1. Ingeniería

Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
@rgentum Canadian Equity Portfolio
QC
No
Yes
No
@rgentum Canadian L/S Equity Portfolio
QC
No
Yes
No
@rgentum Canadian Performance Portfolio
QC
No
Yes
No
@rgentum Discovery Portfolio
QC
No
Yes
No
@rgentum Income Portfolio
QC
No
Yes
No
@rgentum International Master Portfolio
QC
No
Yes
No
@rgentum Short Term Asset Portfolio
QC
No
Yes
No
@rgentum U.S. Market Neutral Portfolio
QC
No
Yes
No
@rgentum U.S. Master Portfolio
QC
No
Yes
No
01 Communique Laboratory Inc.
ON
No
No
No
0941092 B.C. Ltd.
BC
No
No
No
0944460 B.C. Ltd.
BC
No
No
No
1011704 BC Ltd.
BC
No
No
No
1011705 BC Ltd.
BC
No
No
No
1011707 BC Ltd.
BC
No
No
No
1011709 BC Ltd.
BC
No
No
No
1080854 Ontario Limited
ON
No
Yes
No
1285081 Ontario
ON
No
No
No
1285081 Ontario Inc.
ON
No
No
No
1603546 Alberta Ltd.
AB
No
Yes
No
1608557 Ontario Inc.
ON
No
Yes
No
1807564 Alberta Ltd.
AB
Yes
No
No
2001 Resource Industries Ltd.
BC
No
Yes
No
20th Century Energy Corporation
BC
No
Yes
No
2100 Bloor Street West Limited Partnership
BC
No
Yes
No
2980304 Canada Inc.
MB
No
Yes
No
360 Capital Financial Services Group Inc.
BC
No
No
No
360networks Inc.
BC
No
Yes
No
37 Capital Inc.
BC
No
No
No
3MV Energy Corp.
AB
No
No
No
3TL Technologies Corp.
BC
No
No
No
407 International Inc.
ON
No
No
No
4126777 Canada Inc.
BC
No
Yes
No
4404980 CANADA INC.
BC
No
Yes
No
4504020 Canada Inc.
QC
No
Yes
No
49 North Resources Inc.
SK
No
No
No
523976 Alberta Ltd.
AB
No
Yes
No
5Banc Split Inc.
ON
No
No
No
5N Plus Inc.
QC
No
No
No
Page 1 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
6D Global Technologies, Inc.
BC
No
Yes
No
71 Capital Corp.
ON
No
No
No
7918534 Canada Inc.
BC
No
No
No
88 Capital Corp.
BC
No
No
No
92 Resources Corp.
BC
No
No
No
A & A International Industries Inc.
BC
No
Yes
No
A Little Reminder (ALR) Inc.
BC
No
Yes
No
A&W Revenue Royalties Income Fund
BC
No
No
No
A.A.A. Stamp Coin Bullion Inc.
BC
No
Yes
No
A.E. Ventures Ltd.
AB
No
Yes
No
A.H.A. Automotive Technologies Corporation
BC
No
Yes
No
A.I.S. Resources Limited
BC
No
No
No
A.O.G. Air Support Inc.
BC
No
Yes
No
A.T.H. Fund Inc.
BC
No
Yes
No
AAA-X Metals Inc.
BC
No
Yes
No
Aabbax International Financial Corporation
BC
No
Yes
No
Aabco Ventures Inc.
BC
No
Yes
No
AAN Ventures Inc.
BC
No
No
No
Aao Aquaculture International Corp.
BC
No
Yes
No
Aaron Mines, Ltd.
BC
No
Yes
No
Aatra Resources Ltd.
BC
No
Yes
No
Abacan Resource Corporation
AB
No
Yes
No
Abacus Mining & Exploration Corp.
BC
No
No
No
Abacus Software Group Inc.
AB
No
Yes
No
Abattis Bioceuticals Corp.
BC
No
No
No
Abbey Exploration Inc.
BC
No
Yes
No
ABC Technologies Inc.
BC
No
Yes
No
Abcana Capital Inc.
BC
No
No
No
Abcourt Mines Inc.
QC
No
No
No
ABE Resources Inc.
QC
No
No
No
Aben Resources Ltd.
BC
No
No
No
Abenteuer Resources Corp.
BC
No
No
No
Aberdeen Asia-Pacific Income Investment
Company Limited
ON
No
No
No
Aberdeen International Inc.
ON
No
No
No
Abermin Corporation
BC
No
Yes
No
ABI Biotechnology Inc.
BC
No
Yes
No
Abington Resources Ltd.
BC
No
No
No
Abitibi Mining Corp.
BC
No
Yes
No
Abitibi Royalties Inc.
QC
No
No
No
Page 2 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Aboriginal Global Investment Fund
BC
No
Yes
No
Absolute Software Corporation
BC
No
No
No
Abstract Enterprises Corp.
BC
No
Yes
No
Abzu Gold Ltd.
BC
No
No
No
AC Energy Inc.
AB
No
Yes
No
AC Energy Inc.
BC
No
Yes
No
Acacia Capital Corporation
BC
No
Yes
No
Acadian Core International Equity Fund
ON
No
No
No
Acadian Energy Inc.
ON
No
Yes
No
Acadian Timber Corp.
BC
No
No
No
Acana Capital Corp.
BC
No
No
No
ACASTI PHARMA INC.
QC
No
No
No
Acceleware Ltd.
AB
No
No
No
Accend Capital Corporation
BC
No
No
No
Access International Education Ltd.
AB
No
Yes
No
Access Technologies Inc.
BC
No
Yes
No
Accord Financial Corp.
ON
No
No
No
Accu-Chem Laboratories International, Ltd.
BC
No
Yes
No
ACE Aviation Holdings Inc.
QC
No
No
No
ACE/Security Laminates Corporation
ON
No
Yes
No
ACEnetx Inc.
ON
No
Yes
No
Acer Capital Corp.
BC
No
Yes
No
Ackroo Inc.
ON
No
No
No
ACL International Ltd.
AB
No
No
No
Acme Metals Incorporated
BC
No
Yes
No
Acme Resources Corp.
ON
No
No
No
Acme Resources Inc.
BC
No
No
No
Acorn Energy, Inc.
AB
No
No
No
Acquest Enterprises Ltd.
BC
No
Yes
No
Acquisicorp Capital Ltd.
BC
No
Yes
No
Acquisitor Mines Ltd.
BC
No
Yes
No
ACT Aurora Control Technologies Corp.
BC
No
No
No
ACT360 Solutions Ltd.
BC
No
No
No
Action Energy Inc.
AB
No
Yes
No
Active Growth Capital Inc.
ON
No
No
No
ACTIVEnergy Income Fund
AB
No
No
No
Actoma Resources Ltd.
BC
No
Yes
No
AcuityAds Holdings Inc.
ON
No
No
No
AD Capital US, Inc.
BC
No
Yes
No
AD Com Marketing Inc.
BC
No
Yes
No
Page 3 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Ad-Dome International Limited
BC
No
Yes
No
Adagio Investments Inc.
