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FAQs relating to disciplinary actions and Cease Trade Orders (CTOs)

When creating an application, can a filer apply for a revocation or partial revocation of a cease trade order combined with an application to cease to be a reporting issuer?

What filing procedure should be selected when creating an MCTO application and when should ‘Jurisdiction(s) where filed’ and ‘Jurisdiction(s) where applies’ be selected?

Who should I contact if I identify a name change that has not been reflected in SEDAR+?

How do I search for individuals or non-individuals subject to a management cease trade order (MCTO) on SEDAR+?

Why do profiles that were migrated from the ‘Disciplined list’ have duplicate regulatory actions under the ‘Disciplinary action’ tab?

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+?

Who issues CTOs and when?

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?

Which CSA jurisdictions have adopted Multilateral Instrument 11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions (MI 11-103)?

How does MI 11-103 impact where failure-to-file cease trade orders (FFCTOs) have effect?

What is the effect of a Cease Trade Order (CTO) on market participants subject to Canadian Investment Regulatory Organization (CIRO) regulation?

How long does a CTO last?

What do I do if I own shares in an issuer that has a CTO issued against it?