian Money Market Fund Royal Canadian Money ON InvFund ------Market Fund; Royfund Canadian Money Market Fund

RBC Canadian Preferred Share ETF ON InvFund ------

RBC Canadian Short-Term Income Fund Royal Canadian Short-Term ON InvFund ------Income Fund; Royal Mortgage Fund; Royfund Mortgage Fund

RBC Canadian Small & Mid-Cap ON InvFund ------Resources Fund

RBC Canadian T-Bill Fund Royal Canadian T-Bill Fund; ON InvFund ------Royfund Canadian T-Bill Fund

RBC China Equity Fund ON InvFund ------

RBC Conservative Bond Pool ON InvFund ------

RBC Conservative Growth & Income Fund ON InvFund ------

RBC Core Bond Pool ON InvFund ------

RBC Core Plus Bond Pool ON InvFund ------

RBC DS Education Trust ON Non------InvFund

RBC Emerging Markets Balanced Fund ON InvFund ------

RBC Emerging Markets Bond Fund ON InvFund ------

RBC Emerging Markets Bond Fund (CAD ON InvFund ------Hedged)

RBC Emerging Markets Dividend Fund ON InvFund ------

RBC Emerging Markets Equity Class ON 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)

RBC Emerging Markets Equity Focus Fund ON InvFund ------

RBC Emerging Markets Equity Fund RBC Emerging Markets ON InvFund ------Fund

RBC Emerging Markets Foreign Exchange ON InvFund ------Fund

RBC Emerging Markets Multi-Strategy Equity ON InvFund ------Fund

RBC Emerging Markets Small-Cap Equity ON InvFund ------Fund

RBC European Dividend Fund ON InvFund ------

RBC European Equity Class ON InvFund ------

RBC European Equity Fund Royal European Equity ON InvFund ------Fund; Royal European Growth Fund

RBC European Mid-Cap Equity Fund ON InvFund ------

RBC Global All-Equity Portfolio ON InvFund ------

RBC Global Balanced Fund RBC Balanced Growth ON InvFund ------Fund; Royal Balanced Growth Fund

RBC Global Balanced Portfolio ON InvFund ------

RBC Global Bond Fund Royal Global Bond Fund; ON InvFund ------Royal Trust International Bond Fund

RBC Global Bond & Currency Fund ON InvFund ------

RBC Global Conservative Portfolio ON InvFund ------

RBC Global Corporate Bond Fund ON InvFund ------

RBC Global Dividend Growth Currency ON InvFund ------Neutral Fund

RBC Global Dividend Growth Fund RBC Global Titans Fund; ON InvFund ------Royal Global Titans Fund

RBC Global Energy Fund RBC Energy Fund; Royal ON InvFund ------Energy Fund

RBC Global Equity Class ON InvFund ------

RBC Global Equity Focus Currency Neutral ON InvFund ------Fund

RBC Global Equity Focus Fund ON InvFund ------

RBC Global Equity Fund ON InvFund ------

RBC Global Growth Portfolio ON InvFund ------

RBC Global Growth & Income Fund ON InvFund ------

RBC Global High Yield Bond Fund RBC Global High Yield ON InvFund ------Fund

RBC Global Precious Metals Fund RBC Precious Metals Fund; ON InvFund ------Royal Precious Metals Fund

RBC Global Resources Class ON InvFund ------

RBC Global Resources Fund RBC Global Resources ON InvFund ------Sector Fund; Royal Global Resources Sector Fund

RBC Global Technology Fund RBC Global Technology ON InvFund ------Sector Fund; Royal e-Commerce Fund 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)

RBC Global Very Conservative Portfolio ON InvFund ------

RBC High Yield Bond Fund ON InvFund ------

RBC International Dividend Growth Fund RBC DS International ON InvFund ------Focus Fund

RBC International Equity Class ON InvFund ------

RBC International Equity Currency Neutral ON InvFund ------Fund

RBC International Equity Fund Royal International Equity ON InvFund ------Fund

RBC International Index Currency Neutral RBC International RSP ON InvFund ------Fund Index Fund; Royal International RSP Index Fund

RBC Japanese Equity Fund ON InvFund ------

RBC Life Science and Technology Fund Royal Life Science and ON InvFund ------Technology Fund

RBC Managed Payout Solution RBC Cash Flow Portfolio ON InvFund ------

RBC Managed Payout Solution - Enhanced RBC Enhanced Cash Flow ON InvFund ------Portfolio

RBC Managed Payout Solution - Enhanced RBC Tax Managed Return ON InvFund ------Plus Fund

RBC Monthly Income Bond Fund ON InvFund ------

RBC Monthly Income Fund Royal Monthly Income Fund ON InvFund ------

RBC North American Growth Fund RBC Canadian Growth ON InvFund ------Fund; Royal Canadian Growth Fund

RBC North American Value Class ON InvFund ------

RBC North American Value Fund RBC Canadian Value Fund; ON InvFund ------Royal Canadian Value Fund

RBC O'Shaughnessy All-Canadian Equity ON InvFund ------Fund

RBC O'Shaughnessy Canadian Equity Fund O'Shaughnessy Canadian ON InvFund ------Equity Fund; Royal Canadian Strategic Index Fund

RBC O'Shaughnessy Global Equity Fund ON InvFund ------

RBC O'Shaughnessy International Equity ON InvFund ------Fund

RBC O'Shaughnessy U.S. Growth Fund O'Shaughnessy U.S. ON InvFund ------Growth Fund; Royal U.S. Growth Strategic Index Fund

RBC O'Shaughnessy U.S. Growth Fund II ON InvFund ------

RBC O'Shaughnessy U.S. Value Fund O'Shaughnessy U.S. Value ON InvFund ------Fund; Royal U.S. Value Strategic Index Fund

RBC O'Shaughnessy U.S. Value Fund ON InvFund ------(Unhedged)

RBC PH&N Short Term Canadian Bond ETF ON InvFund ------

RBC Premium Money Market Fund Royal Premium Money ON InvFund ------Market Fund

RBC Premium $U.S. Money Market Fund ON 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)

RBC Private Canadian Corporate Bond Pool RBC Private Corporate ON InvFund ------Bond Pool

RBC Private Canadian Dividend Pool RBC Private Dividend Pool ON InvFund ------

RBC Private Canadian Equity Pool ON InvFund ------

RBC Private EAFE Equity Pool ON InvFund ------

RBC Private Fundamental Canadian Equity RBC Private Canadian ON InvFund ------Pool Growth and Income Equity Pool

RBC Private Income Pool ON InvFund ------

RBC Private Overseas Equity Pool ON InvFund ------

RBC Private Short-Term Income Pool ON InvFund ------

RBC Private U.S. Growth Equity Pool ON InvFund ------

RBC Private U.S. Large-Cap Core Equity RBC Private U.S. Large Cap ON InvFund ------Currency Neutral Pool Equity Currency Neutral Pool

RBC Private U.S. Large-Cap Core Equity RBC Private U.S. Large Cap ON InvFund ------Pool Equity Pool

RBC Private U.S. Large-Cap Value Equity RBC Private U.S. Value ON InvFund ------Currency Neutral Pool Equity Currency Neutral Pool

RBC Private U.S. Large-Cap Value Equity RBC Private U.S. Value ON InvFund ------Pool Equity Pool

RBC Private U.S. Small-Cap Equity Pool ON InvFund ------

RBC Private World Equity Pool ON InvFund ------

RBC Quant Canadian Dividend Leaders ON InvFund ------ETF

RBC Quant Canadian Equity Leaders ETF ON InvFund ------

RBC Quant EAFE Dividend Leaders ETF ON InvFund ------

RBC Quant EAFE Dividend Leaders (CAD ON InvFund ------Hedged) ETF

RBC Quant EAFE Equity Leaders ETF ON InvFund ------

RBC Quant EAFE Equity Leaders (CAD ON InvFund ------Hedged) ETF

RBC Quant Emerging Markets Dividend ON InvFund ------Leaders ETF

RBC Quant Emerging Markets Equity ON InvFund ------Leaders ETF

RBC Quant European Dividend Leaders ON InvFund ------ETF

RBC Quant European Dividend Leaders ON InvFund ------(CAD Hedged) ETF

RBC Quant U.S. Dividend Leaders ETF ON InvFund ------

RBC Quant U.S. Dividend Leaders (CAD ON InvFund ------Hedged) ETF

RBC Quant U.S. Equity Leaders ETF ON InvFund ------

RBC Quant U.S. Equity Leaders (CAD ON InvFund ------Hedged) ETF

RBC QUBE All Country World Equity Fund ON InvFund ------

RBC QUBE Canadian Equity Fund ON 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)

RBC QUBE Global Equity Fund ON InvFund ------

RBC QUBE Low Volatility All Country World ON InvFund ------Equity Fund

RBC QUBE Low Volatility Canadian Equity ON InvFund ------Class

RBC QUBE Low Volatility Canadian Equity ON InvFund ------Fund

RBC QUBE Low Volatility Emerging Markets ON InvFund ------Equity Fund

RBC QUBE Low Volatility Global Equity ON InvFund ------Class

RBC QUBE Low Volatility Global Equity ON InvFund ------Currency Neutral Fund

RBC QUBE Low Volatility Global Equity ON InvFund ------Fund

RBC QUBE Low Volatility U.S. Equity Class ON InvFund ------

RBC QUBE Low Volatility U.S. Equity ON InvFund ------Currency Neutral Fund

RBC QUBE Low Volatility U.S. Equity Fund ON InvFund ------

RBC QUBE U.S. Equity Fund ON InvFund ------

RBC Retirement 2020 Portfolio ON InvFund ------

RBC Retirement 2025 Portfolio ON InvFund ------

RBC Retirement 2030 Portfolio QC InvFund ------

RBC Retirement 2035 Portfolio ON InvFund ------

RBC Retirement 2040 Portfolio QC InvFund ------

RBC Retirement 2045 Portfolio ON InvFund ------

RBC Retirement 2050 Portfolio ON InvFund ------

RBC Retirement 2055 Portfolio ON InvFund ------

RBC Retirement 2060 Portfolio ON InvFund ------

RBC Retirement Income Solution ON InvFund ------

RBC Select Aggressive Growth Portfolio ON InvFund ------

RBC Select Balanced Portfolio Royal Select Balanced ON InvFund ------Portfolio; Royal Trust Advantage Balanced Fund

RBC Select Choices Aggressive Growth Royal Select Choices ON InvFund ------Portfolio Aggressive Growth Portfolio

RBC Select Choices Balanced Portfolio Royal Select Choices ON InvFund ------Balanced Portfolio

RBC Select Choices Conservative Portfolio Royal Select Choices ON InvFund ------Conservative Portfolio; Royal Select Choices Income Portfolio

RBC Select Choices Growth Portfolio Royal Select Choices ON InvFund ------Growth Portfolio

RBC Select Conservative Portfolio Royal Select Conservative ON InvFund ------Portfolio; Royal Select Income Portfolio; Royal Trust Advantage Income Fund 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) RBC Select Growth Portfolio Royal Select Growth ON InvFund ------Portfolio; Royal Trust Advantage Growth Fund

RBC Select Very Conservative Portfolio ON InvFund ------

RBC Short-Term Global Bond Fund ON InvFund ------

RBC Short Term Income Class ON InvFund ------

RBC Short Term U.S. Corporate Bond ETF ON InvFund ------

RBC Target 2021 Corporate Bond Index ON InvFund ------ETF

RBC Target 2022 Corporate Bond Index ON InvFund ------ETF

RBC Target 2023 Corporate Bond Index ON InvFund ------ETF

RBC Target 2024 Corporate Bond Index ON InvFund ------ETF

RBC Target 2025 Corporate Bond Index ON InvFund ------ETF

RBC Target 2025 Education Fund ON InvFund ------

RBC Target 2026 Corporate Bond Index ON InvFund ------ETF

RBC Target 2027 Corporate Bond Index ON InvFund ------ETF

RBC Target 2030 Education Fund ON InvFund ------

RBC Target 2035 Education Fund ON InvFund ------

RBC Trend Canadian Equity Fund ON InvFund ------

RBC U.S. Banks Yield Index ETF ON InvFund ------

RBC U.S. Banks Yield (CAD Hedged) Index ON InvFund ------ETF

RBC U.S. Dividend Class ON InvFund ------

RBC U.S. Dividend Currency Neutral Fund ON InvFund ------

RBC U.S. Dividend Fund RBC North American ON InvFund ------Dividend Fund; RBC Blue Chip Canadian Equity Fund; RBC Advisor Blue Chip Canadian Equity Fund

RBC U.S. Equity Class ON InvFund ------

RBC U.S. Equity Currency Neutral Fund ON InvFund ------

RBC U.S. Equity Fund Royal U.S. Equity Fund; ON InvFund ------Royal Trust American Stock Fund

RBC U.S. Equity Value Class ON InvFund ------

RBC U.S. Equity Value Fund ON InvFund ------

RBC U.S. Index Currency Neutral Fund RBC U.S. RSP Index Fund; ON InvFund ------Royal U.S. RSP Index Fund

RBC U.S. Index Fund Royal U.S. Index Fund ON InvFund ------

RBC U.S. Mid-Cap Growth Equity Currency RBC U.S. Mid-Cap Equity ON InvFund ------Neutral Fund Currency Neutral Fund 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) RBC U.S. Mid-Cap Growth Equity Fund RBC U.S. Mid-Cap Equity ON InvFund ------Fund; Royal U.S. Mid-Cap Equity Fund; Zweig Strategic Growth Fund

RBC U.S. Mid-Cap Value Equity Class ON InvFund ------

RBC U.S. Mid-Cap Value Equity Fund ON InvFund ------

RBC U.S. Monthly Income Fund RBC $U.S. Income Fund ON InvFund ------

RBC U.S. Small-Cap Core Equity Class ON InvFund ------

RBC U.S. Small-Cap Core Equity Fund ON InvFund ------

RBC U.S. Small-Cap Value Equity Fund ON InvFund ------

RBC Vision Balanced Fund RBC Jantzi Balanced Fund ON InvFund ------

RBC Vision Bond Fund Phillips, Hager & North ON InvFund ------Community Values Bond Fund

RBC Vision Canadian Equity Fund RBC Jantzi Canadian Equity ON InvFund ------Fund

RBC Vision Fossil Fuel Free Balanced Fund ON InvFund ------

RBC Vision Fossil Fuel Free Bond Fund ON InvFund ------

RBC Vision Fossil Fuel Free Emerging ON InvFund ------Markets Equity Fund

RBC Vision Fossil Fuel Free Global Equity ON InvFund ------Fund

RBC Vision Fossil Fuel Free Short-Term ON InvFund ------Bond Fund

RBC Vision Global Equity Fund RBC Jantzi Global Equity ON InvFund ------Fund

RBC Vision QUBE Fossil Fuel Free Low ON InvFund ------Volatility Canadian Equity Fund

RBC Vision Women's Leadership MSCI ON InvFund ------Canada Index ETF

RBC $U.S. Core Bond Pool ON InvFund ------

RBC $U.S. Core Plus Bond Pool ON InvFund ------

RBC $U.S. Global Balanced Portfolio ON InvFund ------

RBC $U.S. Global Bond Fund ON InvFund ------

RBC $U.S. High Yield Bond Fund ON InvFund ------

RBC $U.S. Investment Grade Corporate ON InvFund ------Bond Fund

RBC $U.S. Money Market Fund Royal $U.S. Money Market ON InvFund ------Fund; Royal Trust $U.S. Money Market Fund

RBC $U.S. Short-Term Corporate Bond ON InvFund ------Fund

RBC $U.S. Short-Term Government Bond ON InvFund ------Fund

RBC $U.S. Short Term Income Class ON InvFund ------

RBC $U.S. Strategic Income Bond Fund ON InvFund ------

RBI Ventures Ltd. Russell Breweries Inc. BC Non------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) RCI Corporation ON Non- -- -- Yes/Oui 1998/07/31 InvFund

RDX Technologies Corporation Ridgeline Energy Services AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/08/12 Inc.; Gavwest Resources InvFund Ltd.

Rea Gold Corporation -- Non- -- -- Yes/Oui 1998/05/26 InvFund

Ready Set Gold Corp. BC Non------InvFund

Real del Monte Mining Corporation Consolidated Nevada -- Non- -- -- Yes/Oui 1999/07/16 Goldfields Corporation InvFund

Real Estate Investment Corporate Class ON InvFund ------

Real Estate Investment Pool Assante Real Estate ON InvFund ------Investment Pool; Optima Strategy Real Estate Investment Pool; Optima Strategy International Fund - Real Estate Investment Section

Real Estate & E-Commerce Split Corp. AB InvFund ------

Real Matters Inc. ON Non------InvFund

Real Return Bond Fund ON InvFund ------

Real Securities Money Fund of Canada, The ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1985/07/31

Realcap Holdings Limited ON Non------InvFund

Realia Properties Inc. TitanStar Properties Inc.; BC Non------DPVC Inc. InvFund

REALnorth Opportunities Fund BC Non------InvFund

Rebel Capital 2.0 Corp. BC Non------InvFund

Receptagen Ltd. BC Non- -- -- Yes/Oui 1999/10/06 InvFund

Recipe Unlimited Corporation Cara Operations Limited ON Non------InvFund

Reconnaissance Energy Africa Ltd. BC Non------InvFund

Red Crescent Resources Limited Nico Mining Limited; ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2014/04/08 Sudbury Capital InvFund Corporation

Red Eagle Mining Corporation BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2018/11/20 InvFund

Red Lake and Sun Valley Resources Ltd. -- Non- -- -- Yes/Oui 1989/06/09 InvFund

Red Lake Gold Inc. Pivit Exploration Inc. BC Non------InvFund

Red Light Holland Corp. Added Capital Inc.; Northern ON Non------Financial Corporation; InvFund Digital Gem Corporation; American Gem Corporation

Red Oak Limited Partnership -- Non- -- -- Yes/Oui 1993/06/28 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) Red Pine Camp Inc. ON Non------InvFund

Red Pine Exploration Inc. VenCan Gold Corporation ON Non------InvFund

Red Rock Capital Corp. BC Non------InvFund

Red Tiger Mining Inc. Zaruma Resources Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/08 Laminco Resources Inc. InvFund

Red White & Bloom Brands Inc. Tidal Royalty Corp.; Tulloch BC Non------Resources Ltd.; Elkhorn InvFund Gold Mining Corporation; Treminco Resources Ltd.

Redcorp Ventures Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2009/10/02 InvFund 1e, 3

Redekop Properties Inc. -- Non- -- -- Yes/Oui 2001/07/06 InvFund

RediShred Capital Corp. ON Non------InvFund

Redlaw Industries Inc. -- Non- -- -- Yes/Oui 2000/06/01 InvFund

Redline Communications Group Inc. ON Non------InvFund

RedWater Energy Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/11 InvFund

Reef Resources Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2013/12/10 InvFund 1e, 3

Regal Consolidated Ventures Limited Regal Goldfields Limited -- Non- Yes/Oui 1a, 1d Yes/Oui 2001/05/31 InvFund

Regal Resources Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/12/17 InvFund

REGULUS RESOURCES INC. BC Non------InvFund

Reigate Resources (Canada) Ltd. -- Non- -- -- Yes/Oui 1990/03/02 InvFund

Reitmans (Canada) Limited QC Non------InvFund

Reko International Group Inc. ON Non------InvFund

Relax Development Corporation Ltd. -- Non- -- -- Yes/Oui 1992/03/24 InvFund

Relax Hotels Windsor 1988 Limited ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/13 Partnership InvFund

Relax Inns Burlington-Windsor Partnership -- Non- -- -- Yes/Oui 1993/07/23 InvFund

Relax Plaza Hotel - All Suites London -- Non- -- -- Yes/Oui 1993/07/23 Ontario InvFund

Relay Medical Corp. ChroMedX Corp.; ON Non------MONARCH ENERGY InvFund LIMITED

Relevance North American Equity Pool ON InvFund ------

Relevium Technologies Inc. BIOflex Technologies Inc.; QC Non- Yes/Oui 3 -- -- Ovid Capital Ventures Inc. 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) Rembrandt Gold Mines Ltd. -- Non- -- -- Yes/Oui 1998/11/11 InvFund

Remington Resources Inc. BC Non------InvFund

Remworks Inc. Price Manufacturing Inc. -- Non- -- -- Yes/Oui 2001/05/25 InvFund

Renabie Gold Trust, The -- Non- -- -- Yes/Oui 1994/06/06 InvFund

Renaissance Canadian All-Cap Equity Fund ON InvFund ------

Renaissance Canadian Balanced Fund Renaissance Canadian ON InvFund ------Balanced Value Fund; Merrill Lynch Canadian Balanced Value Fund; Merrill Lynch Canadian Balanced Fund

Renaissance Canadian Bond Fund Talvest Bond Fund ON InvFund ------

Renaissance Canadian Core Value Fund Merrill Lynch Canadian ON InvFund ------Core Value Fund; Merrill Lynch Canadian Large Cap Value Fund; Atlas Canadian Large Cap Value Fund; Atlas Canadian Value Fund

Renaissance Canadian Dividend Fund Renaissance Canadian ON InvFund ------Dividend Income Fund

Renaissance Canadian Equity Private Pool Frontiers Canadian Equity ON InvFund ------Pool; Merrill Lynch Frontiers Canadian Equity Pool

Renaissance Canadian Fixed Income Frontiers Canadian Fixed ON InvFund ------Private Pool Income Pool; Merrill Lynch Frontiers Canadian Fixed Income Pool

Renaissance Canadian Growth Fund Merrill Lynch Canadian ON InvFund ------Growth Fund; Atlas Canadian Large Cap Growth Fund

Renaissance Canadian Monthly Income Renaissance Canadian ON InvFund ------Fund Income Trust Fund; Merrill Lynch Canadian Income Trust Fund; Atlas Canadian Income Trust Fund

Renaissance Canadian Small-Cap Fund Merrill Lynch Canadian ON InvFund ------Small Cap Fund; Atlas Canadian Small Cap Growth Fund

Renaissance Canadian T-Bill Fund Merrill Lynch Canadian ON InvFund ------T-Bill Fund; Atlas Canadian T-Bill Fund

Renaissance China Plus Fund Talvest China Plus Fund; ON InvFund ------Talvest/Hyperion China Plus Fund

Renaissance Corporate Bond Fund Renaissance Corporate ON InvFund ------Bond Capital Yield Fund

Renaissance Diversified Income Fund Renaissance Canadian ON InvFund ------Income Trust Fund II; Renaissance Global Opportunities RSP Fund 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) Renaissance Emerging Markets Equity Frontiers Emerging Markets ON InvFund ------Private Pool Equity Pool; Merrill Lynch Frontiers Emerging Markets Equity Pool

Renaissance Emerging Markets Fund Renaissance Developing ON InvFund ------Capital Markets Fund; Merrill Lynch Developing Capital Markets Fund; Atlas International Emerging Markets Growth Fund

Renaissance Equity Income Private Pool Frontiers Equity Income ON InvFund ------Pool; Frontiers Canadian Monthly Income Pool

Renaissance Flexible Yield Fund ON InvFund ------

Renaissance Floating Rate Income Fund ON InvFund ------

Renaissance Global Bond Fund Talvest Global Bond Fund; ON InvFund ------Talvest Global Bond RSP Fund; Talvest Foreign Pay Cdn. Bond Fund

Renaissance Global Bond Private Pool Frontiers Global Bond Pool; ON InvFund ------Merrill Lynch Frontiers Global Bond Pool

Renaissance Global Equity Private Pool ON InvFund ------

Renaissance Global Focus Currency ON InvFund ------Neutral Fund

Renaissance Global Focus Fund Renaissance Global ON InvFund ------Sectors Fund; Merrill Lynch Global Sectors Fund

Renaissance Global Growth Currency ON InvFund ------Neutral Fund

Renaissance Global Growth Fund Merrill Lynch Global Growth ON InvFund ------Fund

Renaissance Global Health Care Fund Talvest Global Health Care ON InvFund ------Fund; Talvest/Hyperion Global Health Care Fund; Hyperion Global Health Care Fund

Renaissance Global Infrastructure Currency ON InvFund ------Neutral Fund

Renaissance Global Infrastructure Fund ON InvFund ------

Renaissance Global Markets Fund Talvest Global Markets ON InvFund ------Fund; Talvest Global RSP Fund; Talvest Global RRSP Fund

Renaissance Global Real Estate Currency ON InvFund ------Neutral Fund

Renaissance Global Real Estate Fund ON InvFund ------

Renaissance Global Science & Technology Talvest Global Science & ON InvFund ------Fund Technology Fund; Talvest/Hyperion Global Science and Technology Fund; Hyperion Global Science and Technology Fund; Talvest U.S. Growth Fund Inc. 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) Renaissance Global Small-Cap Fund Talvest Global Small Cap ON InvFund ------Fund; Talvest/Hyperion Global Small Cap Fund

Renaissance Global Value Fund Talvest Global Equity Fund; ON InvFund ------Talvest/Hyperion Global Equity Fund