BC
No
Yes
No
Adaltis Inc.
QC
No
Yes
No
Adamera Minerals Corp.
BC
No
No
No
Adams Exploration Ltd.
BC
No
Yes
No
Adanac Molybdenum Corporation
BC
No
No
No
Adda Resources Ltd.
BC
No
Yes
No
Added Capital Inc.
ON
No
No
No
Addwest Minerals International, Ltd.
AB
No
Yes
No
Adent Capital Corp.
BC
No
No
No
Adex Mining Inc.
ON
No
No
No
ADF Group Inc.
QC
No
No
No
ADI Technologies Inc.
BC
No
Yes
No
Adira Energy Ltd.
ON
No
No
No
Admiral Bay Resources Inc.
BC
No
Yes
No
Admiral Inc.
ON
No
Yes
No
Adola Mining Corporation
BC
No
Yes
No
Adriana Resources Inc.
ON
No
No
No
Adroit Resources Inc.
BC
No
No
No
Advance Gold Corp.
BC
No
No
No
Advanced Aero-Wing Systems Corporation
BC
No
Yes
No
Advanced Explorations Inc.
ON
No
No
No
Advanced Folio Fund
ON
No
No
No
Advanced Growth Systems Inc.
BC
No
Yes
No
Advanced Micro Devices, Inc.
ON
No
No
No
Advanced New Frontier Oil & Gas Recovery
Inc.
BC
No
No
No
Advanced Proteome Therapeutics Corporation BC
No
No
No
Advantage Life Products, Inc.
BC
No
Yes
No
Advantage Link Inc.
QC
No
Yes
No
Advantage Oil & Gas Ltd.
AB
No
No
No
Advantaged Canadian High Yield Bond Fund
ON
No
No
No
Advantaged Preferred Share Trust
ON
No
No
No
AdvantEDGE International Inc.
ON
No
Yes
No
Advantex Marketing International Inc.
ON
No
No
No
AdvanteXCEL.com Communications Corp.
ON
No
Yes
No
Advectus Life Sciences Inc.
BC
No
Yes
No
Advent Wireless Inc.
BC
No
No
No
Adventure Electronics Inc.
QC
No
Yes
No
Adventure Gold Inc.
QC
No
No
No
Page 4 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Adventure Vehicle Dynamics Inc.
BC
No
Yes
No
Adwall Capital Corp.
AB
No
Yes
No
Aecon Group Inc.
ON
No
No
No
Aegis Investment Management (Golf), Inc.
BC
No
Yes
No
Aerocast Inc.
BC
No
Yes
No
Aerolift Inc.
BC
No
Yes
No
AEterna Zentaris Inc.
QC
No
No
No
Affinity Mediaworks Corp.
BC
No
Yes
No
Affinor Growers Inc.
QC
No
No
No
AFG Flameguard Ltd.
BC
No
Yes
No
AFM Hospitality Corporation
ON
No
Yes
No
Afrasia Mineral Fields Inc.
BC
No
No
No
Afri-Can Marine Minerals Corporation
QC
No
Yes
No
Africa Hydrocarbons Inc.
AB
No
No
No
Africa Oil Corp.
BC
No
No
No
African Copper PLC
ON
No
No
No
African Gemstones Limited
BC
No
Yes
No
African Gold Group, Inc.
ON
No
No
No
African Metals Corporation
BC
No
No
No
African Minerals Limited
AB
No
No
No
African Queen Mines Ltd.
BC
No
No
No
African Selection Mining Corporation
ON
No
Yes
No
African Sky Communications Incorporated
AB
No
Yes
No
Africo Resources Ltd.
BC
No
No
No
Aftermath Silver Ltd.
BC
No
No
No
Ag Growth International Inc.
MB
No
No
No
Agaguk Distribution And Company, Limited
AB
No
Yes
No
Agassiz Resources Ltd.
BC
No
Yes
No
Agau Resources, Inc.
AB
No
Yes
No
Agave Silver Corp.
BC
No
No
No
Agellan Commercial Real Estate Investment
Trust
ON
No
No
No
AGF American Growth Class
ON
No
No
No
AGF American Growth Fund
ON
No
No
No
AGF Asian Growth Class
ON
No
No
No
AGF Asian Growth Fund
ON
No
No
No
AGF Canada Class
ON
No
No
No
AGF Canadian Asset Allocation Fund
ON
No
No
No
AGF Canadian Bond Fund
ON
No
No
No
AGF Canadian Growth Equity Class
ON
No
No
No
Page 5 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
AGF Canadian Large Cap Dividend Class
ON
No
No
No
AGF Canadian Large Cap Dividend Fund
ON
No
No
No
AGF Canadian Money Market Fund
ON
No
No
No
AGF Canadian Resources Class
ON
No
No
No
AGF Canadian Small Cap Discovery Fund
ON
No
No
No
AGF Canadian Small Cap Fund
ON
No
No
No
AGF Canadian Small Cap Fund
ON
No
No
No
AGF Canadian Stock Fund
ON
No
No
No
AGF China Focus Class
ON
No
No
No
AGF Clean Environment Equity Fund
ON
No
No
No
AGF Diversified Income Class
ON
No
No
No
AGF Diversified Income Fund
ON
No
No
No
AGF Dividend Income Fund
ON
No
No
No
AGF EAFE Equity Fund
ON
No
No
No
AGF Elements Balanced Portfolio
ON
No
No
No
AGF Elements Balanced Portfolio Class
ON
No
No
No
AGF Elements Conservative Portfolio
ON
No
No
No
AGF Elements Conservative Portfolio Class
ON
No
No
No
AGF Elements Global Portfolio
ON
No
No
No
AGF Elements Global Portfolio Class
ON
No
No
No
AGF Elements Growth Portfolio
ON
No
No
No
AGF Elements Growth Portfolio Class
ON
No
No
No
AGF Elements Yield Portfolio
ON
No
No
No
AGF Emerging Markets Balanced Fund
ON
No
No
No
AGF Emerging Markets Bond Fund
ON
No
No
No
AGF Emerging Markets Class
ON
No
No
No
AGF Emerging Markets Fund
ON
No
No
No
AGF Equity Income Focus Fund
ON
No
No
No
AGF European Equity Class
ON
No
No
No
AGF European Equity Fund
ON
No
No
No
AGF Fixed Income Plus Fund
ON
No
No
No
AGF Floating Rate Income Fund
ON
No
No
No
AGF Global Aggregate Bond Fund
ON
No
No
No
AGF Global Concentrated Fund
ON
No
No
No
AGF Global Convertible Bond Fund
ON
No
No
No
AGF Global Dividend Fund
ON
No
No
No
AGF Global Equity Class
ON
No
No
No
AGF Global Equity Fund
ON
No
No
No
AGF Global Resources Class
ON
No
No
No
AGF Global Resources Fund
ON
No
No
No
Page 6 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
AGF Global Select Fund
ON
No
No
No
AGF Global Value Class
ON
No
No
No
AGF Global Value Fund
ON
No
No
No
AGF High Yield Bond Fund
ON
No
No
No
AGF Income Focus Fund
ON
No
No
No
AGF Inflation Focus Fund
ON
No
No
No
AGF Inflation Plus Bond Fund
ON
No
No
No
AGF International Group Limited - Ethical Class ON
No
No
No
AGF International Stock Class
ON
No
No
No
AGF Management Limited
ON
No
No
No
AGF Monthly High Income Fund
ON
No
No
No
AGF Precious Metals Fund
ON
No
No
No
AGF RSP Global Perspective Fund
ON
No
No
No
AGF Short-Term Income Class
ON
No
No
No
AGF Tactical Fund
ON
No
No
No
AGF Tactical Income Fund
ON
No
No
No
AGF Total Return Bond Fund
ON
No
No
No
AGF Traditional Balanced Fund
ON
No
No
No
AGF Traditional Income Fund
ON
No
No
No
AGF U.S. AlphaSector Class
ON
No
No
No
AGF U.S. Risk Managed Fund
ON
No
No
No
AGF U.S. Small-Mid Cap Fund
ON
No
No
No
AGF World Balanced Fund
ON
No
No
No
Aggressive Folio Fund
ON
No
No
No
Agility Health, Inc.
