Decisions and Orders 

Under For Dealers & 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 and those seeking registration.

You can also find certain decisions and orders by viewing:

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.

Note:  We have been reorganizing the categories of Decisions and Orders documents on our website. 

Some documents formerly found under “Enforcement – Decisions and Orders” have been moved to “For Companies – Decisions and Orders” or to “For Dealers & Advisers – Decisions and Orders”. 

You may want to conduct your search in more than one section.  Thank you for your patience as we complete this transition.  

Decisions and Orders
Document NameFilter
FRANK CAPITAL PARTNERS INC. ED DEC 20120308 4125992-v1 - Extension.pdf
Frank Capital Partners Inc.
3/8/2012Executive Director Decisions
4109283-v2-Frank_Capital_-_draft_ED_order.pdf
Frank Capital Partners Inc.
2/24/2012Executive Director Decisions
HARRINGTON CAPITAL PARTNERS INC. DEC 20120216 4084596v1.pdf
Harrington Capital Partners Inc. and Kennedy, Blaine Russell
2/16/2012Executive Director Decisions
3748452-v2-Consent_Order_pursuant_to_s__76_1(1)_of_the_ASA.pdf
Sustainable Wealth Management Ltd and Derek Gates
2/15/2011Commission Decisions, Orders and Rulings
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
DOE, Jane - Decision - 2007-05-14-2519535 v1.doc.pdf
DOE, Jane
5/14/2007Executive Director Decisions
LYSALTA_DECISION_-_2004-04-27_-__1491166v1[1].pdf
Lysalta Capital Development Corporation
4/27/2004Commission Decisions, Orders and Rulings
Lysalta_Capital_Development_Corp._-_Reasons_for_Decision_-_2004-01-30_-__1416815_v1[1].pdf
Lysalta Capital Development Corporation
1/30/2004Executive Director Decisions

Exemption Orders
4399363-v11- Decision - Natcan_Trust _Company.pdfNatcan Trust Company5/2/2013Discretionary ExemptionsNI 31-103, s.4.1 and 15.1
4414863-v4-Barclays Capital Inc.pdfBarclays Capital Inc.4/29/2013Discretionary Exemptionss.75(1)(a) and s.144
4429960-v2-Decision_RJ_O_Brien.pdfR.J. O’Brien & Associates LLC3/19/2013Discretionary Exemptionss.75(1)(a) and s.144
4328969-v19-Decision_re_HSBC_USA.pdfHSBC Securities (USA) Inc.3/4/2013Discretionary Exemptionss.75(1)(a) and s.213
4384112 Decision_re_Creditex_Securities.pdfCreditex Securities Corporation12/31/2012Discretionary Exemptionss.75(1)(a) and 144
4400683-Decision_Merrill_Lynch International.pdfMerrill Lynch International and Merrill Lynch, Pierce, Fenner & Smith, Incorporated12/31/2012Discretionary Exemptionss.75(1)(a) and 144
4348888-v8-National_Bank_Financial_Inc__-_Decision.pdfNational Bank Financial Inc.12/14/2012Discretionary Exemptionss.90(1), s.213, s.14.14 and 15.1 of NI 31-103
4373630 AEGON_Capital_Management_Inc__-_Decision_Document.pdfAEGON Capital Management Inc.12/5/2012Discretionary Exemptionss.213 and s.75(1)(b)
4319920-v4-Merrill_Lynch_Canada_Inc__-_Decision.pdfMerrill Lynch Canada Inc.10/31/2012Discretionary Exemptionss. 90(1) and s. 213, and NI 31-103, s. 14.14 and s. 15.1
4303550-v6-Decision_re_Macquarie_s_213_re_give-up_trades.pdfMacquarie Capital Markets Ltd.10/3/2012Discretionary Exemptionss. 90(1) and s. 213, and NI 31-103, s. 14.14 and s. 15.1
4094267-v4-Decision_Document_-_Aston_Hill_Investments_Inc_.pdfAston Hill Investments Inc.2/24/2012Discretionary ExemptionsNI 31-103, s. 13.5(2)(b)(iii)
3991171-v5-TD_Securities_Give-up_Trade_ERA_Decsion.pdfBMO Nesbitt Burns Inc. et al. 11/24/2011Discretionary Exemptionss.90(1) and NI 31-103, s.14.14
ASC_LIB1-3870305-v1-TriAct_NI21-101_ERA_Order_May_2011.pdfTriAct Canada Marketplace LP6/11/2011Discretionary ExemptionsNI 21-101, s. 12.2 & 15.1
3884331-v1-Order_-_NI21-101_Filing_Time_Abridgement_-_June_6__2011_Fee_change.pdfTSX Venture Exchange Inc.6/3/2011Discretionary ExemptionsNI 21-101, s. 15.1
3796281-v4-Draft_Decision_-_s_90_HSBC.pdfHSBC Securities (Canada) Inc.3/30/2011Discretionary Exemptionss. 90
3723036-v1-Order_Re_EnerVest_Diversified_Management_Inc__-_January_11__2011.pdfEnerVest Diversified Income Trust and Canoe Financial LP1/14/2011Discretionary Exemptionss. 75(1)(a)
3715823-v2-Catapult_Decision_Document.pdfCatapult Financial Management Inc.12/14/2010Discretionary ExemptionsNI 31-103, s. 13.5(2)
3681570-v1-Order_Re_Canoe_Financial_LP_-_November_22__2010.pdfCanoe Financial LP11/23/2010Discretionary Exemptionss. 75(1)(b)
3691359-v1-Manulife_Securities_Decision_(Section_90).pdfManulife Securities Incorporated11/19/2010Discretionary Exemptionss. 90(1)
3670438-v4-Order_Re_Riverstream_Asset_Mangement_Ltd__-_November_4__2010.pdfRiverStream Asset Management Ltd.11/4/2010Discretionary Exemptionss. 75(1)(b)
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