Renaissance High-Yield Bond Fund Renaissance Canadian ON InvFund ------High Yield Bond Fund; Merrill Lynch Canadian High Yield Bond Fund; Atlas Canadian High Yield Bond Fund

Renaissance High Income Fund Renaissance Millennium ON InvFund ------High Income Fund; Talvest Millennium High Income Fund; Millennium Income Fund

Renaissance International Dividend Fund Renaissance International ON InvFund ------Index Fund; Renaissance International RSP Index Fund; Merrill Lynch International RSP Index Fund; Atlas International RSP Index Fund

Renaissance International Equity Currency ON InvFund ------Neutral Fund

Renaissance International Equity Fund Talvest International Equity ON InvFund ------Fund

Renaissance International Equity Private Frontiers International ON InvFund ------Pool Equity Pool

Renaissance Money Market Fund Talvest Money Market Fund; ON InvFund ------Talvest Money Fund

Renaissance Multi-Asset Global Balanced ON InvFund ------Income Private Pool

Renaissance Multi-Asset Global Balanced ON InvFund ------Private Pool

Renaissance Multi-Sector Fixed Income ON InvFund ------Private Pool

Renaissance Optimal Conservative Income ON InvFund ------Portfolio

Renaissance Optimal Global Equity ON InvFund ------Currency Neutral Portfolio

Renaissance Optimal Global Equity Renaissance Global Multi ON InvFund ------Portfolio Management Fund; Talvest Global Multi Management Fund; Talvest Global Multi Manager Fund

Renaissance Optimal Growth & Income ON InvFund ------Portfolio

Renaissance Optimal Income Portfolio ON InvFund ------

Renaissance Optimal Inflation ON InvFund ------Opportunities Portfolio

Renaissance Real Assets Private Pool ON InvFund ------

Renaissance Real Return Bond Fund Renaissance Canadian ON InvFund ------Real Return Bond Fund; Renaissance Global Opportunities Fund 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)

Renaissance Short-Term Income Fund Renaissance Canadian ON InvFund ------Income Fund; Talvest Income Fund

Renaissance Ultra Short-Term Income Frontiers Canadian Short ON InvFund ------Private Pool Term Income Pool; Merrill Lynch Frontiers Canadian Short Term Income Pool

Renaissance U.S. Dollar Corporate Bond ON InvFund ------Fund

Renaissance U.S. Dollar Diversified Income ON InvFund ------Fund

Renaissance U.S. Equity Currency Neutral Frontiers U.S. Equity ON InvFund ------Private Pool Currency Neutral Pool

Renaissance U.S. Equity Fund Renaissance U.S. Index ON InvFund ------Fund; Renaissance U.S. RSP Index Fund; Merrill Lynch U.S. RSP Index Fund; Atlas American RSP Index Fund

Renaissance U.S. Equity Growth Currency ON InvFund ------Neutral Fund

Renaissance U.S. Equity Growth Fund Renaissance U.S. ON InvFund ------Fundamental Growth Fund; Merrill Lynch U. S. Fundamental Growth Fund; Atlas American Large Cap Growth Fund; Atlas Large Cap American Growth Fund

Renaissance U.S. Equity Income Fund ON InvFund ------

Renaissance U.S. Equity Private Pool Frontiers U.S. Equity Pool; ON InvFund ------Merrill Lynch Frontiers U.S. Equity Pool

Renaissance U.S. Equity Value Fund Renaissance U.S. Basic ON InvFund ------Value Fund; Merrill Lynch U.S. Basic Value Fund

Renaissance U.S. Money Market Fund Merrill Lynch U.S. Money ON InvFund ------Market Fund; Atlas American Money Market Fund; Atlas U.S. Money Market Fund

Renforth Resources Inc. Wycliffe Resources Inc.; ON Non------Metalcoat International InvFund Corp.; My-Ritt Red Lake Gold Mines Limited

Rengold Mines Limited -- Non- -- -- Yes/Oui 1976/02/18 InvFund

Renzy Mines Limited -- Non- -- -- Yes/Oui 1991/02/22 InvFund

Reparo Energy Partners Corp. Northern Sun Exploration BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/03/12 Company Inc. InvFund

RepeatSeat Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/12/24 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) RepliCel Life Sciences Inc. Newcastle Resources Ltd.; BC Non------Pan American Gold InvFund Corporation; Tri-Lateral Venture Corporation; Tri-Lateral Investments Corporation; Tri-Lateral Free Trade Inc.

RESAAS Services Inc. BC Non------InvFund

Reservoir Capital Corp. BC Non------InvFund

Resolute Corporation, The -- Non- -- -- Yes/Oui 1992/06/23 InvFund

Resolute Forest Products Inc. AbitibiBowater Inc. QC Non------InvFund

Resorts Unlimited Management Inc. Claddagh Gold Limited -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/07/22 InvFund

Resource Capital Gold Corp. Reliance Resources BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2019/11/01 Limited; Golden Peaks InvFund Resources Ltd.

Resource Fund International Ltd. ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1992/12/24

Restaurant Brands International Inc. ON Non------InvFund

Restaurant Brands International Limited ON Non------Partnership InvFund

Resverlogix Corp. AB Non- Yes/Oui 3 -- -- InvFund

Retrocom Growth Fund Inc. Retrocomm Growth Fund ON InvFund Yes/Oui 1a, 1c, 1d, 3 -- -- Inc.

Revelo Resources Corp. Iron Creek Capital Corp. BC Non------InvFund

Revival Gold Inc. Strata Minerals Inc.; JBZ ON Non------Capital Inc. InvFund

Revive Therapeutics Ltd. Mercury Capital II Limited ON Non------InvFund

RevoluGROUP Canada Inc. CUV Ventures Corp.; Cuba BC Non------Ventures Corp.; MPH InvFund Ventures Corp.; ITL Capital Corporation

Revolution Technologies Inc. Geophysical Prospecting ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/12/06 Inc.; Internet Identity InvFund Presence Company Inc.; Silverspar Minerals Inc.

Rex Opportunity Corp. Rex Diamond Mining ON Non------Corporation; Speer Darrow InvFund Management Inc.

Rex Resources Corp. BC Non------InvFund

Rexwood Products Limited -- Non- -- -- Yes/Oui 1992/06/23 InvFund

Reyna Silver Corp. Century Metals Inc. ON Non------InvFund

RF Capital Group Inc. GMP Capital Inc. ON Non------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) RG One Corp. ON Non------InvFund

RGP Global Sector Class R.E.G.A.R. Investment QC InvFund ------Management Global Equity Class

RGP Global Sector Fund R.E.G.A.R. Investment QC InvFund ------Management Global Equity Fund

Rhonda Corporation Rhonda Mining Corporation AB Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2005/05/18 InvFund

Rhyolite Resources Ltd. BC Non------InvFund

RhythmOne plc ON Non- Yes/Oui 1a, 3 -- -- InvFund

Rich Group Yellowknife Mines Limited -- Non------InvFund

Richards Packaging Income Fund ON Non------InvFund

Richardson Greenshields Self-Directed ON InvFund ------Education Savings Plan

Richco Investors Inc. BC Non------InvFund

Richelieu Hardware Ltd. QC Non------InvFund

Richmond Minerals Inc. Aavdex Corporation; Gregor ON Non------Goldfields Corp. InvFund

Richtree Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/12/08 InvFund 1e, 3

Richwest Holdings Inc. -- Non- -- -- Yes/Oui 2000/06/02 InvFund

Rider 2 Investment Capital Corp. AB Non------InvFund

Ridge Land Properties Limited Partnership -- Non- -- -- Yes/Oui 1997/08/15 InvFund

Ridgeline Minerals Corp. BC Non------InvFund

Ridgewood Canadian Bond Fund Mulvihill Canadian Bond ON InvFund ------Fund

Ridgewood Canadian Investment Grade ON InvFund ------Bond Fund

Ridgewood Gardens -- Non- -- -- Yes/Oui 1994/06/01 InvFund

Ridgewood Tactical Yield Fund ON InvFund ------

Rift Resources Ltd. -- Non- -- -- Yes/Oui 2001/07/09 InvFund

Rift Valley Resources Corp. BC Non------InvFund

Rigel Technologies Inc. Tele-Find Technologies ON Non------Corp.; Name Brand Sales InvFund Inc.

Riley Gold Corp. Riley Resources Corp. BC Non------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) Ring Of Power -- Non- -- -- Yes/Oui 1984/06/21 InvFund

Rio2 Limited BC Non------InvFund

RioCan Real Estate Investment Trust Riocan Real Estate ON Non------Investment Trust; Counsel InvFund Real Estate Investment Trust

Rise Gold Corp. Rise Resources Inc. BC Non------InvFund

RISE Life Science Corp. Luminor Medical ON Non------Technologies InvFund

Rising Phoenix Development Group Ltd. -- Non- -- -- Yes/Oui 2000/11/03 InvFund

Ritchie Bros. Auctioneers Incorporated BC Non------InvFund

RIV Capital Inc. Canopy Rivers Inc.; AIM2 ON Non------Ventures Inc. InvFund

River Park Estates Partnership MB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 1998/06/01 InvFund 1e

Riverside Resources Inc. BC Non------InvFund

RIWI Corp. ON Non------InvFund

RJK Explorations Ltd. ON Non------InvFund

RKW Standardbred Limited Partnership -- Non- -- -- Yes/Oui 1992/06/23 InvFund

RMN-1 Small Business Development ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/08/15 Corporation InvFund

RMN-2 Small Business Development ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/08/15 Corporation InvFund

RMR Science Technologies Inc. BC Non------InvFund

RoaDor Industries Ltd. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2011/02/07 InvFund

Robix Environmental Technologies, Inc. Robix Alternative Fuels, Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/04 InvFund

Roca Mines Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/01/11 InvFund

Rockcliff Metals Corporation Rockcliff Copper ON Non------Corporation; Solvista Gold InvFund Corporation

Rockex Mining Corporation ON Non------InvFund

Rockhaven Resources Ltd. BC Non------InvFund

Rockland Resources Ltd. BC Non------InvFund

Rocklite International Inc. -- Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 1994/06/17 InvFund

Rockshield Acquisition Corp. BC Non------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)

Rockshield Capital Corp. CuOro Resources Corp. BC Non------InvFund

Rockshield Opportunities Corp. BC Non------InvFund

Rockwell Diamonds Inc. Rockwell Ventures Inc. ON Non------InvFund

Rocky Mountain Brands, Inc. Healing Waters, Inc.; ON Non- Yes/Oui 1b, 1c, 1e, 2a Yes/Oui 2005/08/08 Snackie Jack's Ltd.; Curran InvFund Bay Resource Ltd.

Rocky Mountain Liquour Inc. Humber Capital AB Non------Corporation InvFund

Roddy Resources Inc. -- Non- -- -- Yes/Oui 1991/06/14 InvFund

Rodin Communications Corporation Cheni Resources Inc. -- Non- -- -- Yes/Oui 2001/12/03 InvFund

Rodinia Oil Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/09 InvFund

Rogers Communications Inc. ON Non------InvFund

Rogers Sugar Inc. BC Non------InvFund

ROK Resources Inc. Petrodorado Energy Ltd.; AB Non------Cap-Link Ventures Ltd. InvFund

Rokmaster Resources Corp. BC Non------InvFund

Rollins Meadowvale Partnership -- Non- -- -- Yes/Oui 1994/09/07 InvFund

Rollins Welland Partnership -- Non- -- -- Yes/Oui 1995/09/15 InvFund

Roman Corporation Limited ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2006/05/23 InvFund 1e, 3

ROMC Trust ON InvFund ------

Romios Gold Resources Inc. ON Non------InvFund

Ronnoco Gold Mines, Limited -- Non- -- -- Yes/Oui 1999/10/06 InvFund

Roosevelt Capital Group Inc. AB Non------InvFund

Roots Corporation ON Non------InvFund

Roscan Gold Corporation ON Non------InvFund

Roseland Park (II) Limited Partnership -- Non- -- -- Yes/Oui 1998/02/05 InvFund

Roseland Park (I) Limited Partnership -- Non- -- -- Yes/Oui 1998/02/05 InvFund

Rothwell Corporation -- Non- -- -- Yes/Oui 1995/01/20 InvFund

Roughrider Exploration Limited Westham Resources Corp. BC Non------InvFund

Route1 Inc. Prospectus Group Inc., The; ON Non------MTU Investments Inc. 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)

Roxgold Inc. ON Non------InvFund

Royal Bank of Canada QC Non------InvFund

Royal Canadian Mint ON Non------InvFund

Royal Coal Corp. Amalfi Capital Corporation ON Non------InvFund

Royal Gold, Inc. ON Non------InvFund

Royal Helium Ltd. RHC Capital Corporation; SK Non------Rockefeller Hughes InvFund Corporation

Royal Road Minerals Limited ON Non------InvFund

Royalty North Partners Ltd. Bluefire Mining Corp. BC Non------InvFund

Roycefield Resources Ltd. -- Non- -- -- Yes/Oui 2000/12/13 InvFund

Rozdil Capital Corporation ON Non------InvFund

RP Alternative Global Bond Fund ON InvFund ------

RP Strategic Income Plus Fund ON InvFund ------

Rritual Superfoods Inc. BC Non------InvFund

RT Minerals Corp. BC Non------InvFund

RTG Mining Inc. ON Non------InvFund

RTICA Corporation Inzeco Holdings Inc. ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2005/10/03 InvFund

Rubicon Organics Inc. BC Non------InvFund

Rugby Mining Limited Carlyle Mining Corp. BC Non------InvFund

Running -- Non- -- -- Yes/Oui 1986/09/22 InvFund

Rupert Resources Ltd. ON Non------InvFund

Rusoro Mining Ltd. BC Non------InvFund

Russel Metals Inc. ON Non------InvFund

Russell Investments Balanced LifePoints Balanced; ON InvFund ------Russell LifePoints Balanced Portfolio; LifePoints Balanced Portfolio

Russell Investments Balanced Class LifePoints Balanced Class; ON InvFund ------Russell LifePoints Balanced Class Portfolio; LifePoints Balanced Class Portfolio 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)

Russell Investments Balanced Growth LifePoints Balanced ON InvFund ------Growth; Russell LifePoints Balanced Growth Portfolio; LifePoints Balanced Growth Portfolio; Balanced Growth Portfolio; Lifepoints Balanced Growth Portfolio

Russell Investments Balanced Growth LifePoints Balanced Growth ON InvFund ------Class Class; Russell LifePoints Balanced Growth Class Portfolio; LifePoints Balanced Growth Class Portfolio

Russell Investments Canadian Cash Fund Russell Canadian Cash ON InvFund ------Fund

Russell Investments Canadian Dividend Russell Canadian Dividend ON InvFund ------Class Class

Russell Investments Canadian Dividend Russell Canadian Dividend ON InvFund ------Pool Pool

Russell Investments Canadian Equity Russell Canadian Equity ON InvFund ------Class Class

Russell Investments Canadian Equity Pool Russell Canadian Equity ON InvFund ------Pool; Sovereign Canadian Equity Pool; Canadian Equity Pool; Canadian Equity Investment Pool

Russell Investments Canadian Fixed Russell Canadian Fixed ON InvFund ------Income Fund Income Fund

Russell Investments Conservative Income Russell LifePoints ON InvFund ------Conservative Income Portfolio

Russell Investments Conservative Income Russell LifePoints ON InvFund ------Class Conservative Income Class Portfolio

Russell Investments Diversified Monthly Russell Diversified Monthly ON InvFund ------Income Income Portfolio; Sovereign Diversified Monthly Income Portfolio

Russell Investments Diversified Monthly Russell Diversified Monthly ON InvFund ------Income Class Income Class Portfolio

Russell Investments Emerging Markets Russell Emerging Markets ON InvFund ------Equity Class Equity Class

Russell Investments Emerging Markets Russell Emerging Markets ON InvFund ------Equity Pool Equity Pool; Sovereign Emerging Markets Equity Pool; Emerging Markets Equity Pool; Emerging Markets Equity Investment Pool

Russell Investments ESG Global Equity Russell Investments ESG ON InvFund ------Pool Global Equity Fund

Russell Investments Fixed Income Class Russell Fixed Income ON InvFund ------Class; Russell Managed Yield Class

Russell Investments Fixed Income Plus Multi-Asset Fixed Income ON InvFund ------Class Class; Russell Multi-Asset Fixed Income Class; Russell LifePoints Fixed Income Class Portfolio 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)

Russell Investments Fixed Income Plus Multi-Asset Fixed Income; ON InvFund ------Pool Russell Multi-Asset Fixed Income; Russell LifePoints Fixed Income Portfolio

Russell Investments Fixed Income Pool Russell Fixed Income Pool; ON InvFund ------Sovereign Canadian Fixed Income Pool; Canadian Fixed Income Pool; Canadian Fixed Income Investment Pool

Russell Investments Focused Canadian Russell Focused Canadian ON InvFund ------Equity Class Equity Class

Russell Investments Focused Canadian Russell Focused Canadian ON InvFund ------Equity Pool Equity Pool

Russell Investments Focused Global Equity Russell Focused Global ON InvFund ------Class Equity Class

Russell Investments Focused Global Equity Russell Focused Global ON InvFund ------Pool Equity Pool

Russell Investments Focused US Equity Russell Focused US Equity ON InvFund ------Class Class

Russell Investments Focused US Equity Russell Focused US Equity ON InvFund ------Pool Pool

Russell Investments Global Credit Class Russell Investments Global ON InvFund ------High Income Bond Class; Russell Global High Income Bond Class

Russell Investments Global Credit Pool Russell Investments Global ON InvFund ------High Income Bond Pool; Russell Global High Income Bond Pool

Russell Investments Global Equity Class Russell Global Equity ON InvFund ------Class

Russell Investments Global Equity Pool Russell Global Equity Pool; ON InvFund ------Sovereign Global Equity Pool; Sovereign Global Equity RSP Pool; Global Equity RRSP Pool; Global Equity RSP Pool

Russell Investments Global Infrastructure Russell Global ON InvFund ------Class Infrastructure Class

Russell Investments Global Infrastructure Russell Global ON InvFund ------Pool Infrastructure Pool

Russell Investments Global Real Estate Russell Global Real Estate ON InvFund ------Pool Pool

Russell Investments Global Smaller Russell Global Smaller ON InvFund ------Companies Class Companies Class; Russell Smaller Companies Class

Russell Investments Global Smaller Russell Global Smaller ON InvFund ------Companies Pool Companies Pool; Russell Smaller Companies Pool

Russell Investments Global Unconstrained Russell Global ON InvFund ------Bond Class Unconstrained Bond Class; Russell Core Plus Fixed Income Class

Russell Investments Global Unconstrained Russell Global ON InvFund ------Bond Pool Unconstrained Bond Pool; Russell Core Plus Fixed Income Pool 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)

Russell Investments Income Essentials Russell Income Essentials ON InvFund ------Portfolio; Russell Retirement Essentials Portfolio

Russell Investments Income Essentials Russell Income Essentials ON InvFund ------Class Class Portfolio; Russell Retirement Essentials Class Portfolio

Russell Investments Inflation Linked Bond Russell Inflation Linked ON InvFund ------Fund Bond Fund

Russell Investments Long-Term Growth Russell LifePoints ON InvFund ------Long-Term Growth Portfolio; LifePoints Long-Term Growth Portfolio; Long-Term Growth Portfolio; Lifepoints Long-Term Growth Portfolio

Russell Investments Long-Term Growth LifePoints Long-Term ON InvFund ------Class Growth Class; Russell LifePoints Long-Term Growth Class Portfolio; LifePoints Long-Term Growth Class Portfolio

Russell Investments Money Market Class Russell Money Market ON InvFund ------Class

Russell Investments Money Market Pool Russell Money Market Pool; ON InvFund ------Sovereign Money Market Pool; Money Market Pool

Russell Investments Multi-Factor Canadian ON InvFund ------Equity Pool

Russell Investments Multi-Factor Global ON InvFund ------Balanced

Russell Investments Multi-Factor ON InvFund ------International Equity Pool

Russell Investments Multi-Factor US Equity ON InvFund ------Pool

Russell Investments Overseas Equity Class Russell Overseas Equity ON InvFund ------Class

Russell Investments Overseas Equity Pool Russell Overseas Equity ON InvFund ------Pool; Sovereign Overseas Equity Pool; Overseas Equity Pool; Overseas Equity Investment Pool

Russell Investments Real Assets Russell Real Assets ON InvFund ------Portfolio

Russell Investments Short Term Income Russell Short Term Income ON InvFund ------Class Class

Russell Investments Short Term Income Russell Short Term Income ON InvFund ------Pool Pool

Russell Investments US Equity Class Russell US Equity Class ON InvFund ------

Russell Investments US Equity Pool Russell US Equity Pool; ON InvFund ------Sovereign US Equity Pool; US Equity Pool; US Equity Investment Pool

Russell Investments Yield Opportunities ON InvFund ------Pool 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) RYM Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/12/02 InvFund

RYU Apparel Inc. BC Non------InvFund

R&R Real Estate Investment Trust ON Non------InvFund

R.F. Oil Industries Ltd. -- Non- -- -- Yes/Oui 1986/06/23 InvFund

R.R. Donnelley & Sons Company ON Non------InvFund

R.T. Tower Limited Partnership -- Non- -- -- Yes/Oui 1993/06/30 InvFund S

S Split Corp. ON InvFund ------

S & M Photolabels Inc. -- Non- -- -- Yes/Oui 1988/06/17 InvFund

Sabina Gold & Silver Corp. BC Non------InvFund

Sackport Ventures Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/05/12 InvFund

Saco Smartvision Inc. Teknor Industrial -- Non- -- -- Yes/Oui 2001/11/06 Computers Inc. InvFund

Sacre-Coeur Minerals, Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/09/11 InvFund

Sage Gold Inc. Sahelian Goldfields Inc.; ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2018/09/05 McNickel Inc. InvFund

Sagen MI Canada Inc. Genworth MI Canada Inc. ON Non------InvFund

Sagewood Resources Limited -- Non- Yes/Oui 1a Yes/Oui 2002/05/23 InvFund

Sagicor Financial Company Ltd. Alignvest Acquisition II ON Non------Corporation InvFund

Sahara Energy Ltd. Battleford Capital Inc. AB Non------InvFund

Sailfish Royalty Corp. BC Non------InvFund

Salazar Resources Limited Consolidated Kookaburra BC Non------Resources Ltd; Kookaburra InvFund Resources Ltd.

Salona Global Medical Device Corporation Brattle Street Investment BC Non------Corp.; Inspira Financial Inc.; InvFund Chrysalis Capital IX Corporation

Samco Gold Limited ON Non------InvFund

Samsys Technologies Inc. Spanex Capital Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/06/06 InvFund

San Gold Corporation (now known as San Gold Corporation MB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/10/07 5813906 Manitoba Ltd.) InvFund

Sanatana Resources Inc. Sanatana Diamonds Inc. BC Non------InvFund

Sandstorm Gold Ltd. Sandstorm Resources Ltd. BC Non------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)

Sangoma Technologies Corporation Protection Devices ON Non------International Inc.; InvFund Sangoma.com Inc.; Inlet Devices Corporation

Sanhurst -- Non- -- -- Yes/Oui 1986/09/16 InvFund

Sanibel Ventures Corp. BC Non------InvFund

Santa Fe Gold Corporation (formerly Azco Azco Mining Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2003/11/20 Mining Inc.) InvFund 1e, 3

Santack Mines Limited -- Non- Yes/Oui 1a, 1b Yes/Oui 1971/06/11 InvFund

Santacruz Silver Mining Ltd. Forte Resources Inc. BC Non------InvFund

Santech Inc. -- Non- -- -- Yes/Oui 1992/10/21 InvFund

Sapawe Gold Mines Limited -- Non- -- -- Yes/Oui 1972/08/11 InvFund

Saputo Inc. Saputo Group Inc. QC Non------InvFund

Sarama Resources Ltd. BC Non------InvFund

Saratoga Capital Corp. Ivynet Corporation; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/05/04 Transarctic Petroleum InvFund Corp.; Leggo Holdings Inc.

Saratoga Limited Partnership -- Non- -- -- Yes/Oui 1996/09/19 InvFund

Saskatchewan Mining Development -- Non------Corporation ("SMDC") InvFund

Saskatoon Square Limited Partnership -- Non- -- -- Yes/Oui 1991/02/26 InvFund

Sassy Resources Corporation BC Non------InvFund

Sativa Wellness Group Inc. StillCanna Inc.; EVI Global BC Non------Group Developments Corp.; InvFund Blackeagle Development Corp.

Satori Resources Inc. ON Non------InvFund

Saturn (Solutions) Inc. -- Non- Yes/Oui 1b, 3 Yes/Oui 2003/12/30 InvFund

Savaria Corporation QC Non------InvFund

SBD Capital Corp. White Pine Resources Inc.; ON Non------WSR Gold Inc.; InvFund Westchester Resources Inc.; Nucanolan Resources Ltd.