ON
No
No
No
Agio Resources Corporation
BC
No
Yes
No
AgJunction Inc.
AB
No
No
No
Agnico Eagle Mines Limited
ON
No
No
No
AgriMarine Holdings Inc.
BC
No
No
No
AgriMinco Corp.
ON
No
Yes
No
Agristar Inc.
BC
No
Yes
No
Agritec Systems, Inc.
AB
No
Yes
No
Agrium Inc.
AB
No
No
No
AGT Food and Ingredients Inc.
SK
No
No
No
Aguila American Gold Limited
BC
No
No
No
AH Capital Corp.
ON
No
No
No
AIC 2010 Managed Portfolio
ON
No
No
No
AIC 2015 Managed Portfolio
ON
No
No
No
AIC 2020 Managed Portfolio
ON
No
No
No
AIC 2025 Managed Portfolio
ON
No
No
No
Page 7 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
AIC American Focused Plus Fund
ON
No
No
No
AIC International Leaders Fund
ON
No
No
No
AIC International Resources Corporation
BC
No
Yes
No
AIC Retirement Income Portfolio
ON
No
No
No
AIC RSP 2010 Managed Portfolio
ON
No
No
No
AIC RSP International Leaders Fund
ON
No
No
No
Ail Absorbent Industries Ltd.
BC
No
Yes
No
Aileron Ventures Limited
AB
No
No
No
AIM Core Canadian Equity Non-RSP Class
ON
No
No
No
AIM EXPLORATION INC.
BC
No
No
No
Aim Explorations Ltd.
BC
No
No
No
Aim RSP Global Bond Fund
ON
No
No
No
AimGlobal Technologies Company Inc.
BC
No
Yes
No
Aimia Inc.
QC
No
No
No
Aims Biotech Corporation
BC
No
Yes
No
Ainsworth Lumber Co. Ltd.
BC
No
No
No
Aintree Resources Inc.
BC
No
No
No
Air Canada
QC
No
No
No
Air Packaging Technologies, Inc.
BC
No
Yes
No
Airedale Financial Corp.
BC
No
Yes
No
AirIQ Inc.
ON
No
No
No
Airline Training International Ltd.
ON
No
Yes
No
AISI Research Corp.
BC
No
Yes
No
Ajax Resources Ltd.
BC
No
Yes
No
Akademia Enterprises Inc.
BC
No
Yes
No
Akela Pharma Inc.
BC
No
Yes
No
Akita Drilling Ltd.
AB
No
No
No
Akrokeri-Ashanti Gold Mines Inc.
ON
No
Yes
No
Alabama Graphite Corp.
BC
No
No
No
Alacer Gold Corp.
ON
No
No
No
Alamos Gold Inc.
ON
No
No
No
Alantra Venture Corp.
BC
No
Yes
No
Alaris Royalty Corp.
AB
No
No
No
Alaska Gold Corp.
BC
No
Yes
No
Alaska Hydro Corporation
BC
No
No
No
Alaska Pacific Energy Corp.
BC
No
Yes
No
Alaskagold Mines Inc.
BC
No
Yes
No
Alba Minerals Ltd.
BC
No
No
No
Albar Resources Ltd.
BC
No
Yes
No
Alberta Oilsands Inc.
AB
No
No
No
Page 8 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Alberta Star Development Corp.
BC
No
No
No
Albion Petroleum Ltd.
AB
No
No
No
Alchemist Mining Incorporated
BC
No
No
No
Alcoa Inc.
NS
No
No
No
Alder Resources Ltd.
ON
No
No
No
Alderon Iron Ore Corp.
BC
No
No
No
Aldershot Resources Ltd.
BC
No
No
No
Aldridge Minerals Inc.
BC
No
No
No
ALDRIN RESOURCE CORP.
BC
No
No
No
Alert B&C Corporation
QC
No
Yes
No
Alert Care Corporation
AB
No
Yes
No
Alexander Mining plc
BC
No
No
No
Alexander Nubia International Inc.
BC
No
No
No
Alexandra Capital Corp.
BC
No
No
No
Alexandria Minerals Corporation
ON
No
No
No
Alexco Resource Corp.
BC
No
No
No
Algae Biosciences Corporation
AB
No
Yes
No
Algae International Group, Inc.
BC
No
Yes
No
Algo Group Inc.
QC
No
Yes
No
Algo Resources Limited
BC
No
Yes
No
Algold Resources Ltd.
QC
No
No
No
Algoma Central Corporation
ON
No
No
No
Algonquin Power & Utilities Corp.
ON
No
No
No
Alhambra Resources Ltd.
AB
No
No
No
Alibaba Innovations Corp.
BC
No
No
No
Alimentation Couche-Tard Inc.
QC
No
No
No
Alix Resources Corp.
BC
No
No
No
Alkane, Inc.
BC
No
Yes
No
All in West! Capital Corporation
MB
No
No
No
All Star Resources Ltd.
BC
No
Yes
No
All-Canadian Compound Fund
ON
Yes
No
No
Allana Potash Corp.
ON
No
No
No
Allante Resources Ltd.
BC
No
No
No
Allbanc Split Corp.
ON
No
No
No
Allbanc Split Corp. II
ON
No
No
No
Allegro Aggressive Canada Focus Portfolio
MB
No
No
No
Allegro Aggressive Portfolio
MB
No
No
No
Allegro Balanced Growth Canada Focus
Portfolio Class
MB
No
No
No
Allegro Balanced Growth Portfolio Class
MB
No
No
No
Page 9 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Allegro Balanced Portfolio Class
MB
No
No
No
Allegro Conservative Portfolio
MB
No
No
No
Allegro Growth Canada Focus Portfolio Class
MB
No
No
No
Allegro Growth Portfolio Class
MB
No
No
No
Allegro Income Balanced Portfolio Class
MB
No
No
No
Allegro Moderate Aggressive Canada Focus
Portfolio
MB
No
No
No
Allegro Moderate Aggressive Portfolio
MB
No
No
No
Allegro Moderate Conservative Portfolio
MB
No
No
No
Allegro Moderate Portfolio
MB
No
No
No
Alliance Mining Corp.
