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FAQs relating to disciplinary actions and Cease Trade Orders (CTOs)
Who should I contact if I identify a name change that has not been reflected in SEDAR+?
Which decisions will I find on the ‘Disciplined list’?
Why is the information on the ‘Disciplined list’ made public?
How can I tell if an individual or non-individual has paid their amounts owing?
How do I subscribe to receive ‘Disciplined list’ and/or ‘Cease trade order’ notifications?
Why are CTOs published on SEDAR+?
What does ban trading BY and ban trading OF mean?
How does the expiry of sanctions work?
How will I know the status of a CTO?
How do I determine where a CTO has effect?
What is a statutory reciprocal order provision?
Which CSA jurisdictions have adopted a statutory reciprocal order provision?
How does MI 11-103 impact where failure-to-file cease trade orders (FFCTOs) have effect?
What do I do if I own shares in an issuer that has a CTO issued against it?
Last updated on: July 9, 2024