Scaffold Connection Corporation -- Non- Yes/Oui 1b Yes/Oui 2002/02/05 InvFund

Scandium International Mining Corp. EMC Metals Corp.; Golden BC Non------Predator Mines Inc. InvFund

Scarboro Arena Gardens Limited -- Non- -- -- Yes/Oui 1983/10/13 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)

Scarboro Producers Market Limited -- Non- -- -- Yes/Oui 1972/06/27 InvFund

Sceptre Ventures Inc. BC Non- Yes/Oui 3 Yes/Oui 2020/11/04 InvFund

Schiffner Oilfield & Technology Corporation -- Non- -- -- Yes/Oui 1987/01/16 InvFund

Schwabo Capital Corporation BC Non------InvFund

Scintilore Explorations Limited -- Non- Yes/Oui 1a, 3 Yes/Oui 2003/05/23 InvFund

Score Media and Gaming Inc. theScore, Inc. ON Non------InvFund

SCOTCH CREEK VENTURES INC. BC Non------InvFund

Scotia Aria Conservative Build Portfolio ON InvFund ------

Scotia Aria Conservative Defend Portfolio Scotia Aria Conservative ON InvFund ------Core Portfolio

Scotia Aria Conservative Pay Portfolio ON InvFund ------

Scotia Aria Equity Build Portfolio ON InvFund ------

Scotia Aria Equity Defend Portfolio ON InvFund ------

Scotia Aria Equity Pay Portfolio ON InvFund ------

Scotia Aria Moderate Build Portfolio ON InvFund ------

Scotia Aria Moderate Defend Portfolio Scotia Aria Moderate Core ON InvFund ------Portfolio

Scotia Aria Moderate Pay Portfolio ON InvFund ------

Scotia Aria Progressive Build Portfolio ON InvFund ------

Scotia Aria Progressive Defend Portfolio Scotia Aria Progressive ON InvFund ------Core Portfolio

Scotia Aria Progressive Pay Portfolio ON InvFund ------

Scotia Canadian Balanced Fund National Trust Balanced ON InvFund ------Fund

Scotia Canadian Bond Fund Scotia Bond Fund ON InvFund ------

Scotia Canadian Bond Index Fund ON InvFund ------

Scotia Canadian Bond Index Tracker ETF ON InvFund ------

Scotia Canadian Dividend Class ON InvFund ------

Scotia Canadian Dividend Fund National Trust Dividend ON InvFund ------Fund

Scotia Canadian Equity Blend Class ON InvFund ------

Scotia Canadian Equity Fund Scotia Canadian Blue Chip ON InvFund ------Fund; Scotia Excelsior Canadian Blue Chip Fund; Scotia Canadian Equity Growth Fund

Scotia Canadian Equity Index Fund Scotia Canadian Index ON InvFund ------Fund; Scotia Canadian Stock Index Fund; National Trust Canadian Index Fund 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) Scotia Canadian Growth Fund Scotia Excelsior Canadian ON InvFund ------Growth Fund; Montreal Trust Investment Fund - Equity Section

Scotia Canadian Income Fund National Trust Canadian ON InvFund ------Bond Fund

Scotia Canadian Large Cap Equity Index ON InvFund ------Tracker ETF

Scotia Canadian Small Cap Fund National Trust Special ON InvFund ------Equity Fund

Scotia CanAm Index Fund Scotia CanAm Stock Index ON InvFund ------Fund; Scotia CanAm Growth Fund

Scotia Conservative Fixed Income Portfolio Scotia Conservative Income ON InvFund ------Fund

Scotia Diversified Balanced Fund Scotia Diversified Balanced ON InvFund ------Fund; Scotia Balanced Opportunities Fund; Scotia Canadian Tactical Asset Allocation Fund; Scotia Total Return Fund; Scotia Excelsior Total Return Fund; Montreal Trust Investment Fund - Total Return Section

Scotia Diversified Monthly Income Fund ON InvFund ------

Scotia Dividend Balanced Fund Scotia Canadian Dividend ON InvFund ------Income Fund

Scotia Emerging Markets Equity Fund ON InvFund ------

Scotia European Equity Fund Scotia European Fund; ON InvFund ------Scotia European Growth Fund; Scotia Excelsior European Growth Fund

Scotia Global Balanced Fund ON InvFund ------

Scotia Global Bond Fund Scotia CanGlobal Income ON InvFund ------Fund; National Trust International RSP Bond Fund

Scotia Global Dividend Class ON InvFund ------

Scotia Global Dividend Fund ON InvFund ------

Scotia Global Equity Fund Scotia Global Opportunities ON InvFund ------Fund; Capital Global Discovery Fund

Scotia Global Growth Fund Scotia International Growth ON InvFund ------Fund; Scotia Excelsior International Fund; Montreal Trust Investment Fund - International Section

Scotia Global Small Cap Fund Capital Global Small ON InvFund ------Companies Fund

Scotia Income Advantage Fund ON InvFund ------

Scotia INNOVA Balanced Growth Portfolio ON InvFund ------

Scotia INNOVA Balanced Growth Portfolio ON InvFund ------Class

Scotia INNOVA Balanced Income Portfolio ON 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)

Scotia INNOVA Balanced Income Portfolio ON InvFund ------Class

Scotia INNOVA Growth Portfolio ON InvFund ------

Scotia INNOVA Growth Portfolio Class ON InvFund ------

Scotia INNOVA Income Portfolio ON InvFund ------

Scotia INNOVA Income Portfolio Class ON InvFund ------

Scotia INNOVA Maximum Growth Portfolio ON InvFund ------

Scotia INNOVA Maximum Growth Portfolio ON InvFund ------Class

Scotia International Equity Blend Class ON InvFund ------

Scotia International Equity Fund Scotia International Value ON InvFund ------Fund; Capital International Large Companies Fund

Scotia International Equity Index Fund Scotia International Index ON InvFund ------Fund; Scotia International Stock Index Fund

Scotia International Equity Index Tracker ON InvFund ------ETF

Scotia Low Carbon Canadian Fixed Income ON InvFund ------Fund

Scotia Low Carbon Global Balanced Fund ON InvFund ------

Scotia Low Carbon Global Equity Fund ON InvFund ------

Scotia Money Market Fund Scotia Excelsior Money ON InvFund ------Market Fund; Scotia Money Market Fund

Scotia Mortgage Income Fund Scotia Excelsior Mortgage ON InvFund ------Fund; Scotia Mortgage Fund

Scotia Nasdaq Index Fund ON InvFund ------

Scotia Partners Balanced Growth Portfolio Scotia Partners Balanced ON InvFund ------Income & Growth Portfolio

Scotia Partners Balanced Growth Portfolio ON InvFund ------Class

Scotia Partners Balanced Income Portfolio Scotia Partners Income & ON InvFund ------Modest Growth Portfolio

Scotia Partners Balanced Income Portfolio ON InvFund ------Class

Scotia Partners Growth Portfolio Scotia Partners Moderate ON InvFund ------Growth Portfolio; Scotia Partners Conservative Growth Portfolio

Scotia Partners Growth Portfolio Class ON InvFund ------

Scotia Partners Income Portfolio Scotia Partners Diversified ON InvFund ------Income Portfolio

Scotia Partners Maximum Growth Portfolio Scotia Partners Aggressive ON InvFund ------Growth Portfolio

Scotia Partners Maximum Growth Portfolio ON InvFund ------Class

Scotia Premium T-Bill Fund Scotia Excelsior Premium ON InvFund ------T-Bill Fund; Scotia Premium T-Bill Fund 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) Scotia Private American Core-Plus Bond Pinnacle American ON InvFund ------Pool Core-Plus Bond Fund

Scotia Private Canadian All Cap Equity Pool ON InvFund ------

Scotia Private Canadian Core Bond Pool ON InvFund ------

Scotia Private Canadian Corporate Bond Scotia Canadian Corporate ON InvFund ------Pool Bond Fund; Scotia Cassels Canadian Corporate Bond Fund; Scotia Canadian Corporate Bond Fund

Scotia Private Canadian Equity Pool Scotia Canadian Equity ON InvFund ------Fund; Scotia Cassels Canadian Equity Fund

Scotia Private Canadian Growth Pool Pinnacle Canadian Growth ON InvFund ------Equity Fund

Scotia Private Canadian Mid Cap Pool Pinnacle Canadian Mid Cap ON InvFund ------Equity Fund; Pinnacle Canadian Mid Cap Value Equity Fund

Scotia Private Canadian Preferred Share ON InvFund ------Pool

Scotia Private Canadian Small Cap Pool Pinnacle Canadian Small ON InvFund ------Cap Equity Fund; Pinnacle Canadian Small Cap Growth Equity Fund

Scotia Private Canadian Value Pool Pinnacle Canadian Value ON InvFund ------Equity Fund

Scotia Private Emerging Markets Pool Pinnacle Emerging Markets ON InvFund ------Equity Fund

Scotia Private Floating Rate Income Pool Scotia Floating Rate ON InvFund ------Income Fund

Scotia Private Fundamental Canadian ON InvFund ------Equity Pool

Scotia Private Global Credit Pool ON InvFund ------

Scotia Private Global Equity Pool Pinnacle Global Equity ON InvFund ------Fund

Scotia Private Global High Yield Pool ON InvFund ------

Scotia Private Global Infrastructure Pool ON InvFund ------

Scotia Private Global Real Estate Pool Pinnacle Global Real ON InvFund ------Estate Securities Fund

Scotia Private High Yield Bond Pool ON InvFund ------

Scotia Private High Yield Income Pool Pinnacle High Yield Income ON InvFund ------Fund

Scotia Private Income Pool Pinnacle Income Fund ON InvFund ------

Scotia Private International Core Equity Pool Scotia International Equity ON InvFund ------Fund; Scotia Cassels International Equity Fund

Scotia Private International Equity Pool Pinnacle International ON InvFund ------Equity Fund

Scotia Private International Growth Equity ON InvFund ------Pool

Scotia Private International Small to Mid Cap Pinnacle International ON InvFund ------Value Pool Small to Mid Cap Value Equity Fund 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)

Scotia Private North American Dividend Pool Scotia Private North ON InvFund ------American Equity Pool; Scotia North American Equity Fund; Scotia Cassels North American Equity Fund

Scotia Private Premium Payout Pool Scotia Private Options ON InvFund ------Income Pool

Scotia Private Real Estate Income Pool ON InvFund ------

Scotia Private Short-Mid Government Bond Scotia Short-Mid ON InvFund ------Pool Government Bond Fund; Scotia Cassels Short-Mid Government Bond Fund

Scotia Private Short Term Bond Pool Scotia Short Term Bond ON InvFund ------Fund

Scotia Private Strategic Balanced Pool Pinnacle Strategic ON InvFund ------Balanced Fund

Scotia Private Total Return Bond Pool ON InvFund ------

Scotia Private U.S. Dividend Pool ON InvFund ------

Scotia Private U.S. Large Cap Growth Pool Pinnacle American Large ON InvFund ------Cap Growth Equity Fund

Scotia Private U.S. Mid Cap Value Pool Pinnacle American Mid Cap ON InvFund ------Value Equity Fund

Scotia Private U.S. Value Pool Pinnacle American Value ON InvFund ------Equity Fund

Scotia Private World Infrastructure Pool ON InvFund ------

Scotia Resource Fund Scotia Precious Metals ON InvFund ------Fund; Scotia Excelsior Precious Metals Fund; Scotia Precious Metals Fund

Scotia Schools Trust NS Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/25 InvFund

Scotia Selected Balanced Growth Portfolio Scotia Selected Balanced ON InvFund ------Income & Growth Portfolio; Scotia Selected Balanced Income & Growth Fund

Scotia Selected Balanced Income Portfolio Scotia Selected Income & ON InvFund ------Modest Growth Portfolio; Scotia Selected Income & Modest Growth Fund

Scotia Selected Growth Portfolio Scotia Selected Moderate ON InvFund ------Growth Portfolio; Scotia Selected Conservative Growth Fund

Scotia Selected Income Portfolio ON InvFund ------

Scotia Selected Maximum Growth Portfolio Scotia Selected Aggressive ON InvFund ------Growth Portfolio; Scotia Selected Aggressive Growth Fund

Scotia Strategic Canadian Equity ETF ON InvFund ------Portfolio

Scotia Strategic Fixed Income ETF Portfolio ON InvFund ------

Scotia Strategic International Equity ETF ON InvFund ------Portfolio 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)

Scotia Strategic U.S. Equity ETF Portfolio ON InvFund ------

Scotia T-Bill Fund Scotia Excelsior T-Bill Fund; ON InvFund ------Scotia Government of Canada Treasury Bill Fund

Scotia U.S. Dividend Fund ON InvFund ------

Scotia U.S. Equity Blend Class ON InvFund ------

Scotia U.S. Equity Fund Scotia U.S. Blue Chip Fund; ON InvFund ------Scotia U. S. Growth Fund; Scotia American Growth Fund; Scotia Excelsior American Growth Fund; Scotia American Equity Growth Fund

Scotia U.S. Equity Index Fund Scotia U.S. Index Fund; ON InvFund ------Scotia American Stock Index Fund; National Trust U.S. Index Fund

Scotia U.S. Equity Index Tracker ETF ON InvFund ------

Scotia U.S. Opportunities Fund Scotia U.S. Value Fund; ON InvFund ------Capital U.S. Large Companies Fund

Scotia U.S. $ Balanced Fund ON InvFund ------

Scotia U.S. $ Bond Fund Scotia CanAm U.S. $ ON InvFund ------Income Fund; Scotia CanAm Income Fund

Scotia U.S. $ Money Market Fund Scotia CanAm U.S. $ Money ON InvFund ------Market Fund; Scotia CanAm Money Market Fund

Scotiabank Capital Trust ON Non------InvFund

Scotsman Gold Inc. -- Non- -- -- Yes/Oui 1988/01/06 InvFund

Scott's Hospitality Inc. -- Non------InvFund

ScoZinc Mining Ltd. Selwyn Resources Ltd. BC Non------InvFund

Scudder Large Company Value Fund Scudder Capital Growth ON InvFund Yes/Oui 1a, 1b, 3 -- -- Fund Inc.

SDX Energy plc AB Non------InvFund

Seabridge Gold Inc. Seabridge Resources Inc. ON Non------InvFund

Seafield Resources Ltd. Voyager Explorations ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2014/12/19 Limited InvFund

Seahawk Gold Corp. Seahawk Ventures Inc.; BC Non------Brabeia Inc.; Scavo InvFund Resource Corp.; Pure Living Media Inc.; TinyMassive Technology Inc..; TinyMassive Technologies Inc.; Patriotstar Ventures Inc

Seahawk Minerals Ltd. Diamond Robinson -- Non- -- -- Yes/Oui 2002/09/09 Equities Ltd. 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) Search Minerals Inc. Search Capital Inc. BC Non------InvFund

Sears Canada Inc. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2017/10/03 InvFund

Seasons Apartments Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Seaway Mult-Corp. Limited -- Non- -- -- Yes/Oui 1987/05/27 InvFund

Seaway Trust Company -- Non- -- -- Yes/Oui 1980/06/25 InvFund

Sebastiani Ventures Corp. Trident Gold Corp.; Andor BC Non------Mining Inc. InvFund

Second Chance Corporation Helin Industries Inc. -- Non- -- -- Yes/Oui 2002/12/06 InvFund

Sectorwise Balanced Portfolio QC InvFund ------

Sectorwise Conservative Portfolio QC InvFund ------

Sectorwise Growth Portfolio QC InvFund ------

Secure Energy Services Inc. AB Non------InvFund

Security Home Mortgage Corporation -- Non- -- -- Yes/Oui 1996/07/03 InvFund

Sedibelo Platinum Mines Limited Platmin Limited ON Non- -- -- Yes/Oui 2014/05/09 InvFund

Sedna Geotech Inc. -- Non- -- -- Yes/Oui 2000/07/26 InvFund

Segami Images Incorporated GIS Global Imaging -- Non- -- -- Yes/Oui 2001/05/14 Solutions Inc. InvFund

SEL Exchange Inc. Penfold Capital Acquisition ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/02/03 IV Corporation InvFund

Select 100e Managed Portfolio Corporate ON InvFund ------Class

Select 20i80e Managed Portfolio Corporate ON InvFund ------Class

Select 30i70e Managed Portfolio Corporate ON InvFund ------Class

Select 40i60e Managed Portfolio Corporate ON InvFund ------Class

Select 50i50e Managed Portfolio Corporate ON InvFund ------Class

Select 60i40e Managed Portfolio Corporate ON InvFund ------Class

Select 70i30e Managed Portfolio Corporate ON InvFund ------Class

Select 80i20e Managed Portfolio Corporate ON InvFund ------Class

Select Canadian Equity Managed Corporate ON InvFund ------Class

Select Canadian Equity Managed Fund ON InvFund ------

Select Income Managed Corporate Class Select Income Advantage ON InvFund ------Managed Corporate Class

Select International Equity Managed ON InvFund ------Corporate Class 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)

Select International Equity Managed Fund ON InvFund ------

Select Staging Fund ON InvFund ------

Select U.S Equity Managed Fund ON InvFund ------

Select U.S. Equity Managed Corporate ON InvFund ------Class

SemBioSys Genetics Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2012/08/20 InvFund

Semi-Tech Corporation -- Non- -- -- Yes/Oui 1999/09/22 InvFund

Senbrook Townhouses Limited -- Non- -- -- Yes/Oui 1990/10/09 InvFund

Sendero Mining Corp. QRS Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/08 InvFund

Senior Secured Floating Rate Loan Fund QC InvFund ------

SENSIO Technologies Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/02/03 InvFund

Sensor Technologies Corp. Mooncor Oil & Gas Corp.; ON Non------DVD Investments Limited InvFund

Sentinel Resources Corp. BC Non------InvFund

Sentry All Cap Income Class Sentry Diversified Equity ON InvFund ------Class; Sentry Diversified Total Return Class

Sentry All Cap Income Fund Sentry Diversified Income ON InvFund ------Fund; Sentry Select Diversified Income Fund

Sentry Balanced Income Portfolio Sentry Income Portfolio ON InvFund ------

Sentry Balanced Yield Private Pool Class ON InvFund ------

Sentry Canadian Core Fixed Income Private ON InvFund ------Trust

Sentry Canadian Equity Income Private Pool ON InvFund ------Class

Sentry Canadian Equity Income Private ON InvFund ------Trust

Sentry Canadian Income Class Sentry Select Canadian ON InvFund ------Income Class

Sentry Canadian Income Fund Sentry Select Canadian ON InvFund ------Income Fund

Sentry Conservative Balanced Income ON InvFund ------Class

Sentry Conservative Balanced Income Fund Sentry Select Conservative ON InvFund ------Income Fund

Sentry Conservative Income Portfolio ON InvFund ------

Sentry Defensive Income Portfolio ON InvFund ------

Sentry Energy Private Trust ON InvFund ------

Sentry Global Balanced Yield Private Pool ON InvFund ------Class

Sentry Global Core Fixed Income Private ON InvFund ------Trust 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) Sentry Global Equity Income Private Pool ON InvFund ------Class

Sentry Global High Yield Fixed Income ON InvFund ------Private Trust

Sentry Global Infrastructure Private Trust ON InvFund ------

Sentry Global Investment Grade Private Pool ON InvFund ------Class

Sentry Global Real Estate Private Trust ON InvFund ------

Sentry Growth and Income Portfolio ON InvFund ------

Sentry Growth Portfolio ON InvFund ------

Sentry International Equity Income Private ON InvFund ------Pool Class

Sentry International Equity Income Private ON InvFund ------Trust

Sentry Precious Metals Class Sentry Precious Metals ON InvFund ------Growth Class; Sentry Select Precious Metals Growth Class

Sentry Precious Metals Fund Sentry Precious Metals ON InvFund ------Growth Fund; Sentry Select Precious Metals Growth Fund; NCE Precious Metals Growth Fund

Sentry Precious Metals Private Trust ON InvFund ------

Sentry Real Growth Pool Class ON InvFund ------

Sentry Real Income 1941-45 Class ON InvFund ------

Sentry Real Income 1946-50 Class ON InvFund ------

Sentry Real Income 1951-55 Class ON InvFund ------

Sentry Real Long Term Income Pool Class ON InvFund ------

Sentry Real Long Term Income Trust ON InvFund ------

Sentry Real Mid Term Income Pool Class ON InvFund ------

Sentry Real Mid Term Income Trust ON InvFund ------

Sentry Real Short Term Income Pool Class ON InvFund ------

Sentry Real Short Term Income Trust ON InvFund ------

Sentry Resource Opportunities Class Sentry Canadian Resource ON InvFund ------Class; Sentry Select Canadian Resource Class; Sentry Select Canadian Resource Fund Ltd.

Sentry Select Primary Metals Corp. ON InvFund ------

Sentry Small/Mid Cap Income Class ON InvFund ------

Sentry Small/Mid Cap Income Fund Sentry Small Cap Income ON InvFund ------Fund; Sentry Select Small Cap Income Fund

Sentry U.S. Equity Income Currency Neutral ON InvFund ------Private Pool Class

Sentry U.S. Equity Income Private Pool ON InvFund ------Class

Sentry U.S. Equity Income Private Trust ON InvFund ------

Sentry U.S. Growth and Income Class ON 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)

Sentry U.S. Growth and Income Corporate CI American Equity ON InvFund ------Class Corporate Class; Cambridge American Equity Corporate Class; CI American Equity Corporate Class; BPI American Equity Corporate Class; BPI American Equity Sector Fund

Sentry U.S. Growth and Income Currency ON InvFund ------Neutral Class

Sentry U.S. Growth and Income Fund Sentry Select MBS ON InvFund ------Adjustable Rate Income Fund II

Sentry U.S. Monthly Income Fund Sentry U.S. Balanced ON InvFund ------Income Fund

Senvest Capital Inc. QC Non------InvFund

Serabi Gold plc Serabi Mining plc ON Non------InvFund

Serica Energy PLC AB Non------InvFund

Serinus Energy plc Serinus Energy Inc.; Kulczyk AB Non------Oil Ventures Inc.; Loon InvFund Energy Inc.

Sernova Corp. Pheromone Sciences Corp. ON Non------InvFund

Serrano Resources Ltd. Mira Resources Corp.; BC Non------Suntec Pure Water InvFund Technologies Inc.; Suntec Capital Inc.

Serval Integrated Energy Services Serval Growth Fund -- Non- -- -- Yes/Oui 1999/11/18 InvFund

Seven Arts Fund - 1980 ON InvFund -- -- Yes/Oui 1982/09/10

Seven Evergreen Apartment Project MB Non- -- -- Yes/Oui 2006/12/08 InvFund

Seven Generations Energy Ltd. AB Non------InvFund

Seven Seas Petroleum Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/05/28 InvFund

Sextant Entertainment Group Inc. Rhodelta Software Inc. -- Non- Yes/Oui 1b Yes/Oui 2002/06/25 InvFund

ShaMaran Petroleum Corp. Bayou Bend Petroleum Ltd.; BC Non------Kit Resources Ltd.; Arauco InvFund Resources Corporation

Shannon Environmental Ltd. -- Non- -- -- Yes/Oui 1994/05/13 InvFund

Shape of Things To Come, The -- Non- -- -- Yes/Oui 1982/02/12 InvFund

Sharc International Systems Inc. International Wastewater BC Non------Systems Inc.; Amana InvFund Copper Ltd.; Titan Goldworx Resources Inc.

Share Resources Inc. Share Mines & Oils Ltd. -- Non- -- -- Yes/Oui 1998/06/23 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)

Sharon, Lois & Bram's Elephant Show ON Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2001/09/27 (Series III) InvFund

Sharon, Lois & Brams Elephant Show ON Non- -- -- Yes/Oui 2001/09/27 (Series IV) InvFund

Sharpe Resources Corporation Sharpe Energy & ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 Resources Limited InvFund

Shaw Communications Inc. AB Non------InvFund

ShawCor Ltd. Shaw Industries Ltd. ON Non------InvFund

Sheen Resources Ltd. Pencari Resource BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/06/18 Corporation; Pencari Mining InvFund Corporation; Azure Resources Corp.

Sheridan Brothers Trust Norstar Securities Trust ON Non------InvFund

Sherobee Glen Limited Partnership MB Non------InvFund

Sherpa II Holdings Corp. BC Non------InvFund

Sherritt International Corporation ON Non------InvFund

Shift Networks Inc. Venstone One Capital Corp. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/05/28 InvFund

Shine Box Capital Corp. AB Non------InvFund

Shiningtree Resources Inc. -- Non- -- -- Yes/Oui 1997/07/04 InvFund

Shoal Point Energy Ltd. Allied Northern Capital ON Non------Corporation; Allied Northern InvFund Resources Ltd.