BC
No
No
No
Alliance Pipeline Limited Partnership
AB
No
No
No
AlliancePharma Inc.
QC
No
No
No
Allican Resources Inc.
QC
No
Yes
No
Allied Cellular Systems Limited
BC
No
Yes
No
Allied Hotel Properties Inc.
BC
No
No
No
Allied Nevada Gold Corp.
ON
No
No
No
Allied Properties Real Estate Investment Trust
ON
No
No
No
Allnet Secom Inc.
ON
No
Yes
No
Alloycorp Mining Inc.
ON
No
No
No
Almaden Minerals Ltd.
BC
No
No
No
Almo Capital Corp
BC
No
No
No
Almonty Industries Inc.
ON
No
No
No
Alotta Resources Ltd.
BC
No
Yes
No
Alpha Exploration Inc.
BC
No
No
No
Alpha Group Industries Inc.
ON
No
Yes
No
Alpha Peak Leisure Inc.
BC
No
No
No
Alpha Pro Tech, Ltd.
BC
No
No
No
Alpha Wastewater, Inc.
BC
No
Yes
No
Alpha-Omega Industries Inc.
BC
No
Yes
No
AlphaDelta Canadian Prosperity Class
BC
No
No
No
AlphaDelta Global Value Class
BC
No
No
No
AlphaDelta Growth of Dividend Income Class
BC
No
No
No
Alphamin Resources Corp.
BC
No
No
No
Alphanet Telecom Inc.
ON
No
Yes
No
AlphaNorth Growth Fund
ON
No
No
No
AlphaNorth Resource Fund
ON
No
No
No
AlphaTrade.com
BC
No
Yes
No
Alphinat Inc.
QC
No
No
No
ALQ Gold Corp.
BC
No
No
No
Page 10 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
ALSTOM
BC
No
No
No
Alston Energy Inc.
AB
No
Yes
No
Alta Natural Herbs & Supplements Ltd.
BC
No
No
No
Alta Terra Ventures Corp.
AB
No
Yes
No
Alta Vista Ventures Ltd.
BC
No
No
No
Alta-Kor Inc.
AB
No
Yes
No
AltaGas Ltd.
AB
No
No
No
Altagem Resources Inc.
AB
No
Yes
No
Altai Resources Inc.
ON
No
No
No
Altair Gold Inc.
BC
No
No
No
Altair Nanotechnologies Inc.
ON
Yes
No
No
AltaLink, L.P.
AB
No
No
No
Altan Nevada Minerals Limited
BC
No
No
No
Altan Rio Minerals Limited
BC
No
No
No
Altek Power Corporation
BC
No
Yes
No
Alter Nrg Corp.
AB
No
No
No
Alternative Earth Resources Inc.
BC
No
No
No
Altero Technologies Inc.
BC
No
Yes
No
Alterra Power Corp.
BC
No
No
No
Alterrus Systems Inc.
BC
No
Yes
No
Altima Resources Ltd.
BC
No
No
No
Altiplano Minerals Ltd.
AB
No
No
No
Altitude Resources Inc.
AB
No
No
No
Altius Minerals Corporation
ON
No
No
No
Alto Aggressive Canada Focus Portfolio
MB
No
No
No
Alto Aggressive Portfolio
MB
No
No
No
Alto Conservative Portfolio
MB
No
No
No
Alto Moderate Aggressive Canada Focus
Portfolio
MB
No
No
No
Alto Moderate Aggressive Portfolio
MB
No
No
No
Alto Moderate Conservative Portfolio
MB
No
No
No
Alto Moderate Portfolio
MB
No
No
No
Alto Monthly Income and Enhanced Growth
Portfolio
MB
No
No
No
Alto Monthly Income and Global Growth
Portfolio
MB
No
No
No
Alto Monthly Income and Growth Portfolio
MB
No
No
No
Alto Monthly Income Portfolio
MB
No
No
No
Alto Ventures Ltd.
BC
No
No
No
Alturas Minerals Corp.
ON
No
No
No
Altus Group Limited
ON
No
No
No
Page 11 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Aludra Inc.
AB
No
Yes
No
Alvopetro Energy Ltd.
AB
No
No
No
Am Gold Inc.
BC
No
No
No
Amadeus International Inc.
QC
No
Yes
No
Amador Gold Corp.
BC
No
No
No
Amana Copper Ltd.
BC
No
No
No
Amanda Resources Ltd.
BC
No
Yes
No
Amanta Resources Ltd.
BC
No
Yes
No
Amar Ventures Inc.
BC
No
Yes
No
Amarc Resources Ltd.
BC
No
No
No
Amarillo Gold Corporation
BC
No
No
No
Amato Exploration Ltd.
BC
No
No
No
Amaya Gaming Group Inc.
QC
No
No
No
Amberhill Petroleums Limited
BC
No
Yes
No
Amberquest Resources Ltd.
BC
No
Yes
No
Ambient Water Corporation
BC
No
No
No
Amble Resources Ltd.
BC
No
Yes
No
Amblin Technologies Inc.
BC
No
Yes
No
Ambrilia Biopharma Inc.
QC
No
Yes
No
Amca Resources Ltd.
BC
No
Yes
No
Amcan Minerals Limited
BC
No
Yes
No
Ameratech Systems Corporation
BC
No
Yes
No
Ameri-Can Agri Co. Inc.
BC
No
No
No
America Greener Technologies, Inc.
BC
No
No
No
American Agri-Technology Corporation
ON
No
Yes
No
American Aquatech International Inc.
BC
No
Yes
No
American Community Development Inc.
BC
No
Yes
No
American Core Sectors Dividend Fund
AB
No
No
No
American Creek Resources Ltd.
AB
No
No
No
American Cumo Mining Corporation
BC
No
No
No
American Digital Industries Ltd.
BC
No
Yes
No
American Eco Corporation
ON
No
Yes
No
American Enterprise Fund
ON
No
No
No
American Express Canada Credit Corporation
ON
No
No
No
American Hotel Income Properties REIT LP
BC
No
No
No
American Manganese Inc.
BC
No
No
No
American Media Systems Co.
BC
No
Yes
No
American Medical Technologies Inc.
BC
No
Yes
No
American Mineral Group, Inc.
BC
No
Yes
No
American Natural Energy Corporation
BC
No
No
No
Page 12 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
American Natural Energy Corporation (old)
BC
No
Yes
No
American Nortel Communications Inc.
BC
No
Yes
No
American Oil & Gas Inc.
BC
No
No
No
American Pacific Minerals Ltd.
BC
No
Yes
No
American Platinum Inc.
BC
No
Yes
No
American Potash Corp.
