Decisions and Orders 

The Commission is in the process of reorganizing the categories of documents on the website.  Some documents currently found under “Enforcement – Decisions and Orders” will be moved to either this page or "For Companies - Decisions and Orders".  We will complete the transition as soon as possible.

Under For Dealers and Advisers – Decisions and Orders, you will find:

  • orders granting exemptions to particular applicants from specified requirements of securities laws;
  • orders granting approval or recognition to various types of exchanges or self-regulatory organizations; and
  • other decisions or orders relating to exchanges, self-regulatory organizations, registrants or those seeking registration.

During the transition period, you will also find under Enforcement – Decisions and Orders certain decisions and orders that will ultimately be on this page.

You can also find certain decisions and orders relating to specific types of breaches under For Companies – Decisions and Orders (these relate to certain deficiencies in filing continuous disclosure and to other matters including exemption orders and take-over bids).

In addition you can consult, without cost, CanLII for decisions and orders issued by the ASC and its counterparts in other Canadian provinces and territories.

Decisions
Document NameFilter
3355501-v1-D_Addario_Decision.pdf
Appellant:
D'ADDARIO, Frank
Respondent:
TSX Venture Exchange
11/10/2009Commission Decisions, Orders and Rulings
3326041-v1-Lamontagne_Decision.pdf
Appellant:
LAMONTAGNE, Dustin Rene John
Respondent:
Investment Industry Regulatory Organization of Canada
10/1/2009Commission Decisions, Orders and Rulings
3231092-v1-Albinati_Decision.pdf
ALBINATI,  Denis M.
6/8/2009Commission Decisions, Orders and Rulings
Sentinel Financial Management Corp ABASC 477 dtd 31 Jul 2008.pdf
Sentinel Financial Management Corp
7/31/2008Commission Decisions, Orders and Rulings
Orders
3611843-v1-Order_Re_Don_Short_-_August_24__2010.pdfDon Short8/24/2010Discretionary ExemptionsNI 31-103, s 4.1
3462941-v2-TSX_V_-_ASC_ORDER_2010_ABASC_140.pdfTSX Venture Exchange Inc.3/26/2010Discretionary ExemptionsNI 21-101, s 3.2(1) & 15.1
3394100-v6-Section_90(1)__Assante_Capital_Management_Ltd__(Decision).pdfAssante Capital Management Ltd.3/11/2010Discretionary Exemptionss.90(1)
3444425-v2-Order_Re_Pier_21_Asset_Management_Inc__-_March_8__2010.pdfPier 21 Asset Management Inc.3/8/2010Discretionary Exemptionss.75(1)(b)
3441359-v1-TSX_Venture_Exchange_Inc.pdfTSX Venture Exchange Inc.2/25/2010Discretionary ExemptionsNI 21-101, s 3.2(1) & 15.1
3310002-v8-CWM_Investment_Counsel_Inc__exemption_order_(subadviser).pdfCWM Investment Counsel Inc. and Whitley Energy Capital Partners, LP10/14/2009Discretionary Exemptionss.75(1)(b)
3333187-v2-TSXV_-_COORDINATED_REVIEW_SEP_17_2009.pdfTSX Venture Exchange9/30/2009Discretionary ExemptionsNI 21-101, s 3.2(1) & 15.1
3337078-v1-ITG_Canada_Corp.pdfITG Canada Corp8/26/2009Discretionary Exemptionss. 90
McLean Budden Limited.pdfMcLean Budden Limited8/13/2009Discretionary Exemptionss. 16
3215815-v1-CIBC_WORLD_MARKETS_INC- s 90 - OSC-decdoc.pdfCIBC World Markets Inc.5/8/2009Discretionary Exemptionss. 90
3112410-v3-Assante_Capital_Management_Ltd___Assante_Financial_Management_Ltd___Blackmont_Capital_Inc__-_s__90_-_AB_DECDOC.pdfAssante Capital Management Ltd.3/3/2009Discretionary Exemptionss. 90(1)
3215813-v1-ITG_CANADA_CORP- s. 71.1(2), s. 71.3 - OSC - DECDOC.pdfITG Canada Corp.1/21/2009Discretionary Exemptionss. 71.1(2), s. 71.3
TD Waterhouse Canada Inc. et al.pdfTD Waterhouse Canada Inc. et al12/31/2008Discretionary Exemptionss. 90(1)
13056650-v4-GOLDMAN__SACHSCO_AB_DECDOC.pdfGoldman, Sachs & Co.11/21/2008Discretionary Exemptionss.75(1)(a)
3011240-v2-BLOOMBERG_TRADEBOOK_LLC_-_DECISION_SEPT_2008.pdfBloomberg Tradebook LLC 9/23/2008Discretionary Exemptionss.75(1)
3012265-v1-RIDGEWOOD_CAPITAL_ASSET_MANAGEMENT_INC_OSC_DECDOC.pdfRidgewood Capital Asset Management Inc. 9/12/2008Discretionary Exemptionss.16 & 22