Shooting Star Acquisition Corp. BC Non------InvFund

Shopify Inc. ON Non------InvFund

Shoreline Energy Corp. Global Credit Pref Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/10 InvFund

Short Term Bond Fund ON InvFund ------

Short Term Income Corporate Class ON InvFund ------

Short Term Income Pool Assante Short Term Income ON InvFund ------Pool; Optima Strategy Short Term Income Pool; Optima Strategy Fund - Short Term Investment Section

Short Term Investment Fund ON InvFund ------

Sienna Senior Living Inc. Leisureworld Senior Care ON Non------Corporation InvFund

Sierra Growth Corp. Grenville Gold Corp.; BC Non------Grenville Gold Corporation InvFund

Sierra Madre Developments Inc. BC Non------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) Sierra Metals Inc. Dia Bras Exploration Inc.; ON Non------Line Islands Exploration InvFund Inc.

Sierra Wireless, Inc. BC Non------InvFund

Signature Asian Opportunities Corporate CI Pacific Corporate Class; ON InvFund ------Class CI Pacific Sector Fund

Signature Asian Opportunities Fund CI Pacific Fund ON InvFund ------

Signature Canadian Balanced Corporate Harbour Growth & Income ON InvFund ------Class Corporate Class

Signature Canadian Balanced Fund BPI Income & Growth Fund ON InvFund ------

Signature Canadian Bond Corporate Class Signature Canadian Bond ON InvFund ------Corporate Class of CI Corporate Class Limited; CI Canadian Bond Corporate Class; CI Canadian Bond Sector Fund

Signature Canadian Bond Fund CI Canadian Bond Fund ON InvFund ------

Signature Core Bond Plus Fund Signature Tactical Bond ON InvFund ------Pool

Signature Corporate Bond Class Sentry Corporate Bond ON InvFund ------Class; Sentry Enhanced Corporate Bond Class; Sentry Enhanced Corporate Bond Capital Yield Class

Signature Corporate Bond Corporate Class Signature Corporate Bond ON InvFund ------Sector Fund

Signature Corporate Bond Fund Clarica High Yield Bond ON InvFund ------Fund

Signature Diversified Yield Corporate Class ON InvFund ------

Signature Diversified Yield Fund Signature Diversified Yield II ON InvFund ------Fund; Signature Enhanced Yield Fund; Castlerock Enhanced Yield Fund

Signature Dividend Corporate Class Signature Dividend Sector ON InvFund ------Fund

Signature Dividend Fund C.I. Dividend Fund; Monarch ON InvFund ------Dividend Fund; C.I. Canadian Dividend Fund

Signature Emerging Markets Corporate CI Emerging Markets ON InvFund ------Class Corporate Class; CI Emerging Markets Sector Fund

Signature Emerging Markets Fund CI Emerging Markets Fund ON InvFund ------

Signature Floating Rate Income Fund Signature Floating Rate ON InvFund ------Income Pool

Signature Global Bond Corporate Class CI Global Bond Corporate ON InvFund ------Class; CI Global Bond Sector Fund

Signature Global Bond Fund CI Global Bond Fund; CI ON InvFund ------World Bond Fund

Signature Global Dividend Corporate Class ON InvFund ------

Signature Global Dividend Fund ON 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) Signature Global Energy Corporate Class Signature Global Energy ON InvFund ------Corporate Class of CI Corporate Class Limited; CI Global Energy Corporate Class; CI Global Energy Sector Fund

Signature Global Equity Corporate Class CI Global Corporate Class; ON InvFund ------CI Global Sector Fund; C.I. Sector Fund Limited

Signature Global Equity Fund CI Global Fund ON InvFund ------

Signature Global Income & Growth ON InvFund ------Corporate Class

Signature Global Income & Growth Fund ON InvFund ------

Signature Global Infrastructure Fund Sentry Global Infrastructure ON InvFund ------Fund; Sentry Infrastructure Fund; Sentry Select Lazard Global Infrastructure Fund

Signature Global REIT Class (fomrerly Signature Global REIT ON InvFund ------Sentry Global REIT Class) Class; Sentry Global REIT Class; Sentry REIT Class

Signature Global REIT Fund Sentry Global REIT Fund; ON InvFund ------Sentry REIT Fund; Sentry Select Reit Fund; Sentry Select Real Estate Securities Fund; NCE Real Estate Securities Fund

Signature Global Resource Corporate Signature Canadian ON InvFund ------Class Resource Corporate Class; Signature Canadian Resource Sector Fund

Signature Global Resource Fund Signature Canadian ON InvFund ------Resource Fund; C.I. Canadian Resource Fund; Monarch Canadian Resource Fund

Signature Global Technology Corporate Signature Global Science & ON InvFund ------Class Technology Corporate Class; CI Global Science & Technology Corporate Class; CI Global Science & Technology Sector Fund

Signature Gold Corporate Class ON InvFund ------

Signature High Income Corporate Class Signature High Income ON InvFund ------Sector Fund

Signature High Income Fund BPI High Income Fund ON InvFund ------

Signature High Yield Bond Class Sentry Global High Yield ON InvFund ------Bond Class; Sentry Tactical Bond Class; Sentry Tactical Bond Capital Yield Class

Signature High Yield Bond Corporate Class ON InvFund ------

Signature High Yield Bond Fund Signature High Yield Bond II ON InvFund ------Fund

Signature Income & Growth Corporate Signature Income & Growth ON InvFund ------Class Sector Fund

Signature Income & Growth Fund Synergy Canadian Income ON InvFund ------Fund 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) Signature Preferred Share Fund Signature Preferred Share ON InvFund ------Pool

Signature Select Canadian Corporate Class Signature Select Canadian ON InvFund ------Sector Fund

Signature Select Canadian Fund Signature Dividend Equity ON InvFund ------Fund; BPI Dividend Equity Fund

Signature Short-Term Bond Fund CI Short-Term Bond Fund; ON InvFund ------Spectrum Short-Term Bond Fund; Spectrum United Short-Term Bond Fund; United Canadian Mortgage Fund

Signature Systematic Yield Pool ON InvFund ------

Signtech Inc. -- Non- -- -- Yes/Oui 1992/10/14 InvFund

Silence of the North -- Non- -- -- Yes/Oui 1986/05/28 InvFund

Silicon Graphics Canada Limited -- Non------InvFund

Silk Energy Limited Inspiration Mining ON Non------Corporation InvFund

Silk Road Energy Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2019/02/01 InvFund

Silk Road Finance Inc. Silk Road Ventures Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

Silo Wellness Inc. Yukoterre Resources Inc. ON Non------InvFund

Siltronics Ltd. -- Non- -- -- Yes/Oui 1988/03/08 InvFund

Silver Bar Mines Limited -- Non- -- -- Yes/Oui 1987/10/07 InvFund

Silver Bear Resources Plc ON Non------InvFund

Silver Bull Resources, Inc. Metalline Mining Company BC Non------InvFund

Silver Dollar Resources Inc. BC Non------InvFund

Silver Elephant Mining Corp. Prophecy Development BC Non------Corp.; Prophecy Coal Corp.; InvFund Prophecy Resource Corp.

Silver Mountain Mines Inc. AB Non------InvFund

Silver Phoenix Resources Inc. BC Non------InvFund

Silver Predator Corp. PLATORO WEST BC Non------HOLDINGS INC. InvFund

Silver Sands Resources Corp. Golden Opportunity BC Non------Resources Corp. InvFund

Silver Stream Mining Corp. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/08/12 InvFund

Silver Tiger Metals Inc. Oceanus Resources NS Non------Corporation 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) Silver Viper Minerals Corp. BC Non------InvFund

Silverado Limited Partnership -- Non- -- -- Yes/Oui 1995/05/31 InvFund

Silverbirch Inc. York Capital Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/01/30 InvFund

Silvercorp Metals Inc. BC Non------InvFund

SilverCrest Metals Inc. BC Non------InvFund

Silverton Metals Corp. Plymouth Realty Capital BC Non------Corp. InvFund

Simax Oil & Gas Inc. -- Non- -- -- Yes/Oui 1994/06/01 InvFund

Simcoe Erie Investors Limited -- Non------InvFund

Simmonds Capital Limited Simmonds ON Non- Yes/Oui 1a Yes/Oui 2002/05/23 Communications Ltd. InvFund

Simplex Solutions Inc. Polar Innovative Capital ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2007/07/04 Corp.; Impact Capital InvFund Resources Inc.

Sino Rise Group Holding Corp. CINS Holding Corp. BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2016/12/05 InvFund

Sinorank Petroleum Resources Limited BC Non- -- -- Yes/Oui 1998/08/21 InvFund

Sintana Energy Inc. ON Non------InvFund

Sionna Canadian Equity Fund Brandes Sionna Canadian ON InvFund ------Equity Fund

Sionna Opportunities Fund ON InvFund ------

Sionna Strategic Income Fund Sionna Canadian Balanced ON InvFund ------Fund; Brandes Sionna Canadian Balanced Fund; Brandes Canadian Balanced Fund

Sir Royalty Income Fund ON Non------InvFund

Sire Bioscience Inc. Blox Labs Inc.; Big Rock ON Non------Labs Inc. InvFund

Sirius XM Holdings Inc. ON Non------InvFund

Sirona Biochem Corp. High Rider Capital Inc. BC Non------InvFund

Siskon Gold Corporation -- Non- Yes/Oui 1a, 1b, 1d -- -- InvFund

Sitka Gold Corp. BC Non------InvFund

Sixth Wave Innovations Inc. BC Non------InvFund

Sixty North Gold Mining Ltd. BC Non------InvFund

Skeena Resources Limited BC Non------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)

SKG Interactive Inc. Sikaman Gold Resources -- Non- -- -- Yes/Oui 2001/03/14 Ltd. InvFund

SKRR Exploration Inc. Canex Energy Corp.; BC Non- Yes/Oui 3 -- -- Brades Resource Corp. InvFund

Sky Gold Corp. Sunvest Minerals Corp.; BC Non------Strike Diamond Corp.; InvFund Strike Graphite Corp.; Strike Gold Corp.; Minati Capital Corp.

Skyharbour Resources Ltd. BC Non------InvFund

Skyledger Tech Corp. BC Non------InvFund

Skylight Health Group Inc. CB2 Insights Inc. ON Non------InvFund

Skyline Investments Inc. Skyline International ON Non------Development Inc. InvFund

Skyscape Capital Inc. ON Non------InvFund

Slam Exploration Ltd. NB Non------InvFund

SLANG Worldwide Inc. ON Non------InvFund

Slate Bay Gold Mines Limited -- Non- -- -- Yes/Oui 1992/06/18 InvFund

Slate Grocery REIT Slate Retail REIT; Slate U.S. ON Non------Opportunity (No. 1) Realty InvFund Trust

Slate Office REIT FAM Real Estate Investment ON Non------Trust InvFund

Slater Steel Inc. Slater Industries Inc. ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2004/10/29 InvFund

Slave Lake Zinc Corp. BC Non------InvFund

Sleep Country Canada Holdings Inc. ON Non------InvFund

SLMsoft Inc. SLM Software Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2005/01/24 InvFund 1e, 3

Smart Employee Benefits Inc. Whiteknight Acquisitions ON Non------Inc. InvFund

SmartBe Canadian Quantitative Momentum AB InvFund ------Index ETF

SmartBe Canadian Quantitative Value Index AB InvFund ------ETF

SmartBe U.S. Quantitative Momentum Index AB InvFund ------ETF

SmartBe U.S. Quantitative Value Index ETF AB InvFund ------

SmartCentres Real Estate Investment Trust Smart Real Estate ON Non------Investment Trust; Calloway InvFund Real Estate Investment Trust

SmartSales Inc. -- Non- Yes/Oui 1b Yes/Oui 2003/01/14 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)

Smartset Services Inc. BC Non------InvFund

SNC-Lavalin Group Inc. SNC - Lavalin Group Inc. QC Non------InvFund

Sniper Resources Ltd. BC Non------InvFund

Snow Leopard Resources Inc. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2004/10/19 InvFund

Snowy Owl Gold Corp. BC Non------InvFund

Sobeys Inc. Sobeys Canada Inc. NS Non------InvFund

Socanav Inc. -- Non- -- -- Yes/Oui 1997/01/09 InvFund

Societerra 100 per cent Equity Portfolio QC InvFund ------

SocieTerra Balanced Portfolio QC InvFund ------

SocieTerra Conservative Portfolio SocieTerra Secure Market QC InvFund ------Portfolio

SocieTerra Growth Portfolio Desjardins Ethical QC InvFund ------Canadian Balanced Fund; Desjardins Ethical Balanced Fund

SocieTerra Maximum Growth Portfolio SocieTerra Growth Plus QC InvFund ------Portfolio

SocieTerra Moderate Portfolio QC InvFund ------

Soficorp Dividend Fund QC InvFund Yes/Oui 1a, 1b, 1d, 4 Yes/Oui 1989/09/15

Sofimines 1987 and Company, Limited QC Non- -- -- Yes/Oui 1989/06/14 Partnership InvFund

Sofimines 1988 and Company, Limited QC Non- -- -- Yes/Oui 1989/06/14 Partnership InvFund

Sofimines Investment Fund II Inc. QC InvFund -- -- Yes/Oui 1989/06/14

Softcop Corporation -- Non- -- -- Yes/Oui 1996/01/09 InvFund

Softlab9 Technologies Inc. SoftLab9 Software BC Non------Solutions Inc.; APPx Group InvFund Holdings Inc.; APPx Crypto Technologies Inc.

Softwex Technologies Inc. ITN Technologies Inc. -- Non- -- -- Yes/Oui 1999/10/06 InvFund

SOL Global Investments Corp. Scythian Biosciences Corp.; ON Non------Kitrinor Metals Inc. InvFund

Solara Exploration Ltd AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/12/22 InvFund

Solaris Resources Inc. Solaris Copper Inc. BC Non------InvFund

Solarvest BioEnergy Inc. GCH Capital Partners Inc. BC Non------InvFund

Soldera Mining Corp. BC Non------InvFund

SolGold plc ON Non------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) Solid Gold Resources Corp. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/02/06 InvFund

Solimar Energy Limited AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/12/08 InvFund

Solitario Zinc Corp. Solitario Exploration & ON Non------Royalty Corp.; Solitario InvFund Resources Corporation

Solution Financial Inc. Shelby Ventures Inc. BC Non------InvFund

Solutrea Corp. Powerstar International Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2007/09/12 InvFund

Solvbl Solutions Inc. ON Non------InvFund

Sombrero Resources Inc. BC Non------InvFund

Sona Nanotech Inc. Stockport Exploration Inc.; NS Non------Linear Metals Corporation InvFund

Sonde Resources Corp. Canadian Superior Energy AB Non- Yes/Oui 1c, 1e Yes/Oui 2014/11/25 Inc.; Prize Energy Inc. InvFund

Song Corporation, The -- Non- -- -- Yes/Oui 2001/05/30 InvFund

SonnenEnergy Corp. Eminence Capital I Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/05/11 InvFund

Sonomax Technologies Inc. QC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/07/10 InvFund

Sonor Investments Limited ON Non------InvFund

Sonora Diamond Corp. Ltd. Sonora Gold Corp. ON Non- -- -- Yes/Oui 2001/06/29 InvFund

Sonoro Energy Ltd. Sonic Technology Solutions AB Non------Inc.; Sonic Environmental InvFund Solutions Inc.

Sonoro Gold Corp. Sonoro Metals Corp.; BC Non------Becker Gold Mines Ltd.; InvFund Independent Enterprises Inc.; Independent Mining Corporation Limited

SOPerior Fertilizer Corp. Potash Ridge Corporation ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2021/04/07 InvFund

Sophiris Bio Inc. Protox Therapeutics Inc.; BC Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2020/04/08 SNB Capital Corp. InvFund

Sorrel Resources ltd. -- Non- -- -- Yes/Oui 1986/08/07 InvFund

Sound Healthcare Inc. -- Non- -- -- Yes/Oui 1992/05/29 InvFund

Source Energy Services Ltd. AB Non------InvFund

South Shore Gold Mines Limited -- Non- -- -- Yes/Oui 1978/07/11 InvFund

Southern Arc Minerals Inc. BC Non------InvFund

Southern Pacific Resource Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/02/26 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) SouthGobi Resources Ltd. SouthGobi Energy BC Non------Resources Ltd.; Asia Gold InvFund Corp.

Southland Tower I Limited Partnership -- Non- -- -- Yes/Oui 1987/06/22 InvFund

Southridge Farms Limited Partnership -- Non- -- -- Yes/Oui 1987/06/04 InvFund

Southstone Minerals Limited Tango Mining Limited; BC Non------Tango Gold Mines InvFund Incorporated; F.D.G. Mining Inc.

Southwind Resource Explorations Limited -- Non- -- -- Yes/Oui 1988/09/23 InvFund

Spacefy Inc. ON Non------InvFund

Spackman Equities Group Inc. Centiva Capital Inc. ON Non------InvFund

Spanish Mountain Gold Ltd. Skygold Ventures Ltd. BC Non------InvFund

Spark Power Group Inc. Canaccord Genuity ON Non------Acquisition Corp. InvFund

Spartan Acquisition Corp. BC Non------InvFund

Spartan Delta Corp. Return Energy Inc.; DualEx AB Non------Energy International Inc. InvFund

Spartec International Corporation -- Non- -- -- Yes/Oui 1999/07/16 InvFund

Sparton Resources Inc. ON Non------InvFund

SPC Nickel Corp. ON Non------InvFund

Speakeasy Cannabis Club Ltd. Hadley Mining Inc. BC Non------InvFund

Spearmint Resources Inc. BC Non------InvFund

Specialty Foods Group Income Fund ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/09/04 InvFund

Spectra Products Inc. Spectra Inc. ON Non------InvFund

Spectra7 Microsystems Inc. Chrysalis Capital VIII ON Non------Corporation InvFund

Spectral Medical Inc. Spectral Diagnostics Inc. ON Non------InvFund

Spey Resources Corp. BC Non- Yes/Oui 3 -- -- InvFund

Sphere 3D Corp. Sphere 3D Corporation; ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 -- -- T.B. Mining Ventures Inc. InvFund

Sphinx Resources Ltd. Donner Metals Ltd. QC Non------InvFund

Spin Master Corp. ON Non------InvFund

Spinlogic Technologies Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2007/10/05 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)

Spinnaker Development Corporation -- Non- -- -- Yes/Oui 1993/07/22 InvFund

Spirit Banner II Capital Corp. ON Non------InvFund

SponsorsOne Inc. New International Infopet ON Non------Systems Ltd.; International InvFund Infopet Systems Ltd.

Sport Active Television Network Inc. Sports Active Inc. AB Non- -- -- Yes/Oui 1999/01/08 InvFund

Sportsclick Inc. Okalla Corp.; Aloak Corp.; AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/02/20 Hixon Gold Resources Inc. InvFund

Spot Coffee (Canada) Ltd. Award Capital Corp. ON Non------InvFund

Spring Chemicals Limited -- Non- -- -- Yes/Oui 1979/06/11 InvFund

Spring Fever -- Non- -- -- Yes/Oui 1985/06/12 InvFund

Springfield Properties I Limited Partnership -- Non- -- -- Yes/Oui 1996/06/10 InvFund

Sprott Inc. ON Non------InvFund

Sprott Physical Gold Trust ON InvFund ------

Sprott Physical Gold & Silver Trust ON InvFund ------

Sprott Physical Platinum and Palladium ON InvFund ------Trust

Sprott Physical Silver Trust ON InvFund ------

Sproutly Canada, Inc. Stone Ridge Exploration BC Non------Corp. InvFund

Spruce Ridge Resources Ltd. ON Non------InvFund

Spyder Cannabis Inc. Anchor Capital Corporation AB Non------InvFund

Spyglass Resources Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/10 InvFund

Spyn Corporation O'Donnell Group Inc., The -- Non- Yes/Oui 1b Yes/Oui 2003/07/09 InvFund

SQI Diagnostics Inc. Emblem Capital Inc. ON Non------InvFund

SQID Technologies Limited BC Non------InvFund

Squatex Energy and Resources Inc. QC Non------InvFund

SRAI Capital Corp. BC Non------InvFund

SRG Mining Inc. SRG Graphite Inc. QC Non------InvFund

SRHI Inc. Sprott Resource Holdings ON Non------Inc.; Adriana Resources InvFund Inc.; Adriana Ventures Inc.; Agro Pacific Industries Ltd.

SSR Mining Inc. Silver Standard Resources BC Non------Inc. 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)

St-Georges Eco-Mining Corp. St-Georges Platinum and BC Non------Base Metals Ltd.; InvFund ACFAW.COM INC.

StageZero Life Sciences Ltd. GeneNews Limited; ON Non- Yes/Oui 3 -- -- ChondroGene Limited; InvFund Lewis Brook Resources Ltd.

Stampede Drilling Inc. MATRRIX Energy AB Non------Technologies Inc.; Elson InvFund Energy Enterprises Ltd.

Stan West Mining Corp. -- Non- -- -- Yes/Oui 1990/09/14 InvFund

Standard-Modern Technologies Corporation -- Non- -- -- Yes/Oui 1988/06/15 InvFund

Standard Broadcasting Corporation Limited -- Non------InvFund

Standard Lithium Ltd. BC Non------InvFund

Standard Trust Company -- Non- -- -- Yes/Oui 1991/05/22 InvFund

Standard Trustco Limited -- Non- -- -- Yes/Oui 1991/05/22 InvFund

Standard Uranium Ltd. BC Non------InvFund

Stanley Park Place Apartments -- Non- -- -- Yes/Oui 1987/09/18 InvFund

Stans Energy Corp. ON Non- -- -- Yes/Oui 2020/05/06 InvFund

Stantec Inc. Stanley Technology Group AB Non------Inc. InvFund

Star Diamond Corporation Shore Gold Inc. SK Non------InvFund

Star Navigation Systems Group Ltd. Aztech New Media Corp. ON Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2019/11/01 InvFund

Star Properties Inc. Molnar Capital Corporation -- Non- -- -- Yes/Oui 1999/01/08 InvFund

Star Royalties Ltd. ON Non------InvFund

Starcore International Mines Ltd. Starcore International BC Non------Ventures Ltd. InvFund

Starfield Resources Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2013/08/22 InvFund 1e, 3

Starfire Minerals Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/03/13 InvFund

Starfire Technologies International Inc. 8 Crown Capital Corp. -- Non- -- -- Yes/Oui 2001/05/25 InvFund

Starlight Global Infrastructure Fund ON InvFund ------

Starlight Global Real Estate Fund ON InvFund ------

Starlight Hybrid Global Real Assets Trust ON Non------InvFund

Starlight U.S. Multi-Family (No. 1) Core Plus ON Non------Fund 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) Starlight U.S. Multi-Family (No. 2) Core Plus ON Non------Fund InvFund

Staront Technologies Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/11/02 InvFund

Starratt Resources Limited -- Non- -- -- Yes/Oui 1999/07/16 InvFund

Starrex International Ltd. Starrex Mining Corporation ON Non------Ltd.; Starrex International InvFund Ltd.; Starrex Mining Corporation Ltd.

StartMonday Technology Corp. Centennial Acquisitions BC Non- Yes/Oui 1a, 1b, 1c, 1e Yes/Oui 2019/07/10 Corp. InvFund

Starwood Industries Inc. Library Information Software ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2007/05/03 Corp.; Red Fox Resources InvFund Inc.

States Exploration Ltd. -- Non- -- -- Yes/Oui 1991/06/24 InvFund

Steadman Oceanographic Technology & ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1983/10/12 Growth Fund

Steadyhand Builders Fund BC InvFund ------

Steadyhand Equity Fund BC InvFund ------

Steadyhand Founders Fund BC InvFund ------

Steadyhand Global Equity Fund BC InvFund ------

Steadyhand Global Small-Cap Equity Fund BC InvFund ------

Steadyhand Income Fund BC InvFund ------

Steadyhand Savings Fund BC InvFund ------

Steadyhand Small-Cap Equity Fund BC InvFund ------

Stealth Minerals Limited BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/04/15 InvFund

Steed Ventures Corporation -- Non- -- -- Yes/Oui 1988/06/15 InvFund

Stef International Corporation -- Non- -- -- Yes/Oui 1998/06/01 InvFund

Stelco Holdings Inc. ON Non------InvFund

Stella-Jones Inc. QC Non------InvFund

Stem Holdings, Inc. ON Non------InvFund

STEP Energy Services Ltd. AB Non------InvFund

Steppe Gold Ltd. ON Non------InvFund

Steppe Gold Resources Ltd. -- Non- -- -- Yes/Oui 1999/10/06 InvFund

Sterling Leaf Income Trust AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2006/05/17 InvFund

Sterling Limited Partnership Cedarcroft Oshawa Limited -- Non- -- -- Yes/Oui 2002/05/22 Partnership InvFund

Sterling Mining Company ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2010/06/21 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)

Sterling Shoes Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2013/09/16 InvFund

Stevens Gold Nevada Inc. BC Non------InvFund

Stewart Lake Resources Inc. -- Non- -- -- Yes/Oui 1993/07/23 InvFund

Stikine Energy Corp. Stikine Gold Corporation BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/07/15 InvFund

Stinger Resources Inc. BC Non------InvFund

Stingray Group Inc. Stingray Digital Group Inc. QC Non------InvFund

STN Incorporated -- Non- -- -- Yes/Oui 1995/09/19 InvFund

Stockguard Corporation -- Non- -- -- Yes/Oui 1998/06/17 InvFund

Stone American Dividend Growth Fund Marquest American ON InvFund ------Dividend Growth Fund

Stone Covered Call Canadian Bank Plus Marquest Covered Call ON InvFund ------Fund Canadian Banks Plus Fund

Stone Dividend Growth Class Stone & Co. Dividend ON InvFund ------Growth Class Canada; Stone & Co. Dividend Growth Class; Canadian Anaesthetists' Mutual Accumulating Fund Limited

Stone Dividend Yield Hog Fund Stone Monthly Pay Fund; ON InvFund ------Marquest Monthly Pay Fund; Matrix Monthly Pay Fund; Mavrix Balanced Monthly Pay Fund; Mavrix Income Fund; Mavrix Canadian Income Trust Fund

Stone Global Balanced Fund Stone & Co. Flagship ON InvFund ------Growth & Income Fund Canada

Stone Global ESG Strategy Fund Stone Global Strategy Fund; ON InvFund ------Marquest Global Balanced Fund; Marquest Tax Deferred Income Fund; Matrix Tax Deferred Income Fund; Mavrix Tax Deferred Income Fund; Northern Rivers Monthly Income and Capital Appreciation Fund

Stone Global Growth Fund Stone & Co. Flagship ON InvFund ------Global Growth Fund

Stone Global Sustainability Fund Stone Europlus Fund; ON InvFund ------Stone & Co. Europlus Dividend Growth Fund

Stone Gold Inc. CR Capital Corp.; Cogitore ON Non------Resources Inc.; Woodruff InvFund Capital Management Inc.