BC
No
No
No
American Technology & Information Inc.
BC
No
Yes
No
American Transportation Television Network,
Inc.
BC
No
Yes
No
American United Gold Corporation
BC
No
Yes
No
American Uranium Corporation
QC
No
Yes
No
American Vanadium Corp.
BC
No
No
No
American Westwater Technology Group Ltd.
BC
No
Yes
No
American Wild Woodland Ginseng Corp.
BC
No
Yes
No
Americas Energy Company - AECo
BC
No
Yes
No
Americas Petrogas Inc.
AB
No
No
No
Ameridian Ventures Inc.
BC
No
Yes
No
Amerigo Resources Ltd.
BC
No
No
No
Ameritex Resources Ltd.
BC
No
Yes
No
Amex Exploration Inc.
QC
No
No
No
AMG Bioenergy Resources Holdings Ltd.
AB
No
No
No
AMI Resources Inc.
BC
No
No
No
Amica Mature Lifestyles Inc.
BC
No
No
No
Amorfix Life Sciences Ltd.
ON
No
No
No
AMS Homecare Inc.
BC
No
Yes
No
AMSECO EXPLORATION LTD.
QC
No
No
No
Amstock Fund
BC
No
Yes
No
AMT International Mining Corporation
QC
No
Yes
No
Amtronics Enterprises Ltd.
BC
No
Yes
No
Amvic Resources Ltd.
BC
No
Yes
No
Anaconda Mining Inc.
ON
No
No
No
Anacott Resources Corp.
BC
No
No
No
Analytical Software Inc.
BC
No
Yes
No
AnalytixInsight Inc.
BC
No
No
No
Anchor Capital Corporation
AB
No
No
No
Anchor Gold Corporation
BC
No
Yes
No
Anchor Managed Defensive Income Fund
ON
No
No
No
Anchor Managed Dividend Growth Fund
ON
No
No
No
Anchor Managed High Income Fund
ON
No
No
No
Ancom Atm International Inc.
BC
No
Yes
No
Page 13 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Anconia Resources Corp.
ON
No
No
No
AndeanGold Ltd.
BC
No
No
No
Anderson Energy Ltd.
AB
No
No
No
Andover Mining Corp.
BC
No
Yes
No
Andrew Peller Limited
ON
No
No
No
Andria Resources Inc.
BC
No
Yes
No
Andromeda Ventures Inc.
BC
No
Yes
No
Anergy Capital Inc.
BC
No
No
No
Anfield Nickel Corp.
BC
No
No
No
Anfield Resources Inc.
BC
No
No
No
Angel Bioventures Inc.
AB
No
No
No
Angel Gold Corp.
BC
No
No
No
Angkor Gold Corp.
AB
No
No
No
Anglo American Resources Inc.
BC
No
Yes
No
Anglo Canadian Mining Corporation
BC
No
Yes
No
Anglo-Andean Explorations Inc.
BC
No
Yes
No
Anglo-Bomarc Mines Ltd. (N.P.L.)
BC
No
No
No
Anglo-Canadian Mining Corp.
BC
No
No
No
Angus Mining Inc.
ON
No
No
No
ANI Pharmaceuticals, Inc.
ON
No
No
No
Animacis Technologies Inc.
AB
No
Yes
No
Annidis Corporation
ON
No
No
No
Antelope Resources Limited
BC
No
Yes
No
Anterra Energy Inc.
AB
No
No
No
Anthem Resources Incorporated
BC
No
No
No
Anthem United Inc.
BC
No
No
No
Antibe Therapeutics Inc.
ON
No
No
No
Antioquia Gold Inc.
AB
No
No
No
Antipodes Gold Limited
BC
No
No
No
Antler Hill Oil & Gas Ltd.
AB
No
No
No
AntOro Resources Inc.
QC
No
Yes
No
Antrim Energy Inc.
AB
No
No
No
Antrim Resources Inc.
BC
No
Yes
No
ANV Security Group, Inc.
BC
No
Yes
No
Anvil Range Mining Corporation
ON
No
Yes
No
Anything Technologies Media Inc.
BC
No
Yes
No
Apac Telecommunications Corporation
BC
No
Yes
No
Aphria Inc.
ON
No
No
No
API Nanotronics Sub, Inc.
ON
No
No
No
API Technologies Corp.
ON
No
No
No
Page 14 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Apivio Systems Inc.
BC
No
No
No
Apogee Silver Ltd.
AB
No
No
No
Apolo Gold & Energy Inc.
BC
No
Yes
No
App Applied Polymer Products Inc.
BC
No
Yes
No
Appia Energy Corp.
ON
No
No
No
Appiphany Technologies Holdings Corp.
BC
No
Yes
No
Applause Corporation
ON
No
Yes
No
Apple Capital Inc.
BC
No
No
No
Applied Energy Inc.
BC
No
Yes
No
Appulse Corporation
AB
No
No
No
Aptose Biosciences Inc.
ON
No
No
No
AQM Copper Inc.
ON
No
No
No
Aqua-Pure Ventures Inc.
AB
No
No
No
Aquality Holdings International Limited
BC
No
Yes
No
Aquarian Gold Corp.
BC
No
Yes
No
Aquarius Coatings Inc.
ON
No
No
No
Aquarius Seafarms Ltd.
BC
No
Yes
No
Aquatech Systems Inc.
BC
No
Yes
No
Aquila Energy Corp.
BC
No
Yes
No
Aquila Resources Inc.
ON
No
No
No
Aquinox Pharmaceuticals, Inc.
BC
No
No
No
Aquitaine Shores Apartment Project-Phase I
BC
No
Yes
No
Aquitaine Shores Apartment Project-Phase II
BC
No
Yes
No
ARA Safety Inc.
BC
No
Yes
No
Arak Resources Ltd.
BC
No
No
No
Arbitrage Exploration Inc.
ON
No
No
No
Arbour Energy Inc.
AB
No
Yes
No
ARC Resources Ltd.
AB
No
No
No
Arcamatrix Corporation
ON
No
Yes
No
Arcan Resources Ltd.
AB
No
No
No
Arch Biopartners Inc.
ON
No
No
No
Archer Petroleum Corp.
BC
No
No
No
Archon Minerals Limited
BC
No
No
No
Arcland Resources Inc.
BC
No
No
No
Arco Resources Corp.
BC
No
No
No
Arctic Glacier Income Fund
MB
Yes
No
No
Arctic Hunter Energy Inc.
BC
No
No
No
Arctic Star Exploration Corp.
BC
No
No
No
Arcturus Ventures Inc.
BC
No
No
No
Arcus Development Group Inc.
BC
No
No
No
Page 15 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Ardonblue Ventures Inc.
BC
No
No
No
Arehada Mining Limited
ON
No
Yes
No
Arena Gold Resources Inc.
QC
No
Yes
No
Arena Minerals Inc.
BC
No
No
No
Argent Energy Trust
AB
No
No
No
Argentex Mining Corporation
BC
No
No
No
Argentium Resources Inc.
ON
No
No
No
Argentum Silver Corp.