Stone Growth Fund Stone & Co. Flagship Stock ON InvFund ------Fund Canada

Stone Investment Group Limited ON Non------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)

Stone Mountain Apartments I Limited -- Non- -- -- Yes/Oui 1996/06/10 Partnership InvFund

Stone Mountain Holdings Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/01/10 InvFund

Stonebridge Inc. -- Non- -- -- Yes/Oui 1991/02/22 InvFund

StoneCastle Cannabis Growth Fund ON InvFund ------

Stoneset Equity Development Corp. Aqueous Capital Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2011/07/29 InvFund

StorageVault Canada Inc. ON Non------InvFund

Storm Cat Energy Corporation BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2009/04/14 InvFund

Storm Resources Ltd. AB Non------InvFund

Stormcrow Holdings Corp. ON Non------InvFund

Stornoway Diamond Corporation QC Non- Yes/Oui 1c, 1e -- -- InvFund

stox.com Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2002/04/08 InvFund

Straight Forward Marketing Corporation ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2007/01/16 InvFund

Straightup Resources Inc. BC Non------InvFund

Stratas Corporation Ltd., The -- Non- -- -- Yes/Oui 1990/06/19 InvFund

Strateco Resources Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/09/11 InvFund

Strategic Oil & Gas Ltd. AB Non- -- -- Yes/Oui 2019/05/06 InvFund

Strategic Resources Inc. Uranium City Resources BC Non------Inc. InvFund

Stratford Village Limited Partnership -- Non- -- -- Yes/Oui 1998/05/29 InvFund

Strathearn House Group Limited -- Non- -- -- Yes/Oui 1992/06/18 InvFund

Stria Lithium Inc. Stria Capital Inc. ON Non------InvFund

Strike Minerals Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/02/12 InvFund

Stroud Resources Ltd. ON Non------InvFund

Stuhini Exploration Ltd. BC Non------InvFund

Stump Mines Ltd. -- Non- -- -- Yes/Oui 1977/11/08 InvFund

Stuve Gold Corp. Big Dougie Capital Corp. AB Non------InvFund

St. Anthony Resources Inc. -- Non- Yes/Oui 1a, 1b Yes/Oui 2003/05/26 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) St. Augustine Gold and Copper Limited Ratel Gold Limited ON Non------InvFund

St. Charles Village ON Non------InvFund

St. Clair Paint & Wallpaper Corporation -- Non- -- -- Yes/Oui 1997/04/10 InvFund

St. James Square Limited Partnership MB Non------InvFund

St. Lucie Exploration Company Limited -- Non- Yes/Oui 1b, 3 Yes/Oui 2003/10/10 InvFund

St. Martin's (No. 1) Limited Partnership -- Non- -- -- Yes/Oui 1994/09/07 InvFund

St. Martin's (No. 2) Limited Partnership -- Non- -- -- Yes/Oui 1995/09/20 InvFund

Subversive Acquisition LP Subversive Real Estate ON Non------Acquisition REIT LP InvFund

SugarBud Craft Growers Corp. Relentless Resources Ltd.; AB Non------New Range Resources InvFund Ltd.; Open Range Capital Corp.

Sulliden Mining Capital Inc. ON Non------InvFund

Summa Silver Corp. Pinnacle North Gold Corp. BC Non------InvFund

Summit 2-B, The -- Non- -- -- Yes/Oui 1994/06/03 InvFund

Summit Industrial Income REIT ON Non------InvFund

Sun-Times Media Group, Inc. Hollinger International Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

Sun Life Assurance Company of Canada ON Non------InvFund

Sun Life BlackRock Canadian Composite ON InvFund ------Equity Fund

Sun Life BlackRock Canadian Equity Fund ON InvFund ------

Sun Life BlackRock Canadian Universe ON InvFund ------Bond Fund

Sun Life Capital Trust ON Non------InvFund

Sun Life Core Advantage Credit Private Pool ON InvFund ------

Sun Life Dynamic Equity Income Fund ON InvFund ------

Sun Life Dynamic Strategic Yield Fund ON InvFund ------

Sun Life Excel Emerging Markets Fund Sun Life Schroder ON InvFund ------Emerging Markets Fund; Sun Life Tradewinds Emerging Markets Fund

Sun Life Excel High Income Fund Excel High Income Fund; ON InvFund ------Excel EM High Income Fund

Sun Life Excel India Balanced Fund Excel India Balanced Fund ON InvFund ------

Sun Life Excel India Fund Excel India Fund; India ON InvFund ------Excel Fund 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) Sun Life Excel New India Leaders Fund Excel New India Leaders ON InvFund ------Fund

Sun Life Financial Inc. Sun Life Financial Services ON Non------of Canada Inc. InvFund

Sun Life Global Dividend Private Pool ON InvFund ------

Sun Life Global Tactical Yield Private Pool ON InvFund ------

Sun Life Granite Balanced Class Sun Life Managed ON InvFund ------Balanced Class

Sun Life Granite Balanced Growth Class Sun Life Managed ON InvFund ------Balanced Growth Class

Sun Life Granite Balanced Growth Portfolio Sun Life Managed ON InvFund ------Balanced Growth Portfolio

Sun Life Granite Balanced Portfolio Sun Life Managed ON InvFund ------Balanced Portfolio

Sun Life Granite Conservative Class Sun Life Managed ON InvFund ------Conservative Class

Sun Life Granite Conservative Portfolio Sun Life Managed ON InvFund ------Conservative Portfolio

Sun Life Granite Enhanced Income Portfolio Sun Life Managed ON InvFund ------Enhanced Income Portfolio

Sun Life Granite Growth Class Sun Life Managed Growth ON InvFund ------Class

Sun Life Granite Growth Portfolio Sun Life Managed Growth ON InvFund ------Portfolio

Sun Life Granite Income Portfolio Sun Life Managed Income ON InvFund ------Portfolio

Sun Life Granite Moderate Class Sun Life Managed Moderate ON InvFund ------Class

Sun Life Granite Moderate Portfolio Sun Life Managed Moderate ON InvFund ------Portfolio

Sun Life Granite Tactical Completion Fund ON InvFund ------

Sun Life JPMorgan International Equity Fund ON InvFund ------

Sun Life MFS Canadian Bond Fund Sun Life MFS McLean ON InvFund ------Budden Canadian Bond Fund; McLean Budden Fixed Income Fund

Sun Life MFS Canadian Equity Fund Sun Life MFS Canadian ON InvFund ------Equity Growth Fund; Sun Life MFS McLean Budden Canadian Equity Growth Fund; McLean Budden Canadian Equity Growth Fund; McLean Budden Equity Growth Fund

Sun Life MFS Dividend Income Fund Sun Life MFS McLean ON InvFund ------Budden Dividend Income Fund; McLean Budden Dividend Income Fund; Mclean Budden High Income Equity Fund

Sun Life MFS Global Growth Class ON InvFund ------

Sun Life MFS Global Growth Fund Sun Life MFS McLean ON InvFund ------Budden Global Growth Fund; Sun Life MFS Global Growth Fund 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)

Sun Life MFS Global Total Return Fund Sun Life MFS McLean ON InvFund ------Budden Global Total Return Fund; Sun Life MFS Global Total Return Fund

Sun Life MFS Global Value Fund Sun Life MFS McLean ON InvFund ------Budden Global Value Fund; Sun Life MFS Global Value Fund

Sun Life MFS International Opportunities Sun Life MFS International ON InvFund ------Class Growth Class

Sun Life MFS International Opportunities Sun Life MFS International ON InvFund ------Fund Growth Fund; Sun Life MFS McLean Budden International Growth Fund; Sun Life MFS International Growth Fund

Sun Life MFS International Value Fund Sun Life MFS McLean ON InvFund ------Budden International Value Fund; Sun Life MFS International Value Fund

Sun Life MFS Low Volatility Global Equity ON InvFund ------Fund

Sun Life MFS Low Volatility International ON InvFund ------Equity Fund

Sun Life MFS U.S. Equity Fund Sun Life MFS McLean ON InvFund ------Budden U.S. Equity Fund; Sun Life MFS McLean Budden U.S. Equity Fund; McLean Budden American Equity Fund; McLean Budden American Equity Growth Fund; McLean Budden American Growth Fund

Sun Life MFS U.S. Growth Class ON InvFund ------

Sun Life MFS U.S. Growth Fund Sun Life MFS McLean ON InvFund ------Budden U.S. Growth Fund; Sun Life MFS U.S. Growth Fund

Sun Life MFS U.S. Value Fund Sun Life MFS McLean ON InvFund ------Budden U.S. Value Fund; Sun Life MFS U.S. Value Fund

Sun Life Milestone 2025 Fund ON InvFund ------

Sun Life Milestone 2030 Fund ON InvFund ------

Sun Life Milestone 2035 Fund ON InvFund ------

Sun Life Milestone Global Equity Fund ON InvFund ------

Sun Life Money Market Class ON InvFund ------

Sun Life Money Market Fund ON InvFund ------

Sun Life Multi-Strategy Bond Fund Sun Life Beutel Goodman ON InvFund ------Canadian Bond Fund

Sun Life NWQ Flexible Income Fund ON InvFund ------

Sun Life Opportunistic Fixed Income Private Sun Life Multi-Strategy ON InvFund ------Pool Target Return Fund 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) Sun Life Real Assets Private Pool Sun Life Real Assets Fund; ON InvFund ------Sun Life Infrastructure Fund; Sun Life Sentry Infrastructure Fund

Sun Life Ryan Labs U.S. Core Fixed Income ON InvFund ------Fund

Sun Life Schroder Global Mid Cap Fund Sun Life Sentry Global Mid ON InvFund ------Cap Fund

Sun Life Tactical Balanced ETF Portfolio ON InvFund ------

Sun Life Tactical Conservative ETF Portfolio ON InvFund ------

Sun Life Tactical Equity ETF Portfolio ON InvFund ------

Sun Life Tactical Fixed Income ETF Portfolio ON InvFund ------

Sun Life Tactical Growth ETF Portfolio ON InvFund ------

Sun Residential Real Estate Investment ON Non------Trust InvFund

Suncor Energy Inc. Suncor Inc. AB Non------InvFund

Sundial Growers Inc. AB Non------InvFund

Sunniva Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/06/22 InvFund

SunOil Ltd. Blackstream Energy BC Non- -- -- Yes/Oui 2015/03/23 Corporation; Stealth Energy InvFund Inc.

SunOpta Inc. Stake Technology Ltd. ON Non------InvFund

Sunora Foods Inc. Thoroughbred Capital Inc. AB Non------InvFund

Sunrise Fund Ltd., The ON InvFund Yes/Oui 1a, 1b, 1d Yes/Oui 1992/06/18

Sunshine Oilsands Ltd. AB Non- Yes/Oui 4 Yes/Oui 2020/10/26 InvFund

Sunspot Capital Inc. True Zone Resources Inc.; BC Non------Copper Cowboy Resources InvFund Inc.

Sunstone Opportunity Fund (2005) Limited BC Non------Partnership InvFund

Sunstone Opportunity (2006) Debenture BC Non------Fund InvFund

Sunstone Opportunity (2006) Realty Trust BC Non------InvFund

Sunstone Opportunity (2007) Mortgage BC Non------Fund InvFund

Sunstone Opportunity (2007) Realty Trust BC Non------InvFund

Sunwah International Limited Kingsway International BC Non------Holdings Limited InvFund

Superior Gold Inc. ON Non------InvFund

Superior Plus Corp. Ballard Power Systems Inc. ON Non------InvFund

Supremex Inc. QC Non------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)

Surge Energy Inc. Zapata Energy Corporation AB Non------InvFund

Surrey Place Limited Partnership -- Non- -- -- Yes/Oui 1998/02/05 InvFund

Sustainable Infrastructure Dividend Fund AB InvFund ------

Sustainable Innovation & Health Dividend AB InvFund ------Fund

Swansea Gold Mines Inc. -- Non- -- -- Yes/Oui 1994/08/30 InvFund

Sweet Earth Holdings Corporation BC Non- Yes/Oui 3 -- -- InvFund

Sweet Natural Trading Co. Limited Xylitol Canada Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2019/05/06 Chudleigh Ventures Inc. InvFund

SweetrLife Technologies inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2015/05/12 InvFund

Swica Resource Corp. -- Non- Yes/Oui 3 Yes/Oui 2001/07/17 InvFund

Swiss Water Decaffeinated Coffee Inc. Ten Peaks Coffee BC Non------Company Inc. InvFund

SwissLink Financial Corporation SwiDent Inc. -- Non- -- -- Yes/Oui 2002/05/23 InvFund

Sword Energy Inc. Thunder Energy Inc. AB Non------InvFund

Sycon Corporation -- Non- -- -- Yes/Oui 1991/06/13 InvFund

Sylvan Park Estates Limited Partnership -- Non- -- -- Yes/Oui 1996/06/17 InvFund

Symmetry Balanced Portfolio Symmetry One Registered ON InvFund ------Balanced Portfolio Fund; Symmetry One Registered Balanced Portfolio

Symmetry Balanced Portfolio Class Symmetry One Balanced ON InvFund ------Portfolio Class; Symmetry One Balanced Portfolio

Symmetry Canadian Bond Fund Symmetry Canadian Bond ON InvFund ------Fun

Symmetry Canadian Equity Fund ON InvFund ------

Symmetry Comprehensive Equity Fund ON InvFund ------

Symmetry Conservative Income Portfolio Symmetry One Registered ON InvFund ------Ultra Conservative Portfolio Fund

Symmetry Conservative Income Portfolio Symmetry One Ultra ON InvFund ------Class Conservative Portfolio Class

Symmetry Conservative Portfolio Symmetry One Registered ON InvFund ------Conservative Portfolio Fund; Symmetry One Registered Conservative Portfolio

Symmetry Conservative Portfolio Class Symmetry One ON InvFund ------Conservative Portfolio Class; Symmetry One Conservative Portfolio

Symmetry Equity Portfolio Class Symmetry Equity Class ON 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)

Symmetry Fixed Income Portfolio Symmetry Registered Fixed ON InvFund ------Income Fund; Symmetry Registered Fixed Income Pool

Symmetry Global Bond Fund ON InvFund ------

Symmetry Global Equity Fund ON InvFund ------

Symmetry Growth Portfolio Symmetry One Registered ON InvFund ------Growth Portfolio Fund; Symmetry One Registered Growth Portfolio

Symmetry Growth Portfolio Class Symmetry One Growth ON InvFund ------Portfolio Class; Symmetry One Growth Portfolio

Symmetry Low Volatility Fund ON InvFund ------

Symmetry Moderate Growth Portfolio Symmetry One Registered ON InvFund ------Moderate Growth Portfolio Fund; Symmetry One Registered Moderate Growth Portfolio

Symmetry Moderate Growth Portfolio Class Symmetry One Moderate ON InvFund ------Growth Portfolio Class

Symmetry US Equity Fund ON InvFund ------

Symphony Floating Rate Senior Loan Fund ON InvFund ------

Syncordia Technologies and Healthcare LL CAPITAL CORP. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/08/03 Solutions, Corp. InvFund

Synergex Corporation Carma Financial Services ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/06/11 Corporation InvFund 1e, 3

Synergy American Corporate Class Synergy American Sector ON InvFund ------Fund; Synergy American Momentum Sector Fund; Landmark American Sector Fund

Synergy American Fund Landmark American Fund; ON InvFund ------C.I. American Fund

Synergy Canadian Corporate Class Synergy Canadian Equity ON InvFund ------Corporate Class

Synergy Global Corporate Class Synergy Global Sector ON InvFund ------Fund; Global Momentum Sector Fund

Synergy Renewable Resources Inc. Synergy Resource -- Non- -- -- Yes/Oui 1999/07/16 Technologies Inc.; InvFund Consolidated Western and Pacific Resources Corp.

Synex International Inc. BC Non------InvFund

Synodon Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/08 InvFund

Syscan International Inc. QC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/03/11 InvFund

S.C.O. Medallion Healthy Homes Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2007/04/09 InvFund

S.T.I. Industries Inc. -- Non- -- -- Yes/Oui 1993/04/28 InvFund T 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)

Taal Distributed Information Technologies Squire Mining Ltd. BC Non------Inc. InvFund

TAAT Lifestyle & Wellness Ltd. BC Non------InvFund

TAC Gold Corporation BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/08/11 InvFund

Tactical Sovereign Bond Fund Caldwell Income Fund; ON InvFund ------Caldwell Government Income Fund; Caldwell Canadian Income Fund

TAG Oil Ltd. BC Non------InvFund

Tagalder (2000) Inc. Tagalder Incorporated; L'Air ON Non- Yes/Oui 1a, 3 Yes/Oui 2003/05/23 D'Or Corporation InvFund

Tahera Diamond Corporation Tahera Corporation; Lytton ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2010/03/23 Minerals Limited InvFund 1e, 3

Taiga Building Products Ltd. BC Non------InvFund

Taiga Gold Corp. BC Non------InvFund

Tajac Capital Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/03/15 InvFund

Tajiri Resources Corp. Tajiri Ventures Corp. BC Non------InvFund

Talborne Capital Corporation ON Non- -- -- Yes/Oui 1994/05/20 InvFund

Talisker Resources Ltd. ON Non------InvFund

Talisman Enterprises Inc. Firesand Resources Ltd. ON Non- -- -- Yes/Oui 2001/05/30 InvFund

Talisman Mines Limited ON Non- -- -- Yes/Oui 2001/04/18 InvFund

Talmora Diamond Inc. ON Non------InvFund

Talon Metals Corp. BrazMin Corp. ON Non------InvFund

Talware Networx Inc. Nework Corp.; Harvard ON Non- Yes/Oui 1a, 1c, 1e, 2c, 3 Yes/Oui 2009/05/07 Capital Corp. InvFund

Taman Corporation ON Non- -- -- Yes/Oui 1989/05/29 InvFund

Tamarack Valley Energy Ltd. AB Non------InvFund

Tanbridge Corporation, The United Canadian Shares MB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2004/07/30 Limited InvFund 1e, 3

Tangerine Balanced ETF Portfolio ON InvFund ------

Tangerine Balanced Growth ETF Portfolio ON InvFund ------

Tangerine Balanced Growth Portfolio ING DIRECT Streetwise ON InvFund ------Balanced Growth Portfolio; ING DIRECT Streetwise Balanced Growth Fund 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) Tangerine Balanced Income Portfolio ING DIRECT Streetwise ON InvFund ------Balanced Income Portfolio; ING Direct Streetwise Balanced Income Fund

Tangerine Balanced Portfolio ING DIRECT Streetwise ON InvFund ------Balanced Portfolio; ING DIRECT Streetwise Balanced Fund

Tangerine Dividend Portfolio ON InvFund ------

Tangerine Equity Growth ETF Portfolio ON InvFund ------

Tangerine Equity Growth Portfolio ING DIRECT Streetwise ON InvFund ------Equity Growth Portfolio; ING DIRECT Streetwise Equity Growth Fund

Tantalex Resources Corporation ON Non------InvFund

Tanzanian Gold Corporation Tanzanian Royalty BC Non------Exploration Corporation; InvFund Tan Range Exploration Corporation

Tap Capital Corp. ON Non- -- -- Yes/Oui 1993/06/30 InvFund

Tarachi Gold Corp. Kal Minerals Corp. BC Non------InvFund

Taranis Resources Inc. BC Non------InvFund

Target Capital Inc. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2020/11/05 InvFund

Targeted Microwave Solutions Inc. BC Non------InvFund

Tarku Resources Ltd. Ituna Capital Corporation SK Non------InvFund

Tarquin Group Inc. Growthgen Equity Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/07/31 InvFund

Tartisan Nickel Corp. Tartisan Resources Corp. ON Non------InvFund

Taseko Mines Limited BC Non------InvFund

Taurus Footwear Inc. QC Non- -- -- Yes/Oui 1992/07/28 InvFund

TC Energy Corporation TransCanada Corporation AB Non------InvFund

TCR Environmental Corp. Three County Recycling & -- Non- -- -- Yes/Oui 2001/05/25 Composting Inc. InvFund

TCT Logistics Inc. Prime-Link Group Ltd. AB Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/06/24 InvFund

TD Active Global Enhanced Dividend ETF ON InvFund ------

TD Active Global Equity Growth ETF ON InvFund ------

TD Active Global Income ETF ON InvFund ------

TD Active Global Infrastructure Equity ETF ON InvFund ------

TD Active Global Real Estate Equity ETF ON InvFund ------

TD Active Preferred Share ETF ON 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)

TD Active U.S. Enhanced Dividend ETF ON InvFund ------

TD Active U.S. High Yield Bond ETF ON InvFund ------

TD Advantage Balanced Growth Portfolio TD Advantage Balanced ON InvFund ------Portfolio

TD Advantage Balanced Income Portfolio TD Advantage Conservative ON InvFund ------Portfolio

TD Advantage Balanced Portfolio TD Advantage Moderate ON InvFund ------Portfolio

TD Balanced Growth Fund Green Line Balanced ON InvFund ------Growth Fund

TD Balanced Index Fund Canada Trust Balanced ON InvFund ------Index Fund

TD Canadian Aggregate Bond Index ETF ON InvFund ------

TD Canadian Blue Chip Dividend Fund TD Private Canadian Blue ON InvFund ------Chip Dividend Fund

TD Canadian Bond Fund Green Line Canadian Bond ON InvFund ------Fund

TD Canadian Bond Index Fund Canada Trust Canadian ON InvFund ------Bond Index Fund

TD Canadian Core Plus Bond Fund ON InvFund ------

TD Canadian Corporate Bond Fund TD Private Canadian ON InvFund ------Corporate Bond Fund; CT Private Canadian Short Term Bonds Fund

TD Canadian Diversified Yield Fund TD Private Canadian ON InvFund ------Diversified Yield Fund; TD Private Canadian Dividend Fund; CT Private Canadian Dividend Fund; CT Private Canadian Preferred Shares Fund

TD Canadian Equity Class ON InvFund ------

TD Canadian Equity Fund Green Line Canadian ON InvFund ------Equity Fund

TD Canadian Equity Index ETF TD S&P/TSX Capped ON InvFund ------Composite Index ETF

TD Canadian Equity Pool ON InvFund ------

TD Canadian Equity Pool Class ON InvFund ------

TD Canadian Index Fund Green Line Canadian Index ON InvFund ------Fund

TD Canadian Large-Cap Equity Fund TD Private Canadian Blue ON InvFund ------Chip Equity Fund; TD Private Canadian Equity Fund; TD Private Canadian Equity Growth Fund; CT Private Canadian Equity/Growth Fund

TD Canadian Long Term Federal Bond ETF ON InvFund ------

TD Canadian Low Volatility Class ON InvFund ------

TD Canadian Low Volatility Fund ON InvFund ------

TD Canadian Low Volatility Pool ON 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) TD Canadian Money Market Fund Green Line Canadian ON InvFund ------Money Market Fund

TD Canadian Small-Cap Equity Class ON InvFund ------

TD Canadian Small-Cap Equity Fund TD Special Equity Fund; ON InvFund ------Canada Trust Special Equity Fund; Everest Special Equity Fund

TD Capital Trust IV ON Non------InvFund

TD China Income & Growth Fund TD Asian Growth Fund; ON InvFund ------Green Line Asian Growth Fund

TD Comfort Aggressive Growth Portfolio TD Comfort Equity Portfolio ON InvFund ------

TD Comfort Balanced Growth Portfolio TD Comfort Balanced ON InvFund ------Portfolio

TD Comfort Balanced Income Portfolio TD Comfort Conservative ON InvFund ------Portfolio

TD Comfort Balanced Portfolio TD Comfort Moderate ON InvFund ------Portfolio

TD Comfort Conservative Income Portfolio ON InvFund ------

TD Comfort Growth Portfolio ON InvFund ------

TD Corporate Bond Plus Fund TD Corporate Bond Capital ON InvFund ------Yield Fund

TD Diversified Monthly Income Fund TD Monthly High Income ON InvFund ------Fund; TD Balanced Fund; Canada Trust Balanced Fund; Everest Balanced Fund

TD Dividend Growth Class ON InvFund ------

TD Dividend Growth Fund Green Line Dividend Fund ON InvFund ------

TD Dividend Income Class ON InvFund ------

TD Dividend Income Fund Canada Trust Dividend ON InvFund ------Income Fund; Everest Dividend Income Fund

TD Dow Jones Industrial Average Index Green Line Dow Jones ON InvFund ------Fund Industrial Average Index Fund

TD Emerald Balanced Fund Emerald Balanced Fund ON InvFund ------

TD Emerald Canadian Bond Index Fund Emerald Canadian Bond ON InvFund ------Index Fund; Emerald Canadian Bond Fund

TD Emerald Canadian Equity Index Fund Emerald Canadian Equity ON InvFund ------Index Fund; Emerald Canadian Equity Fund

TD Emerald Canadian Short Term Emerald Canadian Short ON InvFund ------Investment Fund Term Investment Fund

TD Emerald Canadian Treasury ON InvFund ------Management - Government of Canada Fund

TD Emerald Canadian Treasury ON InvFund ------Management Fund

TD Emerald International Equity Index Fund Emerald International ON InvFund ------Equity Index Fund; Emerald International Equity Fund 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)

TD Emerald U.S. Market Index Fund Emerald U.S. Market Index ON InvFund ------Fund; Emerald U.S. Market Fund

TD Emerging Markets Class ON InvFund ------

TD Emerging Markets Fund Green Line Emerging ON InvFund ------Markets Fund

TD Emerging Markets Low Volatility Fund ON InvFund ------

TD European Index Fund Green Line European Index ON InvFund ------Fund

TD Fixed Income Pool ON InvFund ------

TD FundSmart Managed Aggressive Growth TD FundSmart Managed ON InvFund ------Portfolio Aggressive Growth RSP Portfolio; Fundsmart Managed Aggressive Growth RSP Portfolio

TD FundSmart Managed Balanced Growth Fundsmart Managed ON InvFund ------Portfolio Balanced Growth RSP Portfolio

TD FundSmart Managed Income & TD FundSmart Managed ON InvFund ------Moderate Growth Portfolio Income & Moderate Growth RSP Portfolio; Fundsmart Managed Income & Moderate Growth RSP Portfolio

TD Global Balanced Opportunities Fund TD Target Return Balanced ON InvFund ------Fund

TD Global Conservative Opportunities Fund TD Target Return ON InvFund ------Conservative Fund

TD Global Core Plus Bond Fund TD Global Bond Fund; TD ON InvFund ------Global RSP Bond Fund; Green Line Global RSP Bond Fund

TD Global Entertainment & TD Entertainment & ON InvFund ------Communications Fund Communications Fund; Green Line Entertainment & Communications Fund

TD Global Equity Focused Fund ON InvFund ------

TD Global Equity Pool ON InvFund ------

TD Global Equity Pool Class ON InvFund ------

TD Global Healthcare Leaders Index ETF ON InvFund ------

TD Global Income Fund ON InvFund ------

TD Global Low Volatility Class ON InvFund ------

TD Global Low Volatility Fund ON InvFund ------

TD Global Risk Managed Equity Class ON InvFund ------

TD Global Risk Managed Equity Fund ON InvFund ------

TD Global Tactical Monthly Income Fund TD Strategic Yield Fund ON InvFund ------

TD Global Technology Leaders Index ETF ON InvFund ------

TD Global Unconstrained Bond Fund ON InvFund ------

TD Health Sciences Fund Green Line Health ON InvFund ------Sciences Fund 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) TD High Yield Bond Fund TD High Yield Income Fund; ON InvFund ------Canada Trust High Yield Income Fund

TD Income Advantage Portfolio ON InvFund ------

TD Income Builder ETF ON InvFund ------

TD Income Opportunities Pool TD World Bond Pool ON InvFund ------

TD International Equity CAD Hedged Index ON InvFund ------ETF

TD International Equity Index ETF ON InvFund ------

TD International Index Currency Neutral TD International RSP Index ON InvFund ------Fund Fund; Green Line International RSP Index Fund

TD International Index Fund Canada Trust International ON InvFund ------Equity Index Fund

TD International Stock Class TD International Growth ON InvFund ------Class

TD International Stock Fund TD Private International ON InvFund ------Stock Fund

TD Managed Aggressive Growth ETF ON InvFund ------Portfolio

TD Managed Aggressive Growth Portfolio Green Line Managed ON InvFund ------Aggressive Growth Portfolio

TD Managed Balanced Growth ETF Portfolio ON InvFund ------

TD Managed Balanced Growth Portfolio TD Managed Balanced ON InvFund ------Growth RSP Portfolio; Green Line Managed Balanced Growth RSP Portfolio

TD Managed Income ETF Portfolio ON InvFund ------

TD Managed Income Portfolio TD Managed Income RSP ON InvFund ------Portfolio; Green Line Managed Income RSP Portfolio

TD Managed Income & Moderate Growth ON InvFund ------ETF Portfolio

TD Managed Income & Moderate Growth TD Managed Income & ON InvFund ------Portfolio Moderate Growth RSP Portfolio; Green Line Managed Income & Moderate Growth RSP Portfolio

TD Managed Index Aggressive Growth TD Managed Index ON InvFund ------Portfolio Aggressive Growth RSP Portfolio

TD Managed Index Balanced Growth TD Managed Index ON InvFund ------Portfolio Balanced Growth RSP Portfolio; Green Line Managed Index Balanced Growth RSP Portfolio

TD Managed Index Income Portfolio TD Managed Index Income ON InvFund ------RSP Portfolio; Green Line Managed Index Income RSP Portfolio 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) TD Managed Index Income & Moderate TD Managed Index Income ON InvFund ------Growth Portfolio & Moderate Growth RSP Portfolio; Green Line Managed Index Income & Moderate Growth RSP Portfolio

TD Managed Index Maximum Equity Growth TD Managed Index ON InvFund ------Portfolio Maximum Equity Growth RSP Portfolio; Green Line Managed Index Maximum Equity Growth RSP Portfolio

TD Managed Maximum Equity Growth ETF ON InvFund ------Portfolio

TD Managed Maximum Equity Growth TD Managed Maximum ON InvFund ------Portfolio Equity Growth RSP Portfolio; Green Line Managed Maximum Equity Growth RSP Portfolio

TD Monthly Income Fund Canada Trust Monthly ON InvFund ------Income Fund

TD Morningstar ESG Canada Equity Index ON InvFund ------ETF

TD Morningstar ESG International Equity ON InvFund ------Index ETF

TD Morningstar ESG U.S. Equity Index ETF ON InvFund ------

TD Mortgage Corporation ON Non------InvFund

TD Nasdaq Index Fund TD Nasdaq RSP Index ON InvFund ------Fund; Green Line Nasdaq RSP Index Fund

TD North American Dividend Fund TD U.S. Equity Fund; ON InvFund ------Canada Trust U.S. Equity Fund; Everest U.S. Equity Fund

TD North American Small-Cap Equity Fund ON InvFund ------

TD North American Sustainability Balanced ON InvFund ------Fund

TD North American Sustainability Equity ON InvFund ------Fund

TD One-Click Aggressive ETF Portfolio ON InvFund ------

TD One-Click Conservative ETF Portfolio ON InvFund ------

TD One-Click Moderate ETF Portfolio ON InvFund ------

TD Opportunities Pool ON InvFund ------

TD Precious Metals Fund Green Line Precious Metals ON InvFund ------Fund

TD Premium Money Market Fund Green Line Premium Money ON InvFund ------Market Fund

TD Q Canadian Dividend ETF ON InvFund ------

TD Q Canadian Low Volatility ETF ON InvFund ------

TD Q Global Dividend ETF ON InvFund ------

TD Q Global Multifactor ETF ON InvFund ------

TD Q International Low Volatility ETF TD Systematic International ON InvFund ------Equity Low Volatility ETF 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)

TD Q U.S. Low Volatility ETF ON InvFund ------

TD Q U.S. Small-Mid-Cap Equity ETF ON InvFund ------

TD Real Return Bond Fund Green Line Real Return ON InvFund ------Bond Fund

TD Resource Fund Green Line Resource Fund ON InvFund ------

TD Retirement Balanced Portfolio ON InvFund ------

TD Retirement Conservative Portfolio ON InvFund ------

TD Risk Management Pool ON InvFund ------

TD Risk Reduction Pool ON InvFund ------

TD Risk Reduction Pool - US$ ON InvFund ------

TD Science & Technology Fund Green Line Science & ON InvFund ------Technology Fund

TD Select Short Term Corporate Bond ON InvFund ------Ladder ETF

TD Select U.S. Short Term Corporate Bond ON InvFund ------Ladder ETF

TD Short Term Bond Fund TD Short Term Monthly ON InvFund ------Income Fund; Green Line Short Term Income Fund

TD Short Term Investment Class ON InvFund ------

TD Tactical Monthly Income Class ON InvFund ------

TD Tactical Monthly Income Fund ON InvFund ------

TD Tactical Pool ON InvFund ------

TD Tactical Pool Class ON InvFund ------

TD Ultra Short Term Bond Fund ON InvFund ------

TD US$ Retirement Portfolio ON InvFund ------

TD U.S. Blue Chip Equity Fund Green Line U.S. Blue Chip ON InvFund ------Equity Fund; Green Line U.S. Blue Chip Growth Fund

TD U.S. Corporate Bond Fund TD Private U.S. Corporate ON InvFund ------Bond Fund

TD U.S. Dividend Growth Fund ON InvFund ------

TD U.S. Equity CAD Hedged Index ETF TD S&P 500 CAD Hedged ON InvFund ------Index ETF

TD U.S. Equity Index ETF TD S&P 500 Index ETF ON InvFund ------

TD U.S. Equity Pool TD U.S. Equity Portfolio; TD ON InvFund ------U.S. Equity Advantage Portfolio

TD U.S. Index Currency Neutral Fund TD U.S. RSP Index Fund; ON InvFund ------Green Line U.S. RSP Index Fund

TD U.S. Index Fund Green Line U.S. Index Fund ON InvFund ------

TD U.S. Long Term Treasury Bond ETF ON InvFund ------

TD U.S. Low Volatility Fund ON InvFund ------

TD U.S. Mid-Cap Growth Class ON 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) TD U.S. Mid-Cap Growth Fund Green Line U.S. Mid-Cap ON InvFund ------Growth Fund; Green Line North American Growth Fund

TD U.S. Money Market Fund Green Line U.S. Money ON InvFund ------Market Fund

TD U.S. Monthly Income Fund ON InvFund ------

TD U.S. Monthly Income Fund - C$ ON InvFund ------

TD U.S. Quantitative Equity Fund TD AmeriGrowth RSP Fund; ON InvFund ------Canada Trust AmeriGrowth Fund; Everest Amerigrowth Fund

TD U.S. Risk Managed Equity Class ON InvFund ------

TD U.S. Risk Managed Equity Fund ON InvFund ------

TD U.S. Small-Cap Equity Fund Green Line U.S. Small-Cap ON InvFund ------Equity Fund

TDb Split Corp. ON InvFund ------

TDG Gold Corp. Kismet Resources Corp. BC Non------InvFund

Teal Valley Health Inc. Radiant Health Care Inc.; BC Non------Grandfield Pacific Inc. InvFund

Team Energy and Minerals Inc. ON Non- -- -- Yes/Oui 1983/06/24 InvFund

TearLab Corporation OccuLogix, Inc. ON Non- Yes/Oui 1b, 1c, 1e -- -- InvFund

Techniscan Systems Limited ON Non- -- -- Yes/Oui 1977/01/10 InvFund

TechX Technologies Inc. LiteLink Technologies Inc.; BC Non------AXS Blockchain Solutions InvFund Inc.; Canadian Data Preserve Inc.

Teck Resources Limited Teck Cominco Limited; BC Non------Teck Corporation InvFund

Tecrad Inc. QC Non- -- -- Yes/Oui 1990/04/20 InvFund

Tecsys Inc. QC Non------InvFund

Tectonic Metals Inc. BC Non------InvFund

Tee-Comm Electronics Inc. ON Non- -- -- Yes/Oui 1997/05/26 InvFund

Teleglobe Inc. QC Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2005/11/16 InvFund

Telephony Communications International ON Non- -- -- Yes/Oui 1991/01/15 Inc. InvFund

Telescene Film Group Inc. QC Non- -- -- Yes/Oui 2001/02/07 InvFund

Tellza Inc. Tellza Communications ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2018/04/06 Inc.; Phonetime Inc.; Beverly InvFund Glen Capital Corp.; Newbrun Development Corporation 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) Telum International Corporation ActFit.com Inc.; Lasermedia ON Non- Yes/Oui 1a, 1d, 3 Yes/Oui 2003/05/22 Communications Corp.; InvFund Osgoode Holdings Inc.

TELUS Communications Inc. Telus Communications BC Non------Inc.; AGT Limited InvFund

TELUS Corporation BCT.TELUS BC Non------Communications Inc. InvFund

TELUS International (Cda) Inc. BC Non------InvFund

Temas Resources Corp. BC Non------InvFund

Tembo Gold Corp. Lakota Resources Inc.; BC Non------New Athona Mines Limited InvFund

Templar Energy Ltd. AB Non- -- -- Yes/Oui 1998/09/10 InvFund

Templeton Emerging Markets Fund ON InvFund ------

Templeton Global Balanced Fund Templeton Global Income ON InvFund ------Fund

Templeton Global Bond Fund ON InvFund ------

Templeton Global Bond Fund (Hedged) ON InvFund ------

Templeton Global Smaller Companies ON InvFund ------Fund

Templeton Growth Fund ON InvFund ------

Templeton International Stock Fund ON InvFund ------

Templeton International Stock Fund II ON InvFund ------

Tempus Capital Inc. ON Non------InvFund

Ten Thousand Day War, The -- Non- -- -- Yes/Oui 1992/09/30 InvFund

Tenango Explorations Inc. ON Non- Yes/Oui 1a Yes/Oui 2002/11/22 InvFund

Tengtu International Corp. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2006/10/02 InvFund

Tenth Avenue Petroleum Corp. Jadela Oil Corp.; Unitech AB Non------Energy Resources Inc.; InvFund NR2 Resources Corporation

TeraForce Technology Corporation Intelect Communications, ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2005/05/10 Inc.; Intelect InvFund Communications Systems Limited; Challenger International Ltd.

TeraGo Inc. ON Non------InvFund

Teras Resources Inc. Profile Resources Inc. AB Non------InvFund

Terminal City Capital Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/06 InvFund

Terra Energy Corp. AB Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2016/04/11 InvFund

Terra Firma Capital Corporation ON Non------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)

Terrace Energy Corp. Terrace Resources Inc. BC Non------InvFund

Terramar Resource Corporation BC Non- -- -- Yes/Oui 1991/01/11 InvFund

Terranueva Corporation QC Non------InvFund

TerrAscend Corp. ON Non------InvFund

Terrastar Development Corporation -- Non- -- -- Yes/Oui 1991/02/21 InvFund

Terratech Resources Inc. ON Non- -- -- Yes/Oui 1991/08/07 InvFund

TerraVest Industries Inc. TerraVest Capital Inc. AB Non------InvFund

Tervita Corporation AB Non------InvFund

Tesla Exploration Ltd. Norex Exploration Services AB Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2016/08/19 Inc. InvFund

Tesoro Minerals Corp. Auro Resources Corp.; New BC Non------Global Ventures InvFund International Ltd.; New Global Ventures Ltd.; WorldPlus Ventures Ltd.; Nexttrip.com Travel Inc.

Tethys Petroleum Limited AB Non------InvFund

Teton Energy Corporation Teton Petroleum Company; ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/12/24 EQ Resources Ltd. InvFund

Tetra Bio-Pharma Inc. GrowPros Cannabis ON Non------Ventures Inc.; Mazorro InvFund Resources Inc.

Texas International Company -- Non- -- -- Yes/Oui 1990/08/03 InvFund

Texore Mines Limited ON Non- -- -- Yes/Oui 1977/06/02 InvFund

TFI International Inc. TransForce Inc. QC Non------InvFund

TG Residential Value Properties Ltd. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/11/10 InvFund

TGOD Acquisition Corporation BC Non------InvFund

TGS Esports Inc. Brockton Ventures Inc. BC Non------InvFund

THC BIOMED INTL LTD. BC Non------InvFund

The Alkaline Water Company Inc. BC Non------InvFund

The Becker Milk Company Limited ON Non------InvFund

The Bitcoin Fund ON InvFund ------

The Caldwell Partners International Inc. ON Non------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) The Canada Life Assurance Company MB Non------InvFund

The Children's Educational Foundation of ON InvFund ------Canada

The Cross Winds Apartment Project MB Non------InvFund

The Descartes Systems Group Inc. ON Non------InvFund

The Eelleet Network Corp. Kirkland Precious Metals BC Non------Corp. InvFund

The Empire Life Insurance Company ON Non------InvFund

The Ether Fund ON InvFund ------

The Flowr Corporation ON Non------InvFund

The Green Organic Dutchman Holdings Ltd. ON Non------InvFund

The Hash Corporation Senternet PHI Gamma Inc.; ON Non------Senternet Technologies InvFund Inc.; Century Energy Corporation

The Keg Royalties Income Fund BC Non------InvFund

The Limestone Boat Company Limited LL One Inc. ON Non------InvFund

The Lodge at Kananaskis Limited ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/05/05 Partnership InvFund

The Manufacturers Life Insurance Company ON Non------InvFund

The McElvaine Investment Trust BC InvFund ------

The Mint Corporation Mint Technology Corp.; LDC ON Non------Ventures Inc.; Label Depot InvFund Corporation; Scollard Capital Corporation

The Mountain Inn at Ribbon Creek Limited ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/05/05 Partnership InvFund

The North West Company Inc. MB Non------InvFund

The Real Brokerage Inc. ADL Ventures Inc. ON Non------InvFund

The Supreme Cannabis Company, Inc. Supreme Pharmaceuticals ON Non------Inc. InvFund

The TDL Group Corp. Tim Hortons ULC; Tim ON Non------Hortons Inc. InvFund

The Timken Company ON Non------InvFund

The Tinley Beverage Company Inc. Quia Resources Inc.; ON Non------Onsino Capital Corporation InvFund

The Toronto-Dominion Bank Toronto-Dominion Bank ON Non------InvFund

The Valens Company Inc. Valens Groworks Corp.; ON Non------Genovation Capital Corp.; InvFund Asean Energy Corp. 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)

The Very Good Food Company Inc. BC Non------InvFund

The Westaim Corporation ON Non------InvFund

The Western Investment Company of AB Non------Canada Limited InvFund

Theme Restaurants Incorporated ON InvFund -- -- Yes/Oui 1988/03/22

Theralase Technologies Inc. Interstar Group Inc.; ON Non------Interstar Mining Group Inc. InvFund

Theratechnologies Inc. QC Non------InvFund

Therma Bright Inc. The Jenex Corporation ON Non------InvFund

Thermal Energy International Inc. ON Non------InvFund

ThermoCeramix Corporation Springrock Capital Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/05 InvFund

Thesis Gold Inc. Chinapintza Mining Corp.; BC Non------Black Birch Capital InvFund Acquisition II Corp.

Think Research Corporation AIM4 Ventures Inc. ON Non------InvFund

Third CGI Mutualization Corporation ON Non- -- -- Yes/Oui 1993/07/15 InvFund

Thistle Mining Inc. Ourominas Minerals Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/05/06 InvFund

Thomson Reuters Corporation Thomson Corporation, The ON Non------InvFund

Thoughtful Brands Inc. Mota Ventures Corp.; BC Non------Primary Energy Metals Inc.; InvFund Primary Cobalt Corp.

ThreeD Capital Inc. Brownstone Energy Inc.; ON Non------Brownstone Ventures Inc.; InvFund Brownstone Resources Inc.; Brownstone Investment Inc.

Threegold Resources Inc. QC Non- -- -- Yes/Oui 2014/05/07 InvFund

Threshold Passage Films Inc. -- Non- -- -- Yes/Oui 1983/06/13 InvFund

Thunder Bumpers Corporation ON Non- -- -- Yes/Oui 1991/08/02 InvFund

Thunder River Enterprises Inc. ON Non------InvFund

Thunderbird Resorts, Inc. International Thunderbird BC Non------Gaming Corporation InvFund

Thunderstruck Resources Ltd. BC Non------InvFund

Ticket To Heaven -- Non- -- -- Yes/Oui 1986/09/22 InvFund

Tidewater Midstream and Infrastructure Ltd. AB Non------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) Tier One Capital Limited Partnership ON Non------InvFund

Tier One Silver Inc. Tier One Metals Inc. BC Non------InvFund

Till Capital Corporation Till Capital Ltd. BC Non------InvFund

Tilray, Inc. BC Non------InvFund

TILT Holdings Inc. BC Non------InvFund

Timbercreek Financial Corp. ON Non------InvFund

Times Three Wireless Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/14 InvFund

TIMIA Capital Corp. BC Non------InvFund

Timminco Limited ON Non- Yes/Oui 1a, 1c, 1d, 1e, 3 Yes/Oui 2012/04/18 InvFund

Timmins Nickel, Inc. ON Non- -- -- Yes/Oui 1992/11/25 InvFund

Tinka Resources Limited BC Non------InvFund

Tintina Mines Limited ON Non------InvFund

Tisdale Resources Corp. Senator Minerals Inc.; BC Non------Cross Canada International InvFund Inc.; Cross Canada Resources Inc.

Titan Medical Inc. KAM Capital Corp. ON Non------InvFund

Titan Minerals Limited ON Non------InvFund

Titan Mining Corporation BC Non------InvFund

Titanium Corporation Inc. NAR Resources Ltd. AB Non------InvFund

Titanium Transportation Group Inc. Northeastern Group Inc.; ON Non------Northeastern Hotel Group InvFund Inc.

TJN Industries Ltd. BC Non- -- -- Yes/Oui 1984/08/04 InvFund

TLC Vision Corporation TLC Laser Eye Centers Inc.; ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2010/10/08 TLC The Laser Center Inc. InvFund

TMI-Learnix Inc. Kayo Management Ltd.; QC Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/03/08 Kayorum Gold Mines, InvFund Limited

TMX Group Limited ON Non------InvFund

Toburn-Alberta Ltd. ON Non- -- -- Yes/Oui 1993/01/18 InvFund

Tocvan Ventures Corp. BC Non------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) TomaGold Corporation Carbon2Green Corporation; QC Non------Laurent Venture Capital InvFund Corporation

Tombill Mines Limited Bluerock Ventures Corp. BC Non------InvFund

Top 10 Canadian Financial Trust Digital World Trust ON InvFund ------

Top 10 Split Trust First Premium U.S. Income ON InvFund ------Trust

Top Strike Resources Corp. AB Non------InvFund

Topaz Energy Corp. AB Non------InvFund

Topicus.com Inc. ON Non------InvFund

Toptent inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/04/09 InvFund

Torex Gold Resources Inc. Gleichen Resources Ltd. ON Non------InvFund

Tornado Global Hydrovacs Ltd. AB Non------InvFund

Toromont Industries Ltd. ON Non------InvFund

Toronto East (Scarborough) Hotel ON Non- -- -- Yes/Oui 1995/06/12 Development Partnership, The InvFund

Toronto Hydro Corporation ON Non------InvFund

Torq Resources Inc. Stratton Resources Inc.; BC Non------Tribune Minerals Corp.; InvFund Tribune Uranium Corp.; Tribune Resources Corp.; South Pacific Minerals Corporation

Torrent Capital Corp. ON Non- -- -- Yes/Oui 1998/05/22 InvFund

Torrent Capital Ltd. Metallum Resources Inc.; ON Non------Young-Shannon Gold InvFund Mines Limited

Torvalon Corp. ON Non- -- -- Yes/Oui 1993/12/08 InvFund

Total Energy Services Inc. Biomerge Industries Ltd.; AB Non------Xillix Technologies Corp. InvFund

Total Return Fund Inc. QC InvFund -- -- Yes/Oui 1995/09/27

Total Telcom Inc. BC Non------InvFund

Touchstone Exploration Inc. Petrobank Energy and AB Non------Resources Ltd. InvFund

Touchstone Gold Limited ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/05/30 InvFund

Tourmaline Oil Corp. AB Non------InvFund

Tower One Wireless Corp. Pacific Therapeutics Ltd. BC Non------InvFund

Toxin Alert Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 1f, Yes/Oui 2010/03/09 InvFund 3 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)

TPB & T Ltd. ON Non- -- -- Yes/Oui 1991/07/17 InvFund

TPCO Holding Corp. Subversive Capital ON Non------Acquisition Corp. InvFund

TR Finance LLC ON Non------InvFund

TraceSafe Inc. Blockchain Holdings Ltd.; ON Non------Khot Infrastructure InvFund Holdings, Ltd.; Undur Tolgoi Minerals Inc.; Wedge Energy International Inc.; Alyattes Enterprises Inc.; Alyattes Resources Inc.