BC
No
No
No
Argex Titanium Inc.
QC
No
No
No
Argonaut Exploration Inc.
AB
No
Yes
No
Argonaut Gold Inc.
ON
No
No
No
Argonex International Ltd.
BC
No
Yes
No
Argosy Energy Inc.
AB
No
Yes
No
Argosy Minerals Limited
BC
No
Yes
No
Argrel Resources Ltd.
BC
No
Yes
No
Argus Metals Corp.
BC
No
No
No
Argyll Energy Corporation
BC
No
Yes
No
ARHT Media Inc.
ON
No
No
No
Arian Resources Corp.
BC
No
No
No
Arian Silver Corporation
BC
No
No
No
Arianne Phosphate Inc.
QC
No
No
No
Aricana Resources Inc.
BC
No
Yes
No
Ariel Resources Ltd.
BC
No
Yes
No
Arimetco International Inc.
BC
No
Yes
No
Arion Resources Inc.
BC
No
Yes
No
Aris Canada Ltd.
ON
No
Yes
No
ARISE Technologies Corporation
ON
No
Yes
No
Arius3D Corp.
ON
No
Yes
No
Arivaca Silver Mines Ltd
BC
No
Yes
No
Arizona Golden Pacific Resources Ltd.
BC
No
Yes
No
Arizona Jojoba, Inc.
BC
No
Yes
No
Arkadia Capital Corp.
AB
No
No
No
Arlington Resources Inc.
ON
No
Yes
No
Armada Data Corporation
ON
No
No
No
Armada Gold Corporation
AB
No
Yes
No
Armada Mercantile Ltd.
BC
No
No
No
Armadillo Resources Ltd.
BC
No
Yes
Yes
Armor Development Corporation
BC
No
Yes
No
Armstrong Corporation
ON
No
Yes
No
Armtec Infrastructure Inc.
ON
No
No
No
Page 16 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Arnada Resources B.C. Ltd.
BC
No
Yes
No
Arnica Resources Ltd.
BC
No
Yes
No
Aroway Energy Inc.
BC
No
No
No
ArPetrol Ltd.
AB
No
No
No
ARQ GRAPHITE INC.
BC
No
No
No
Arrow Business Corporation
BC
No
Yes
No
Arrowhead Gold Corp.
BC
No
No
No
Arrowstar Resources Ltd.
BC
No
No
No
Arsenal Energy Inc.
AB
No
No
No
Artek Exploration Ltd.
AB
No
No
No
Artemis U.S. Capital Appreciation Fund
ON
No
No
No
Artevo Corporation
AB
No
Yes
No
Artha Resources Corporation
BC
No
No
No
Artis Real Estate Investment Trust
MB
No
No
No
Artisan Energy Corporation
AB
No
No
No
ArtQuest International Alliances Inc.
QC
No
Yes
No
Artventive Medical Group, Inc.
BC
No
No
No
Arura Pharma Inc.
QC
No
Yes
No
Arvana Inc
BC
No
No
No
Asanko Gold Inc.
BC
No
No
No
Asante Gold Corporation
BC
No
No
No
ASB Capital Inc.
BC
No
No
No
Asbestos Corporation Limited
QC
No
No
No
Ascalade Communications Inc.
BC
No
Yes
No
Ascot Resources Ltd.
BC
No
No
No
Asean Energy Corp.
BC
No
No
No
Asean Holdings Inc.
BC
No
Yes
No
Ashburton Oil Ltd.
BC
No
Yes
No
Ashburton Ventures Inc.
BC
No
No
No
Asher Resources Corporation
ON
No
No
No
Ashlar Financial Services Corp.
BC
No
Yes
No
Ashurst Technology Canada Inc.
ON
No
Yes
No
Ashurst Technology Ltd.
BC
No
Yes
No
Asia Bio-Chem Group Corp.
ON
No
No
No
Asia Now Resources Corp.
ON
No
No
No
Asia Pacific Engineering Solutions International
BC
Inc
No
Yes
No
Asia Packaging Group Inc.
BC
No
Yes
No
Asia Sapphires Limited
BC
No
Yes
No
AsiaBaseMetals Inc.
BC
No
No
No
Page 17 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Asian Dragon Group, Inc.
BC
No
Yes
No
Asian Mineral Resources Limited
BC
No
No
No
Asian Television Network International Limited
ON
No
No
No
ASP123.com Systems Inc.
BC
No
Yes
No
Aspen Group Resources Corporation
AB
No
Yes
No
Asset Management Software Systems Corp.
ON
No
Yes
No
Assiniboia Farmland Limited Partnership
SK
No
No
No
Associated Jojoba (Cdn. 84-3) Limited
Partnership
BC
No
Yes
No
Associated Jojoba (Cdn. 85-2) Limited
Partnership
BC
No
Yes
No
Associated Jojoba (Cdn. 85-3) Limited
Partnership
BC
No
Yes
No
Associated Jojoba (Cdn. 86-1) Limited
Partnership
BC
No
Yes
No
Associated Jojoba (Cdn. 86-4) Limited
Partnership
BC
No
Yes
No
Associated Jojoba (Cdn. 87-1) Limited
Partnership
BC
No
Yes
No
Astar Minerals Ltd.
BC
No
No
No
Astaware Technologies Inc.
ON
No
Yes
No
Astic Ventures Inc.
BC
No
Yes
No
Aston Bay Holdings Ltd.
BC
No
No
No
Aston Hill Advantage Bond Fund
ON
No
No
No
Aston Hill Advantage Oil & Gas Income Fund
ON
No
No
No
Aston Hill Advantage VIP Income Fund
ON
No
No
No
Aston Hill Canadian Total Return Fund
ON
No
No
No
Aston Hill Capital Growth Class
ON
No
No
No
Aston Hill Capital Growth Fund
ON
No
No
No
Aston Hill Energy Growth Class
ON
No
No
No
Aston Hill Financial Inc.
AB
No
No
No
Aston Hill Global Growth & Income Class
ON
No
No
No
Aston Hill Global Growth & Income Fund
ON
No
No
No
Aston Hill Global Resource & Infrastructure
Class
ON
No
No
No
Aston Hill Global Resource & Infrastructure
Fund
ON
No
No
No
Aston Hill Growth & Income Class
ON
No
No
No
Aston Hill Growth & Income Fund
ON
No
No
No
Aston Hill Oil & Gas Income Fund
ON
No
No
No
Aston Hill Strategic Yield Class
ON
No
No
No
Aston Hill Strategic Yield Fund
ON
No
No
No
Page 18 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Aston Hill Strategic Yield II Class
ON
No
No
No
Aston Hill Strategic Yield II Fund
ON
No
No
No
Aston Hill Strategic Yield Trust
ON
No
No
No
Aston Hill VIP Income Fund
ON
No
No
No
Astorius Resources Ltd.
BC
No
No
No
Astridon Development Corp.
BC
No
Yes
No
Astrix Networks Inc.
ON
No
No
No
Astur Gold Corp.