Tracker Resources Inc. ON Non- -- -- Yes/Oui 1992/06/19 InvFund

Trackloop Analytics Corp. Tracker Ventures Corp.; BC Non------Trackloop Analytics Corp.; InvFund Blackchain Solutions Inc.; BlackIce Enterprise Risk Management Inc.; Bonaparte Resources Inc.; Bonaparte Capital Inc.; Bonaparte Capital Corp.

TrackX Holdings Inc. Cougar Minerals Corp. BC Non------InvFund

Tradex Bond Fund ON InvFund ------

Tradex Equity Fund Limited ON InvFund ------

Tradex Global Equity Fund Tradex Emerging Markets ON InvFund ------Country Fund

Trafina Energy Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/09/26 InvFund

Trakopolis IoT Corp. Lateral Gold Corp. AB Non- -- -- Yes/Oui 2020/05/06 InvFund

Trans Canada Gold Corp. Arctic Hunter Energy Inc.; BC Non------Arctic Hunter Uranium Inc. InvFund

TransAlta Corporation AB Non------InvFund

TransAlta Renewables Inc. AB Non------InvFund

Transat A.T. Inc. QC Non------InvFund

Transatlantic Mining Corp. Archean Star Resources BC Non------Inc. InvFund

TransCanada PipeLines Limited AB Non------InvFund

TransCanada Trust AB Non------InvFund

Transcanna Holdings Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 -- -- InvFund

Transcontinental Inc. G.T.C. Transcontinental QC Non------Group Ltd. InvFund

Transeuro Energy Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/05/13 InvFund

TransGlobe Energy Corporation AB Non------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)

Transition Metals Corp. ON Non------InvFund

Transnational Cannabis Ltd. ICC International Cannabis BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/07/07 Corp.; Kaneh Bosm InvFund BioTechnology Inc.; ANEXCO Resources Ltd.; Hilltown Resources Inc.

Transpacific Resources Inc. ON Non- Yes/Oui 1a Yes/Oui 2004/08/03 InvFund

Travelbyus.com Ltd. LatinGold Inc.; MVP Capital BC Non- Yes/Oui 1a, 1d Yes/Oui 2002/02/27 Corp. InvFund

Traverse Energy Ltd. AB Non- Yes/Oui 1c, 1e Yes/Oui 2019/12/05 InvFund

Treasury Metals Inc. ON Non------InvFund

Tree Island Steel Ltd. BC Non------InvFund

Tree of Knowledge International Corp. ON Non------InvFund

Trenchant Capital Corp. BC Non------InvFund

Trenton Industries Inc. ON Non- -- -- Yes/Oui 1996/05/17 InvFund

Tretheway -- Non- -- -- Yes/Oui 1986/09/16 InvFund

Trevali Mining Corporation Trevali Resources Corp. BC Non------InvFund

Trez Capital Senior Mortgage Investment BC Non------Corporation InvFund

Tri-Star Resources Plc ON Non------InvFund

Tri Origin Exploration Ltd. ON Non------InvFund

Triangulum Corporation AB Non- Yes/Oui 1a Yes/Oui 2002/06/21 InvFund

Triarc Corporation Limited -- Non- -- -- Yes/Oui 1991/01/16 InvFund

Triarx Gold Corporation Arrowlink Corp. ON Non- Yes/Oui 1a Yes/Oui 2002/05/24 InvFund

Tribe Property Technologies Inc. Cherry Street Capital Inc. BC Non------InvFund

Tribute -- Non- -- -- Yes/Oui 1992/09/30 InvFund

Tribute Resources Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2019/05/06 InvFund

Trican Well Service Ltd. Trican Oilwell Service Co. AB Non------Ltd. InvFund

Tricon Residential Inc. Tricon Capital Group Inc. ON Non------InvFund

Trigon Metals Inc. Kombat Copper Inc. ON Non------InvFund

Trillion Energy International Inc. BC Non------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)

Trillium Acquisition Corp. ON Non------InvFund

Trillium Building Limited Partnership ON Non- -- -- Yes/Oui 1995/03/30 InvFund

Trillium Therapeutics Inc. Stem Cell Therapeutics ON Non------Corp. InvFund

Trilogy International Partners Inc. Alignvest Acquisition BC Non------Corporation InvFund

Trilogy Metals Inc. NovaCopper Inc. BC Non------InvFund

TriNexus Holdings Ltd. Legacy Explorations Ltd. SK Non- Yes/Oui 1a, 1d Yes/Oui 2002/02/27 InvFund

Tristar Balanced Fund ON InvFund Yes/Oui 1a, 3 -- --

Tristar Canadian Equity Fund ON InvFund Yes/Oui 1a, 3 -- --

TriStar Gold Inc. BC Non------InvFund

Tristar International Equity Fund ON InvFund Yes/Oui 1a, 3 -- --

TriSummit Utilities Inc. AltaGas Canada Inc. AB Non------InvFund

Trisura Group Ltd. ON Non------InvFund

TriTec Power Systems Ltd. ON Non- -- -- Yes/Oui 2001/05/25 InvFund

Triton Industries Inc. QC Non- -- -- Yes/Oui 1992/08/24 InvFund

Triumph Gold Corp. Northern Freegold BC Non------Resources Ltd. InvFund

Triumph Ventures II Corporation Triumph Ventures II ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/12/19 Corporation InvFund

Troilus Gold Corp. ON Non------InvFund

Tropika International Limited ON Non- -- -- Yes/Oui 2001/10/24 InvFund

Tru-Wall Group Limited ON Non- -- -- Yes/Oui 1996/09/25 InvFund

TRU Precious Metals Corp. Trius Investments Inc. NB Non------InvFund

True Leaf Brands Inc. True Leaf Medicine BC Non------International Ltd. InvFund

True North Commercial Real Estate ON Non------Investment Trust InvFund

True North Gems Inc. BC Non------InvFund

Trulieve Cannabis Corp. Schyan Exploration Inc.; ON Non------Bandolac Mining Company, InvFund Limited

Trusted Brand 2016 Inc. AB Non------InvFund

TruTrace Technologies Inc. BLOCKstrain Technology BC Non------Corp.; Scorpion Resources InvFund Inc. 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) Trylox Environmental Corporation -- Non- -- -- Yes/Oui 1992/06/18 InvFund

TRYP Therapeutics Inc. BC Non------InvFund

TSI Telsys Corporation International Contour QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2005/05/13 Technology Inc. InvFund

Tsodilo Resources Limited Trans Hex International Ltd.; ON Non------Cryo-Stem Inc. InvFund

TTM Resources Inc. BC Non- -- -- Yes/Oui 2013/11/13 InvFund

Tucows Inc. ON Non------InvFund

Tudor Corporation Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/11/03 InvFund

Tudor Gold Corp. Kaizen Capital Corp. BC Non------InvFund

Tundra Environmental Corporation Limited ON Non- -- -- Yes/Oui 1996/06/13 InvFund

Tundra Gold Mines Limited BC Non- -- -- Yes/Oui 1991/10/21 InvFund

Turbodyne Technologies Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, Yes/Oui 2005/05/10 InvFund 1g, 3

Turmalina Metals Corp. BC Non------InvFund

TURNKEY E&P INC. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2009/12/17 InvFund

Turquoise Hill Resources Ltd. Ivanhoe Mines Ltd.; QC Non------Indochina Goldfields Ltd. InvFund

Tuscany Energy Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 -- -- InvFund

TVA Group Inc. Tele-Metropole Inc. QC Non------InvFund

TVI Pacific Inc. AB Non------InvFund

TWC Enterprises Limited ClubLink Enterprises ON Non------Limited; Tri-White InvFund Corporation

Twin Butte Energy Ltd. AltaRex Corp. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2016/11/18 InvFund

Twin Gold Mines Ltd. ON Non- -- -- Yes/Oui 1991/06/28 InvFund

Twin Richfield Oils Ltd. AB Non- -- -- Yes/Oui 1990/07/12 InvFund

Twoco Petroleums Ltd. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/10/29 InvFund

TWX Group Holding Limited EA Education Group Inc.; BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2021/01/06 Kenieba Goldfields Ltd.; InvFund Croesus Gold Inc.

Tyhee Gold Corp. Tyhee Development Corp. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/09/18 InvFund

Tyne Terrace Homes Limited ON Non- -- -- Yes/Oui 2000/11/13 InvFund

T. Rowe Price - IG U.S. Equity Pool MB 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)

T.L.C. Properties Inc. ON Non- -- -- Yes/Oui 1990/06/26 InvFund U

U3O8 Corp. ON Non------InvFund

UBI Resources Inc. ON Non- -- -- Yes/Oui 1986/07/03 InvFund

Ubique Minerals Limited ON Non------InvFund

Ucore Rare Metals Inc. NS Non------InvFund

UEX Corporation BC Non------InvFund

UGE International Ltd. Way Ventures Inc. ON Non------InvFund

Ultramar Canada Inc. ON Non------InvFund

UltraVision Corporation UltraVision, Inc. AB Non- Yes/Oui 1a, 1b Yes/Oui 2002/08/30 InvFund

Uni-Sélect Inc. Uni-Selct Inc. QC Non------InvFund

Unicol Collection Agencies Limited ON Non- -- -- Yes/Oui 1983/07/21 InvFund

Unicorn Corporation, The ON Non- -- -- Yes/Oui 1991/06/28 InvFund

Unigold Inc. Caribgold Resources Inc. ON Non------InvFund

UniLink Tele.com Inc. BC Non- Yes/Oui 1a, 1d, 3 Yes/Oui 2003/08/06 InvFund

UNIREX Corporation UNIREX Technologies, Inc.; BC Non- -- -- Yes/Oui 2003/09/10 Global Pacific Minerals Inc. InvFund

Unirom Technologies Inc. Southern Arizona Mining & ON Non- -- -- Yes/Oui 2001/10/19 Smelting Corp. InvFund

Uniserve Communications Corporation Technovision Systems Inc. BC Non------InvFund

Unisphere Satellite Corporation ON Non- -- -- Yes/Oui 1991/08/07 InvFund

Unisphere Waste Conversion Ltd. Corona Gold Corporation; ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2005/04/05 Continental Caretech InvFund Corporation

UNISYNC Corp. ComWest Enterprise Corp. BC Non------InvFund

United Coal Holdings Limited BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/04/11 InvFund

United Corporations Limited ON Non------InvFund

United Duvex Oils & Mines Limited ON Non- -- -- Yes/Oui 1978/07/12 InvFund

United Hearne Resources Ltd. -- Non- -- -- Yes/Oui 1988/06/17 InvFund

United Hunter Oil & Gas Corp. United Hunter Oil and Gas BC Non------Corp.; Vesta Capital Corp. 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)

United Industrial Services Ltd. Ultrasonic Industrial AB Non- -- -- Yes/Oui 2001/07/13 Sciences Ltd. InvFund

United Keno Hill Mines Limited ON Non- -- -- Yes/Oui 2001/05/08 InvFund

United Lithium Corp. United Battery Metals Corp.; BC Non------United Lithium Corp. InvFund

United Pacific Capital Resources Corp. United Dixie Resources Inc. ON Non- -- -- Yes/Oui 2001/10/01 InvFund

United Redford Resources, Inc. BC Non- -- -- Yes/Oui 1985/03/28 InvFund

United Silver Corp. United Mining Group, Inc.; BC Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2014/06/17 Scarlet Resources Ltd. InvFund 1e, 3

United Trans-Western, Inc. BC Non- -- -- Yes/Oui 2001/07/23 InvFund

Universal Fuels Company -- Non- -- -- Yes/Oui 1986/11/05 InvFund

Universal Gold Limited ON Non- Yes/Oui 1a, 1b, 1d, 3 -- -- InvFund

Universal PropTech Inc. SustainCo Inc.; Bellair ON Non------Ventures Inc. InvFund

Upco International Inc. NSS Resources Inc. BC Non------InvFund

UpSnap, Inc. VoodooVox Inc.; Call Genie ON Non------Inc. InvFund

Ur-Energy Inc. ON Non------InvFund

Uranium Energy Corp. BC Non------InvFund

Uranium Participation Corporation ON Non------InvFund

Uranium Royalty Corp. BC Non------InvFund

Urbana Corporation ON Non------InvFund

Urbanfund Corp. ON Non------InvFund

UrbanGold Minerals Inc. ON Non------InvFund

Urbanimmersive Inc. Urbanimmersive QC Non------Technologies Inc.; UI InvFund Capital Inc.

UrtheCast Corp. Longford Energy Inc.; BC Non- -- -- Yes/Oui 2020/10/07 Longford Corporation InvFund

US Equity Alpha Corporate Class ON InvFund ------

US Equity Alpha Pool ON InvFund ------

US Equity Growth Corporate Class ON InvFund ------

US Equity Growth Pool Assante US Equity Growth ON InvFund ------Pool; Optima Strategy US Growth Pool

US Equity Small Cap Corporate Class ON InvFund ------

US Equity Small Cap Pool ON 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)

US Equity Value Corporate Class ON InvFund ------

US Equity Value Currency Hedged ON InvFund ------Corporate Class

US Equity Value Currency Hedged Pool ON InvFund ------

US Equity Value Pool Assante US Equity Value ON InvFund ------Pool; Optima Strategy US Equity Value Pool; Optima Strategy International Fund - U.S. Equity Section

US Financial 15 Split Corp. ON InvFund ------

Utah Larder Gold Mines Limited -- Non- -- -- Yes/Oui 1974/07/16 InvFund

U.S. Banks Income & Growth Fund ON InvFund ------

U.S. Dollar Cash Management Fund AIM U.S. Dollar Cash ON InvFund ------Management Fund; AIM Trimark U.S. Dollar Cash Management Fund

U.S. Financials Income Fund ON InvFund ------

U.S. High Yield Bond Fund ON InvFund ------

U.S. Large Cap Index Fund U.S. Large Cap Synthetic ON InvFund ------Fund; S&P 500 Synthetic Index Fund; Primus Capital Advisors S&P 500 Synthetic Fund

U.S. Large Company Equity Fund Primus Capital Advisors ON InvFund ------U.S. Large Company Equity Fund

U.S. Small Company Equity Fund Primus Capital Advisors ON InvFund ------U.S. Small Company Equity Fund V

Vail Resorts, Inc. BC Non------InvFund

Val-d'Or Mining Corporation Nunavik Nickel Mines Ltd. QC Non------InvFund

Valencia Capital Inc. BC Non------InvFund

VALEO PHARMA INC. QC Non------InvFund

Valero Energy Corporation Ultramar Diamond ON Non------Shamrock Corporation; InvFund Ultramar Corporation

Valeura Energy Inc. PanWestern Energy Inc. AB Non------InvFund

Valhalla Resources Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2014/08/11 InvFund

Valorem Resources Inc. JDF Explorations Inc. BC Non------InvFund

Valterra Resource Corporation BC Non------InvFund

Valucap Investments Inc. Tullaree Capital Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2012/08/03 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) Value Capital Trust AB Non------InvFund

Van Diemen's Company Ltd., The -- Non- -- -- Yes/Oui 1992/12/03 InvFund

Vanadium One Iron Corp. Vanadium One Energy ON Non------Corp.; Vendome Resources InvFund Corp.; Vendome Capital II Corp.

Vanguard All-Equity ETF Portfolio ON InvFund ------

Vanguard Balanced ETF Portfolio ON InvFund ------

Vanguard Canadian Aggregate Bond Index ON InvFund ------ETF

Vanguard Canadian Corporate Bond Index ON InvFund ------ETF

Vanguard Canadian Government Bond ON InvFund ------Index ETF

Vanguard Canadian Long-Term Bond Index ON InvFund ------ETF

Vanguard Canadian Short-Term Bond Index ON InvFund ------ETF

Vanguard Canadian Short-Term Corporate ON InvFund ------Bond Index ETF

Vanguard Conservative ETF Portfolio ON InvFund ------

Vanguard Conservative Income ETF ON InvFund ------Portfolio

Vanguard FTSE Canada All Cap Index ETF ON InvFund ------

Vanguard FTSE Canada Index ETF Vanguard MSCI Canada ON InvFund ------Index ETF

Vanguard FTSE Canadian Capped REIT ON InvFund ------Index ETF

Vanguard FTSE Canadian High Dividend ON InvFund ------Yield Index ETF

Vanguard FTSE Developed All Cap ex North ON InvFund ------America Index ETF

Vanguard FTSE Developed All Cap ex North ON InvFund ------America Index ETF (CAD-hedged)

Vanguard FTSE Developed All Cap ex U.S. Vanguard FTSE Developed ON InvFund ------Index ETF ex North America Index ETF

Vanguard FTSE Developed All Cap ex U.S. Vanguard FTSE Developed ON InvFund ------Index ETF (CAD hedged) ex North America Index ETF (CAD-hedged); Vanguard MSCI EAFE Index ETF (CAD-hedged)

Vanguard FTSE Developed Asia Pacific All Vanguard FTSE Developed ON InvFund ------Cap Index ETF Asia Pacific Index ETF

Vanguard FTSE Developed Europe All Cap Vanguard FTSE Developed ON InvFund ------Index ETF Europe Index ETF

Vanguard FTSE Developed ex North ON InvFund ------America High Dividend Yield Index ETF

Vanguard FTSE Emerging Markets All Cap Vanguard FTSE Emerging ON InvFund ------Index ETF Markets Index ETF; Vanguard MSCI Emerging Markets Index ETF 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)

Vanguard FTSE Global All Cap ex Canada Vanguard FTSE All-World ex ON InvFund ------Index ETF Canada Index ETF

Vanguard Fund BC InvFund -- -- Yes/Oui 1979/10/04

Vanguard Global Aggregate Bond Index ETF ON InvFund ------(CAD-hedged)

Vanguard Global Balanced Fund ON InvFund ------

Vanguard Global Dividend Fund ON InvFund ------

Vanguard Global ex-U.S. Aggregate Bond ON InvFund ------Index ETF (CAD-hedged)

Vanguard Global Minimum Volatility ETF ON InvFund ------

Vanguard Global Momentum Factor ETF ON InvFund ------

Vanguard Global Value Factor ETF ON InvFund ------

Vanguard Growth ETF Portfolio ON InvFund ------

Vanguard International Growth Fund ON InvFund ------

Vanguard Mining Exploration Limited BC InvFund -- -- Yes/Oui 1988/10/12 Partnership

Vanguard Retirement Income ETF Portfolio ON InvFund ------

Vanguard S&P 500 Index ETF ON InvFund ------

Vanguard S&P 500 Index ETF ON InvFund ------(CAD-hedged)

Vanguard U.S. Aggregate Bond Index ETF ON InvFund ------(CAD-hedged)

Vanguard U.S. Dividend Appreciation Index ON InvFund ------ETF

Vanguard U.S. Dividend Appreciation Index ON InvFund ------ETF (CAD-hedged)

Vanguard U.S. Total Market Index ETF ON InvFund ------

Vanguard U.S. Total Market Index ETF Vanguard MSCI U.S. Broad ON InvFund ------(CAD-hedged) Market Index ETF (CAD-hedged)

Vanguard Venture Corporation -- Non- -- -- Yes/Oui 1990/11/05 InvFund

Vanguard Windsor U.S. Value Fund ON InvFund ------

Vantage Point Apartments (Issuer) Limited ON Non- -- -- Yes/Oui 1999/10/06 Partnership InvFund

Vantage Systems Corporation Greenock Financial Corp. ON Non- Yes/Oui 1a, 1d Yes/Oui 2002/03/21 InvFund

Varity Corporation ON Non- -- -- Yes/Oui 1997/07/17 InvFund

Vatic Ventures Corp. BC Non------InvFund

Vaxil Bio Ltd. Emerge Resources Corp.; ON Non------Beatrix Ventures Inc. InvFund

VBI Vaccines Inc. SciVac Therapeutics Inc.; BC Non------Levon Resources Ltd. InvFund

Vecima Networks Inc. VCom Inc. BC Non------InvFund

Vector Intermediaries Inc. ON Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2003/05/28 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)

Vector REIT Inc. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2019/10/04 InvFund

Velan Inc. QC Non------InvFund

Velocity Minerals Ltd. BC Non------InvFund

Venator Alternative Income Fund ON InvFund ------

Venequity Capital Corporation ON Non- -- -- Yes/Oui 1987/06/11 InvFund

Venga Aerospace Systems Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

VentriPoint Diagnostics Ltd. Luca Capital Inc. ON Non------InvFund

Ventura Cannabis and Wellness Corp. BLVD Centers Corporation BC Non- Yes/Oui 1b, 1c, 1e, 3 Yes/Oui 2020/11/05 InvFund

VentureLink Innovation Fund Inc. ON InvFund ------

Verano Holdings Corp. ON Non------InvFund

Verdant Valley Ventures Inc. AB Non- -- -- Yes/Oui 1990/07/24 InvFund

Verde Agritech Plc Verde Potash Plc; Amazon ON Non------Mining Holding Plc InvFund

Verdx Minerals Corporation Focal Resources Limited AB Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2000/07/17 InvFund 1e, 3

Veris Gold Corp. Yukon-Nevada Gold Corp.; BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/09/11 YGC Resources Ltd. InvFund

Verisante Technology, Inc. T-Ray Science Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/04 InvFund

Veritas Absolute Return Fund ON InvFund ------

Veritas Canadian Equity Fund ON InvFund ------

Veritas Pharma Inc. Seashore Organic Medicine BC Non------Inc. InvFund

Vermilion Energy Inc. AB Non------InvFund

VersaBank Pacific & Western Bank of ON Non------Canada InvFund

Versatile Systems Inc. Versatile Mobile Systems BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2017/01/04 (Canada) Inc. InvFund

Versus Systems Inc. Opal Energy Corp.; Boulder BC Non------Mining Corporation InvFund

Vert Infrastructure Ltd. CROP INFRASTRUCTURE BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/08/18 CORP.; Fortify Resources InvFund Inc.

Vestronix Corporation ON Non- -- -- Yes/Oui 1991/06/05 InvFund

Veta Resources Inc. Southeast Asia Mining ON Non------Corp. InvFund

VetaNova Inc. (formerly, GlobalMin Ventures GlobalMin Ventures Inc.; ON Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2016/04/06 Inc.) Yukon Gold Corporation, InvFund Inc.

VEXT Science, Inc. Vapen MJ Ventures BC Non------Corporation 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)

Viacorp Technologies Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/10/08 InvFund

Viaguard Pharmaceuticals Limited ON Non- -- -- Yes/Oui 1993/07/23 InvFund

Vibe Growth Corporation Vibe Bioscience Ltd.; AB Non------Altitude Resources Inc.; InvFund Triumph Ventures III Corporation

Vicinity Motor Corp. Grande West BC Non------Transportation Group Inc. InvFund

Victoria Gold Corp. ON Non------InvFund

Victoria Graphite Inc. ON Non- -- -- Yes/Oui 1998/01/27 InvFund

Victoria Wood Scarborough Brandywine ON Non- -- -- Yes/Oui 1998/05/29 InvFund

Victory Capital Corp. ON Non- Yes/Oui 3 -- -- InvFund

Victory Nickel Inc. ON Non------InvFund

Victory Resources Corporation Victory Empire Inc.; Victory BC Non------Resources Corporation InvFund

Victory Square Technologies Inc. Fantasy 6 Sports Inc. BC Non------InvFund

Vid Kids (Series II) -- Non- -- -- Yes/Oui 1993/07/22 InvFund

VidWRX Inc. SoMedia Networks Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2016/05/12 InvFund

Viemed Healthcare, Inc. BC Non------InvFund

Vigil Health Solutions Inc. TheraMed Capital Corp. BC Non------InvFund

Vigil Locating Systems Corporation Smart Api Venture Capital QC Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2007/09/14 Corporation InvFund

Village Farms International, Inc. BC Non------InvFund

Vindicator Industries Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/05/10 InvFund

Vinergy Capital Inc. Vinergy Cannabis Capital BC Non------Inc.; Vinergy Resources InvFund Ltd.; Vanguard Investments Corp.

Vior Inc. Société d'exploration QC Non------minière Vior Inc. InvFund

VIQ Solutions Inc. ON Non------InvFund

Vireo Health International, Inc. Darien Business BC Non------Development Corp.; InvFund Dynamic Oil & Gas Exploration Inc.; Dominion Energy Inc.; Digifonica International Inc.; Initial Capital Inc.