BC
No
No
No
ATAC Resources Ltd.
BC
No
No
No
Atacama Pacific Gold Corporation.
ON
No
No
No
ATC Technologies Corporation
BC
No
Yes
No
Atc, Inc.
BC
No
Yes
No
Atcan Capital Corp.
NB
No
Yes
No
Atco Ltd.
AB
No
No
No
Ateba Resources Inc.
ON
No
No
No
Athabasca Minerals Inc.
AB
No
No
No
Athabasca Nuclear Corp.
AB
No
No
No
Athabasca Oil Corporation
AB
No
No
No
Athabaska Gold Resources Ltd.
BC
No
Yes
No
ATI Airtest Technologies Inc.
BC
No
No
No
Atico Mining Corporation
BC
No
No
No
Atikin Investment Inc.
BC
No
No
No
Atikwa Resources Inc.
AB
No
Yes
No
Atlanta Gold Inc.
ON
No
No
No
Atlantic Gold Corporation
BC
No
No
No
Atlantic Industrial Minerals Incorporated
NS
No
No
No
Atlantic Power Corporation
ON
No
No
No
Atlantic Power Limited Partnership
ON
No
No
No
Atlantic Power Preferred Equity Ltd.
ON
No
No
No
Atlantic Systems Group Inc.
NB
No
Yes
No
Atlantis Enterprises International Ltd.
BC
No
Yes
No
Atlantis Submarines (International Holdings),
Inc.
BC
No
No
No
Atlas Cloud Enterprises Inc.
BC
No
No
No
Atlas Financial Holdings, Inc.
ON
No
No
No
Atlas Star Corporation
AB
No
Yes
No
Atlatsa Resources Corporation
BC
No
No
No
AtmanCo Inc.
QC
No
No
No
Atna Resources Ltd.
BC
No
No
No
Atom Energy Inc.
BC
No
No
No
Page 19 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Atoro Capital Corp.
BC
No
No
No
ATRIUM MORTGAGE INVESTMENT
CORPORATION
ON
No
No
No
ATS Automation Tooling Systems Inc.
ON
No
No
No
Aubrey Estates Limited Partnership
BC
No
Yes
No
Aucxis Corp
BC
No
Yes
No
Audax Gas & Oil Ltd.
BC
No
Yes
No
Audre Recognition Systems Inc.
BC
No
Yes
No
Augusta Industries Inc.
ON
No
No
No
Augyva Mining Resources Inc.
QC
No
No
No
Aumento Capital IV Corporation
ON
No
No
No
Aumento Capital V Corporation
ON
No
No
No
Aura Minerals Inc.
ON
No
No
No
Aura Silver Resources Inc.
ON
No
No
No
Auracle Resources Ltd.
BC
No
No
No
Aurado Energy Inc.
ON
No
Yes
No
Auramex Resource Corp.
BC
No
No
No
Aurania Resources Ltd.
ON
No
No
No
Aurcana Corporation
BC
No
No
No
Aurcrest Gold Inc.
ON
No
No
No
Aurelian Developers Ltd.
ON
No
Yes
No
Aureus Mining Inc.
ON
No
No
No
Aurgent Resource Corp.
BC
No
No
No
AuRico Gold Inc.
ON
No
No
No
Auriga Resources Limited
BC
No
Yes
No
Auriginor Exploration Inc.
QC
No
Yes
No
Aurinia Pharmaceuticals Inc.
BC
No
No
No
Aurion Resources Ltd.
BC
No
No
No
Aurora Cannabis Inc.
BC
No
No
No
Aurora Energy Corp.
BC
No
Yes
No
Aurora Spine Corporation
ON
No
No
No
Aurquest Resources Inc.
ON
No
No
No
Aurun Mines Ltd.
BC
No
Yes
No
Aurvista Gold Corporation
QC
No
No
No
Auryn Resources Inc.
BC
No
No
No
Ausam Energy Corporation
AB
No
Yes
No
AusTex Oil Limited
AB
No
No
No
Austin Mines Inc.
BC
No
Yes
No
Austin Resources Ltd.
ON
No
No
No
Austpro Energy Corporation
BC
No
No
No
Page 20 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Austral Pacific Energy Ltd.
AB
No
Yes
No
Austral Pacific Gold Corporation
BC
No
Yes
No
Australian Banc Capital Securities Trust
ON
No
No
No
Australian Banc Income Fund
ON
No
No
No
Australian Corporate Holdings Limited
BC
No
Yes
No
Australian REIT Income Fund
ON
No
No
No
Auto Chek Centres, Inc.
BC
No
Yes
No
Autobyte Systems Corporation
BC
No
Yes
No
Autobyte Technologies Inc.
BC
No
Yes
No
AutoCanada Inc.
AB
No
No
No
Automodular Corporation
ON
No
No
No
AutoTradeCenter Canada Ltd.
AB
No
Yes
No
Autris
BC
No
Yes
No
Auxellence Health Corporation (formerly
0924888 BC Ltd.)
BC
No
No
No
Avagenesis Corp.
AB
No
No
No
Avala Resources Ltd.
BC
No
No
No
Avalon Rare Metals Inc.
ON
No
No
No
Avalon Works Corp.
ON
No
Yes
No
Avani International Group Inc.
BC
No
Yes
No
Avante Logixx Inc.
ON
No
No
No
Avante Technologies Inc.
AB
No
Yes
No
Avanti Energy Inc.
BC
No
No
No
Avarone Metals Inc.
BC
No
No
No
Avatar Energy Ltd.
AB
No
Yes
No
Avcorp Industries Inc.
BC
No
No
No
Aveda Transportation and Energy Services Inc. AB
No
No
No
Avenger Petroleum Inc.
AB
No
No
No
Avidus Management Group Inc.
BC
No
No
No
Avigilon Corporation
BC
No
No
No
Avinda Video Incorporated
BC
No
Yes
No
Avino Silver & Gold Mines Ltd.
BC
No
No
No
Avion Gold Corporation
ON
No
No
No
Avivagen Inc.
ON
No
No
No
AVL Ventures Inc.
ON
No
Yes
No
Avrupa Minerals Ltd.
BC
No
No
No
Avvaa World Health Care Products, Inc.
BC
No
Yes
No
Axagon Resources Ltd.
BC
No
Yes
No
Axe Exploration Inc.
QC
No
No
No
Axia NetMedia Corporation
AB
No
No
No
Page 21 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Axiom All Equity Portfolio
ON
No
No
No
Axiom Balanced Growth Portfolio
ON
No
No
No
Axiom Balanced Income Portfolio
ON
No
No
No
Axiom Canadian Growth Portfolio
ON
No
No
No
Axiom Diversified Monthly Income Portfolio
ON
No
No
No
Axiom Foreign Growth Portfolio
ON
No
No
No
Axiom Global Growth Portfolio
ON
No
No
No
Axiom International Development Corporation
BC
No
Yes
No
Axiom Long-Term Growth Portfolio
ON
No
No
No
Axiom Oil and Gas Corp.
BC
Yes
No
No
Axiotron Corp.