Virginia Hills Oil Corp. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/08 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)

Viridian Inc. Sherritt Inc. ON Non------InvFund

VirtualArmour International Inc. VIRTUALARMOR BC Non------INTERNATIONAL INC. InvFund

Virtutone Networks Inc. Sawhill Capital Ltd. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2015/06/26 InvFund

Visa Gold Explorations Inc. Aubet Explorations Ltd.; ON Non- Yes/Oui 1a, 1b, 3 Yes/Oui 2003/05/28 Aubet Resources Inc. InvFund

Visa Inc. ON Non------InvFund

Visible Gold Mines Inc. QC Non------InvFund

Vision Alternative Income Fund ON InvFund ------

Vision Global Solutions Inc. Outer Edge Holdings Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 2c, 3 Yes/Oui 2005/08/04 Outer Edge International InvFund Inc.; Outer Edge Inc.; Cong Industries Inc.

Vision Lithium Inc. ABE Resources Inc.; Abitex QC Non------Resources Inc.; Xemac InvFund Resources Inc.; Harvest-Spring Nutritional Systems (1981) Corporation

Vision Market Neutral Alternative Fund ON InvFund ------

Vision Pharmaceuticals Inc. ON Non- -- -- Yes/Oui 1991/06/17 InvFund

Vision SCMS Inc. First Host Hotel Corp. ON Non- Yes/Oui 1b Yes/Oui 2003/09/09 InvFund

Visionwall Incorporated Encue Capital Corp. AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2004/06/03 InvFund

Vista Gold Corp. Vista Gold Corp.; Granges BC Non------Inc. InvFund

Vista Mines Inc. SK Non- -- -- Yes/Oui 1989/06/01 InvFund

Vital Energy Inc. Ceno Energy Limited; AB Non------Sundance Energy InvFund Corporation

Vital Retirement Living Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1d, Yes/Oui 2003/05/22 InvFund 1e, 3

Vitalhub Corp. Quinsam Opportunities I ON Non------Inc. InvFund

ViveRE Communities Inc. NSX Silver Inc. BC Non------InvFund

Vivione Biosciences Inc. PACEpartners Inc. AB Non- -- -- Yes/Oui 2019/05/06 InvFund

VIVO Cannabis Inc. ABcann Global Corporation; ON Non------Panda Capital Inc. InvFund

Vizsla Silver Corp. Vizsla Resources Corp. BC Non------InvFund

VLCTY Capital Inc. BC Non------InvFund

VM Hotel Acquisition Corp. ON Non------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)

Voice Mobility International, Inc. BC Non------InvFund

Volatus Capital Corp. BC Non------InvFund

Volcanic Gold Mines Inc. Volcanic Metals Corp.; BC Non------Volcanic Capital Corp. InvFund

Voleo Trading Systems Inc. Logan Resources Ltd. BC Non------InvFund

VOTI Detection Inc QC Non------InvFund

Vox Royalty Corp. AIM3 Ventures Inc. ON Non------InvFund

Voxtur Analytics Corp. iLOOKABOUT Corp.; ON Non------Berkeley Capital Corp. I InvFund

Voyager Digital Ltd. Voyager Digital (Canada) ON Non------Ltd. InvFund

Voyageur Mineral Explorers Corp. Copper Reef Mining ON Non------Corporation InvFund

VPI Canadian Balanced Pool VPI Dixon Mitchell Canadian MB InvFund ------Balanced Pool

VPI Canadian Equity Pool VPI Cardinal Canadian MB InvFund ------Equity Pool; Value Partners Canadian Equity Pool

VPI Corporate Bond Pool MB InvFund ------

VPI Dividend Growth Pool MB InvFund ------

VPI Global Equity Pool VPI Foreign Equity Pool; VPI MB InvFund ------Cardinal Foreign Equity Pool; Value Partners Foreign Equity Pool

VPI Income Pool VPI Canadian Income Pool; MB InvFund ------VPI Cardinal Canadian Income Pool; Value Partners Canadian Income Pool

VPI Mortgage Pool MB InvFund ------

VPI Value Pool VPI World Equity Pool; VPI MB InvFund ------CGOV World Equity Pool

VPN Technologies Inc. Subscribe Technologies BC Non------Inc.; Surrey Capital Corp. InvFund

VR Resources Ltd. Roll-Up Capital Corp. BC Non------InvFund

VSBLTY Groupe Technologies Corp. BC Non------InvFund

VSM MedTech Ltd. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2006/12/15 InvFund

Vuzix Corporation ON Non------InvFund

VVC Exploration Corporation ON Non------InvFund

V.R.D. Entertainment Ltd. ON Non- -- -- Yes/Oui 1995/03/23 InvFund W 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)

Wabigoon Resources Limited QC Non- -- -- Yes/Oui 1992/05/21 InvFund

Wajax Corporation ON Non------InvFund

Waldron Energy Corporation Triton Energy Corp. AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/12/03 InvFund

Wall Financial Corporation BC Non------InvFund

Wallbridge Mining Company Limited ON Non------InvFund

Walter Energy, Inc. BC Non- Yes/Oui 1a, 1b, 1c, 1d, -- -- InvFund 1e, 3

Walton Edgemont Development AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/16 Corporation InvFund

Walton Ontario Land L.P. 1 AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/05/16 InvFund

Waraba Gold Limited Zenith Exploration Inc. BC Non------InvFund

Waratah Alternative Equity Income Fund ON InvFund ------

Waratah Alternative ESG Fund ON InvFund ------

Warwick Communications Inc. AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2008/07/17 InvFund

Warwick Universal Limited QC Non- -- -- Yes/Oui 1978/06/12 InvFund

Wasabi Resources Ltd. AB Non- -- -- Yes/Oui 1987/06/16 InvFund

Wasco Capital Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/10/07 InvFund

Waseco Resources Inc. ON Non------InvFund

Waste Connections, Inc. Progressive Waste ON Non------Solutions Ltd.; IESI-BFC InvFund Ltd.; BFI Canada Ltd.

Wastecorp. International Investments Inc. ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2005/11/08 InvFund

Water Ways Technologies Inc. Sagittarius Capital ON Non------Corporation InvFund

Waterford Apartments Limited ON Non------InvFund

Waterford House -- Non- -- -- Yes/Oui 1985/09/16 InvFund

Waterloo Brewing Ltd. Brick Brewing Co. Limited ON Non------InvFund

Waterpur International Inc. Vector Environmental -- Non- -- -- Yes/Oui 1999/10/18 Technologies, Inc. InvFund

Watson Lake Mines Limited ON Non- -- -- Yes/Oui 1992/06/18 InvFund

Wavefront Global Diversified Investment Exemplar Diversified ON InvFund ------Class Portfolio

WavePOINT Systems Inc. AB Non- Yes/Oui 1b Yes/Oui 2002/09/13 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) WaveRider Communications Inc. ON Non- Yes/Oui 1a, 1c, 1e Yes/Oui 2006/12/22 InvFund

Waverley Pharma Inc. BUFFALO CAPITAL INC. MB Non------InvFund

WaveTech Networks Inc. ON Non- -- -- Yes/Oui 2001/05/25 InvFund

Wavve Telecommunications, Inc. Gran Columbia Resources ON Non- -- -- Yes/Oui 2001/10/03 Inc. InvFund

Wayfair Explorations Limited -- Non- -- -- Yes/Oui 1984/10/16 InvFund

Wayland Group Corp. Maricann Group Inc.; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2019/05/06 Danbel Ventures Inc.; InvFund Danbel Industries Corporation; Augusta Technologies Ltd.

Waypoint All Weather Alternative Fund ON InvFund ------

Wayzata Finance Inc. Wayzata Film Finance Inc. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2020/09/18 InvFund

Wealthjammer Development Corporation ON Non- -- -- Yes/Oui 1996/05/17 InvFund

Wealthsimple Developed Markets ex North ON InvFund ------America Socially Responsible Index ETF

Wealthsimple North America Socially ON InvFund ------Responsible Index ETF

WeCommerce Holdings Ltd. Brachium Capital Corp. BC Non------InvFund

WeedMD Inc. Aumento Capital V ON Non------Corporation InvFund

Weekend Unlimited Industries Inc. Weekend Unlimited Inc. BC Non------InvFund

WELL Health Technologies Corp. Wellness Lifestyles Inc.; BC Non------Movarie Capital Ltd. InvFund

Wellington - IG Global Equity Hedge Pool MB InvFund ------

Wells Fargo Canada Corporation Wells Fargo Financial ON Non------Canada Corporation; InvFund Norwest Financial Canada Company; Norwest Financial Canada, Incorporated; Norwest Financial Canada, Inc.

Wells Fargo Mid Cap Growth Fund Evergreen Mid Cap Growth ON InvFund Yes/Oui 1a, 1c, 1d, 3 -- -- Fund; Evergreen Emerging Growth Fund; Evergreen Small Company Growth Fund; Keystone Small Company Growth Fund (S-4); Keystone Custodian Fund, Series S-4

Wells Fargo Premier Large Company Evergreen Large Company ON InvFund Yes/Oui 1a, 1c, 1d, 3 -- -- Growth Fund Growth Fund; Evergreen Strategic Growth Fund; Keystone Strategic Growth Fund (K-2)

WellteQ Digital Health Inc. Terra Nova Resources Inc. BC Non------InvFund

Werner Danz Company Limited ON Non- -- -- Yes/Oui 1989/09/15 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)

WesCan Energy Corp. Great Pacific International AB Non------Inc. InvFund

Wescan Goldfields Inc. SK Non------InvFund

Wesdome Gold Mines Ltd. River Gold Mines Ltd. ON Non------InvFund

West African Resources Limited BC Non------InvFund

West Coast Forest Products Ltd. BC Non- -- -- Yes/Oui 2005/09/28 InvFund

West Fraser Timber Co. Ltd. BC Non------InvFund

West Haven Golf Limited Partnership ON Non- -- -- Yes/Oui 1991/01/10 InvFund

West High Yield (W.H.Y.) Resources Ltd. AB Non------InvFund

West Isle Energy Inc. AB Non- -- -- Yes/Oui 2012/06/28 InvFund

West Mining Corp. Ironwood Capital Corp. BC Non------InvFund

West Red Lake Gold Mines Inc. Hy Lake Gold Inc.; HYWY ON Non------Corp.; HYWY.Com Corp.; InvFund Net-Quote.Com Inc.; McLaren Resources Corp.

West Vault Mining Inc. West Kirkland Mining Inc. BC Non------InvFund

Westbridge Energy Corporation Portrush Petroleum BC Non------Corporation; Texas Gulf InvFund Petroleum Corporation; Southern Bar Minerals Corporation

Westcoast Energy Inc. AB Non------InvFund

Westcore Energy Ltd. AB Non------InvFund

Western Canada Beverage Corporation BC Non- -- -- Yes/Oui 1992/08/07 InvFund

Western Copper and Gold Corporation Western Copper BC Non------Corporation InvFund

Western Energy Services Corp. AB Non------InvFund

Western Forest Products Inc. BC Non------InvFund

Western Gold Exploration Ltd. Cassowary Capital AB Non------Corporation Limited InvFund

Western Plains Petroleum Ltd. Saha Petroleum Ltd.; Mises AB Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2014/06/17 Capital Corporation InvFund

Western Resources Corp. BC Non------InvFund

Western Resources Minerals Limited AB Non- -- -- Yes/Oui 1992/12/23 InvFund

Western Troy Capital Resources Inc. ON Non------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)

Western Uranium & Vanadium Corp. Western Uranium ON Non------Corporation; Homeland InvFund Uranium Inc.

Westfort Energy Ltd. AB Non- Yes/Oui 1a, 1b, 1d, 3 Yes/Oui 2003/07/08 InvFund

Westhaven Gold Corp. BC Non------InvFund

Westline Resources Ltd. BC Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2012/07/17 InvFund

Westmills Canada Inc. AB Non- -- -- Yes/Oui 1985/06/19 InvFund

Westmount Ridge Limited Partnership ON Non- -- -- Yes/Oui 1994/06/06 InvFund

Westphalia Dev. Corp. Walton Westphalia AB Non------Development Corporation InvFund

Westport Fuel Systems Inc. Westport Innovations Inc. BC Non------InvFund

Westshore Terminals Investment BC Non------Corporation InvFund

Westwater Industries Ltd. BC Non- -- -- Yes/Oui 1992/01/13 InvFund

Westwater Resources, Inc. Uranium Resources, Inc. ON Non------InvFund

Wheaton Precious Metals Corp. Silver Wheaton Corp.; Chap BC Non------Mercantile Inc. InvFund

Whim Creek Consolidated N.L. -- Non- -- -- Yes/Oui 1990/10/09 InvFund

Whistler Blackcomb Holdings Inc. 1068877 B.C. Ltd. BC Non------InvFund

White-Guyatt Mining Company Limited ON Non- -- -- Yes/Oui 1990/06/21 InvFund

White Gold Corp. ON Non------InvFund

White Metal Resources Corp. Trillium North Minerals Ltd.; ON Non------Canadian Golden Dragon InvFund Resources Ltd.

White Rose Crafts and Nursery Sales ON Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/10/15 Limited InvFund

White Star Copper Mines Limited ON Non- -- -- Yes/Oui 2000/12/06 InvFund

Whitecap Resources Inc. AB Non------InvFund

Whitehorse Gold Corp. BC Non------InvFund

Whitemud Resources Inc. AB Non------InvFund

Wi2Wi Corporation International Sovereign ON Non------Energy Corp. InvFund

Wikileaf Technologies Inc. BC Non------InvFund

WildBrain Ltd. DHX Media Ltd. NS Non------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) WildCard Technologies Inc. Kolvox Communications ON Non- -- -- Yes/Oui 1997/12/08 Inc.; Kolovox InvFund Communications Inc.

Wildflower Brands Inc. Wildflower Marijuana Inc.; BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2021/02/03 Sunorca Development InvFund Corp.

Wildsky Resources Inc. China Minerals Mining BC Non------Corporation; Hawthorne InvFund Gold Corp.

Williston Wildcatters Oil Corporation AB Non- -- -- Yes/Oui 1995/11/29 InvFund

Willoughby Investment Pool BC InvFund ------

Willow Biosciences Inc. Makena Resources Inc. AB Non------InvFund

Wilmington Capital Management Inc. Unicorp Inc.; Unicorp ON Non------Energy Corp. InvFund

Wilshire Energy Resources Inc. AB Non- -- -- Yes/Oui 1991/04/02 InvFund

Wilshire Oil Company of Texas -- Non- -- -- Yes/Oui 1977/10/20 InvFund

Wimberley Resources Ltd. ON Non- -- -- Yes/Oui 1985/06/18 InvFund

Win-Eldrich Mines Limited ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2013/05/13 InvFund

Winchester Group Inc. ON Non- -- -- Yes/Oui 1999/10/06 InvFund

Windfall Geotek Inc. Albert Mining Inc.; Majescor QC Non------Resources Inc. InvFund

Windsor and Company Limited Partnership -- Non- -- -- Yes/Oui 1994/09/22 InvFund

Windsor Court Investments -- Non- -- -- Yes/Oui 1980/06/27 InvFund

Windsor Energy Corporation AB Non- -- -- Yes/Oui 1999/10/18 InvFund

Windsor Park Apartments (Issuer) Limited ON Non- -- -- Yes/Oui 1997/04/10 Partnership InvFund

Windy Mountain Explorations Ltd. ON Non- Yes/Oui 1a Yes/Oui 2003/06/26 InvFund

Winpak Ltd. MB Non------InvFund

Winston Capital Group Inc. AB Non------InvFund

Winston Gold Corp. Winston Gold Mining Corp. MB Non- Yes/Oui 3 -- -- InvFund

Winwest Oil & Mining Limited ON Non- -- -- Yes/Oui 1984/01/09 InvFund

Wise 100 per cent Equity ETF Portfolio QC InvFund ------

Wise Balanced ETF Portfolio QC InvFund ------

Wise Conservative ETF Portfolio QC InvFund ------

Wise Fixed Income ETF Portfolio QC InvFund ------

Wise Growth ETF Portfolio QC InvFund ------

Wise Maximum Growth ETF Portfolio ON 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)

Wishpond Technologies Ltd. Antera Ventures I Corp. BC Non------InvFund

Wolfden Resources Corporation ON Non------InvFund

Wolverine Energy and Infrastructure Inc. AB Non------InvFund

Wood Gundy Self-Directed Education ON InvFund ------Savings Plan

Woodfine Professional Centres Limited BC Non- -- -- Yes/Oui 2018/05/04 Partnership InvFund

WorkGroup Designs Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2006/08/09 InvFund

World Class Extractions Inc. BC Non------InvFund

World Financial Split Corp. ON InvFund ------

WORLD OUTFITTERS CORPORATION QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/04/05 SAFARI NORDIK InvFund

World Sales & Merchandising Inc. World Sports ON Non- Yes/Oui 1a, 1b, 1d Yes/Oui 2002/02/04 Merchandising Inc.; Meranto InvFund Technology Ltd.

World Tec Sciences Incorporated HLE Capital Corp. ON Non- -- -- Yes/Oui 1996/01/19 InvFund

World Wide Minerals Ltd. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/05/09 InvFund

World Wise Technologies Inc. ON Non- Yes/Oui 1a, 1d, 3 Yes/Oui 2003/02/21 InvFund

Worldtek (Canada) Ltd. Pacific Gold Corp. ON Non- -- -- Yes/Oui 2000/06/15 InvFund

Worldwide Resources Corp. El Condor Minerals Inc.; BC Non- Yes/Oui 3 -- -- Lagasco Corp. InvFund

Wow Unlimited Media Inc. Rainmaker Entertainment BC Non------Inc. InvFund

WPD Pharmaceuticals Inc. Westcot Ventures Corp.; BC Non------Sparrow Ventures Corp. InvFund

WPT Industrial Real Estate Investment Trust ON Non------InvFund

WSM Ventures Corp. Avalon Blockchain Inc.; BC Non------World Mahjong Limited InvFund

WSP Global Inc. QC Non------InvFund

WYE Resources Inc. ON Non- -- -- Yes/Oui 2001/10/24 InvFund

Wysdom Inc. ON Non- Yes/Oui 1a Yes/Oui 2005/05/18 InvFund X

X-Terra Resources Inc. BC Non------InvFund

X Corporation AB Non- -- -- Yes/Oui 1999/07/16 InvFund

Xali Gold Corp. Candente Gold Corp. BC Non------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)

Xanadu Fund Limited ON InvFund -- -- Yes/Oui 1993/06/02

Xanadu Mines Ltd ON Non------InvFund

XAU Resources Inc. ON Non- Yes/Oui 1c, 1e, 3 -- -- InvFund

Xavier Mines Limited -- Non- -- -- Yes/Oui 1997/06/26 InvFund

Xebec Adsorption Inc. QC Non------InvFund

Xenon Pharmaceuticals Inc. BC Non------InvFund

Xerox Corporation ON Non------InvFund

Xgen Ventures Inc. Xperia Corp.; Software AB Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2010/08/10 Gaming Corp.; Flying Disc InvFund Entertainment Inc.

Xigem Technologies Corporation 10557536 Canada Corp. BC Non------InvFund

Ximen Mining Corp. Elm Tree Minerals Inc.; BC Non------Everett Resources Ltd. InvFund

Xinex Networks Inc. BC Non- -- -- Yes/Oui 1998/11/04 InvFund

Xmet Inc. Eminence Capital II Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2017/05/05 InvFund

XORTX Therapeutics Inc. APAC Resources Inc. BC Non------InvFund

XPEL, Inc. Xpel Technologies Corp. ON Non------InvFund

XPhyto Therapeutics Corp. BC Non------InvFund

xRM Global Inc. GHJ Capital Inc. ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2011/05/09 InvFund

XS Financial Inc. Xtraction Services Holdings BC Non------Corp. InvFund

Xtierra Inc. Antamena Capital Corp. ON Non------InvFund

XTM Inc. ON Non------InvFund

Xtra-Gold Resources Corp. ON Non------InvFund

XXL Energy Corp. Exxel Energy Corp. BC Non------InvFund Y

Yaletown Capital Corp. BC Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2012/11/13 InvFund

Yamana Gold Inc. Yamana Resources Inc. ON Non------InvFund

Yangaroo Inc. Musicrypt Inc. ON Non------InvFund

Yangarra Resources Ltd. AB Non------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)

YBM Magnex International, Inc. -- Non- -- -- Yes/Oui 1998/05/13 InvFund

YDX Innovation Corp. YDreams Global Interactive BC Non------Technologies Inc.; Apple InvFund Capital Inc.; Terra Firma Resources Inc.

Yellow Pages Digital & Media Solutions YPG Financing Inc.; Yellow QC Non------Limited Media Inc.; YPG Holdings InvFund Inc.

Yellow Pages Limited Yellow Media Limited QC Non------InvFund

Ynvisible Interactive Inc. Network Exploration Ltd. BC Non------InvFund

Yongsheng Capital Inc. BC Non------InvFund

Yorbeau Resources Inc. QC Non------InvFund

York Masonic Temple Limited ON Non- -- -- Yes/Oui 1982/06/28 InvFund

Yorkton Ventures Inc. BC Non------InvFund

Yorkville American QVR Enhanced ON InvFund ------Protection Class

Yorkville Canadian QVR Enhanced ON InvFund ------Protection Class

Yorkville Enhanced Protection Class ON InvFund ------

Yorkville Global Opportunities Class ON InvFund ------

Yorkville Health Care Opportunities Class ON InvFund ------

Yorkville International QVR Enhanced Yorkville EAFE QVR ON InvFund ------Protection Class Enhanced Protection Class

Yorkville Optimal Return Bond Class ON InvFund ------

Young Australian Mines Ltd. Moly Mines Limited ON Non------InvFund

YRI York Limited ON Non- -- -- Yes/Oui 1991/10/22 InvFund

YSV Ventures Inc. 701 Media Group Inc.; ON Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/07 701.Com Corp. InvFund

YTM Capital Fixed Income Alternative Fund ON InvFund ------Z

Zadar Ventures Ltd. BC Non------InvFund

Zamora Gold Corp. ON Non- Yes/Oui 1a, 1b, 3 Yes/Oui 2003/07/07 InvFund

Zapata Corporation AB Non- -- -- Yes/Oui 1993/03/16 InvFund

Zargon Oil & Gas Ltd. AB Non- Yes/Oui 1c, 1e Yes/Oui 2020/11/19 InvFund

Zaurak Capital Corporation Channel i Canada Inc.; ON Non- Yes/Oui 1a Yes/Oui 2002/08/27 Channel I Canada Inc.; InvFund Sunburst M.C. Ltd. 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) ZaZa Energy Corporation AB Non- Yes/Oui 1b, 1c, 1e Yes/Oui 2015/12/17 InvFund

Zconnexx Corporation ON Non- -- -- Yes/Oui 2001/08/30 InvFund

Zedcor Inc. Zedcor Energy Inc.; AB Non------Canadian Equipment InvFund Rentals Corp.; CERF Incorporated

ZEN Graphene Solutions Ltd. Zenyatta Ventures Ltd. ON Non------InvFund

Zenabis Global Inc. BC Non------InvFund

Zenith Capital Corp. Zenith Epigenetics Corp. AB Non- Yes/Oui 3 -- -- InvFund

Zenmac Zinc Ltd. ON Non- -- -- Yes/Oui 1998/06/17 InvFund

Zephyr Minerals Ltd. NS Non------InvFund

ZeU Technologies, Inc. ZeU Crypto Networks Inc. BC Non------InvFund

Zimtu Capital Corp. Flow Energy Ltd. BC Non------InvFund

Zinc8 Energy Solutions Inc. MGX Renewables Inc. BC Non------InvFund

Zincore Metals Inc. BC Non------InvFund

Zlin Aerospace Inc. ON Non- Yes/Oui 1a Yes/Oui 2002/11/26 InvFund

Zoloto Resources Ltd. Sutcliffe Resources Ltd. BC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2009/05/06 InvFund

Zonetail Inc. ON Non------InvFund

Zonte Metals Inc. Empire Capital Corp. ON Non------InvFund

ZoomerMedia Limited Fifty-Plus.Net International ON Non------Inc. InvFund

ZoomMed Inc. QC Non- Yes/Oui 1a, 1c, 1e, 3 Yes/Oui 2018/10/05 InvFund

ZTEST Electronics Inc. Panthco Resources Inc. ON Non------InvFund

Zungui Haixi Corporation ON Non- Yes/Oui 1a, 1c, 1e, 3, 4 Yes/Oui 2011/09/16 InvFund

Zupintra Corporation, Inc. Phinder Technologies Inc.; ON Non- Yes/Oui 1a, 1b, 1c, 1e, 3 Yes/Oui 2008/07/23 Digital Rooster.com Ltd.; InvFund Digital Rooster.com Inc.; Storimin Resources Limited; Storimin Exploration Limited

Zymeworks Inc. BC Non------InvFund

Zytec Systems Inc. -- Non- -- -- Yes/Oui 1992/06/17 InvFund