ON
No
Yes
No
Axis.Port Inc.
AB
No
Yes
No
AXMIN Inc.
BC
No
No
No
Axxent Inc.
ON
No
Yes
No
Aylen Capital Inc.
ON
No
No
No
Ayubowan Capital Ltd.
BC
No
Yes
No
Azabache Energy Inc.
AB
No
No
No
Azcar Technologies Incorporated
ON
No
Yes
No
Azimut Exploration Inc.
QC
No
No
No
Azincourt Uranium Inc.
BC
No
No
No
Azteca Gold Corp.
AB
No
Yes
No
Aztech Innovations Inc.
ON
No
Yes
No
Aztek Resource Development Inc.
ON
No
Yes
No
Azterra Corporation, The
AB
No
Yes
No
Azure Dynamics Corporation
ON
No
Yes
No
Azzardo Game Acquisition Corp.
BC
No
No
No
B.C. Advantage Funds (VCC) Ltd.
BC
No
No
No
B.E.S.T. Total Return Fund Inc.
ON
No
No
No
B.G.M. Diversified Energy Inc.
BC
No
Yes
No
B.I. Ventures Ltd.
BC
No
Yes
No
B2Gold Corp.
BC
No
No
No
Babykins International Inc.
BC
No
Yes
No
Babyland Industries Inc.
BC
No
Yes
No
Babylon Technologies Inc.
AB
No
Yes
No
BAC Canada Finance Company
ON
No
No
No
Bacanora Minerals Ltd.
AB
No
No
No
BacTech Environmental Corporation
ON
No
No
No
Badger Daylighting Ltd.
AB
No
No
No
Baha Resources Ltd.
BC
No
Yes
No
Bahn Food 1984 Corporation
BC
No
Yes
No
Page 22 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Baja Mining Corp.
BC
No
No
No
Balanced 50/50 Fund
ON
No
No
No
Balanced 60/40 Fund
ON
No
No
No
Balanced Folio Fund
ON
No
No
No
Balanced Monthly Income Fund
ON
No
No
No
Balanced Property Fund L.P.
BC
No
Yes
No
Balaton Power Inc.
BC
No
Yes
No
Bald Eagle Golf Corp.
AB
No
Yes
No
Ballard Power Systems Inc.
BC
No
No
No
Ballyliffin Capital Corp.
BC
No
No
No
Balmoral Resources Ltd.
BC
No
No
No
Balto Resources Ltd.
BC
No
No
No
Bama Gold Corp.
BC
No
No
No
Bancroft Uranium, Inc.
BC
No
Yes
No
Bandera Gold Ltd.
AB
No
No
No
Banff Resources Ltd.
BC
No
Yes
No
Bank of America Corporation
ON
No
No
No
Bank of Montreal
ON
No
No
No
Bank of Nova Scotia, The
ON
No
No
No
Bankers Petroleum Ltd.
AB
No
No
No
Bankit Resource Corp.
BC
No
Yes
No
Banks Island Gold Ltd.
BC
No
No
No
Banner Mining Corporation
BC
No
Yes
No
Bannerman Resources Limited
ON
No
No
No
Banro Corporation
ON
No
No
No
Banyan Gold Corp.
AB
No
No
No
Barbican Financial Corp.
BC
No
Yes
No
Barcan Communications Inc.
BC
No
Yes
No
Barclays Bank PLC
ON
No
No
No
Bard Ventures Ltd.
BC
No
No
No
Bardine Oils Ltd.
BC
No
Yes
No
Barexor Minerals Inc. (N.P.L.)
BC
No
Yes
No
Barisan Gold Corporation
BC
No
No
No
Barker Minerals Ltd.
BC
No
No
No
Barkerville Gold Mines Ltd.
BC
No
No
No
Barksdale Capital Corp.
BC
No
No
No
Barometer Disciplined Leadership Balanced
Fund
ON
No
No
No
Barometer Disciplined Leadership Equity Fund ON
No
No
No
Page 23 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Default
CTO
Management
CTO
Barometer Disciplined Leadership High Income
ON
Fund
No
No
No
Barometer Global Tactical Yield and Equity
Fund
ON
No
No
No
BAROYECA GOLD & SILVER INC.
BC
No
No
No
Barrick Gold Corporation
ON
No
No
No
Barrier Mining Corp.
BC
No
Yes
No
Bartizan Capital Corporation
BC
No
Yes
No
BARTON BAY RESOURCES INC.
ON
No
Yes
No
Basaba Enterprises Inc.
BC
No
Yes
No
Base of the Bridge Technology Ltd.
BC
No
Yes
No
Basic U.S. Reit, Inc.
BC
No
Yes
No
Bassett Media Group Corp.
ON
No
Yes
No
Bateaux Resources Inc.
BC
No
Yes
No
Batero Gold Corp.
BC
No
No
No
Bathrooms Beautiful Canada Ltd./ Bain Joli
Canada Ltee.
BC
No
Yes
No
Battery & Wireless Solutions Inc.
BC
No
Yes
No
Battery Technologies Inc.
ON
No
Yes
No
Battle Mountain Gold Inc.
BC
No
No
No
Bauska Manufacturing (B.C.) Ltd.
BC
No
Yes
No
Bay City Resources Corp.
BC
No
Yes
No
Bayhorse Silver Inc.
BC
Yes
No
No
Baylin Technologies Inc.
ON
No
No
No
Baylore Resources Inc.
BC
No
Yes
No
Baymount Incorporated
ON
No
No
No
Bayridge Developments Ltd.
BC
No
Yes
No
Bayshore Petroleum Corp.
AB
No
No
No
Bayswater Uranium Corporation
BC
No
No
No
Baytex Energy Corp.
AB
No
No
No
BC Moly Ltd.
BC
No
No
No
BCE Inc.
QC
No
No
No
BCE Place Finance Corporation
BC
No
Yes
No
BCGold Corp.
BC
No
No
No
BCM Energy Partners Inc
BC
No
Yes
No
BCM Resources Corporation
BC
No
No
No
BCS Technology Inc.
BC
No
Yes
No
BCU Industries Inc.
BC
No
Yes
No
BE Resources Inc.
ON
No
No
No
Beacon Acquisition Partners Inc.
ON
No
Yes
No
Beacon Resources Inc.
AB
No
Yes
No
Issuer name
Principal
Page 24 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Beamscope Canada Inc.
ON
No
Yes
No
Bear Creek Mining Corporation
BC
No
No
No
Bearcat Explorations Ltd.
AB
No
Yes
No
Bearclaw Capital Corp.
BC
No
No
No
Beardmore Resources Ltd.
BC
No
Yes
No
Bearing Resources Ltd.
BC
No
No
No
Beau Pre Explorations Ltd.
BC
No
Yes
No
Beauchamps Exploration Inc.
BC
No
Yes
No
Beaufield Resources Inc.
QC
No
No
No
Beaver Resources Inc.
BC
No
Yes
No
Beckett Technologies Corp.
BC
No
Yes
No
Bedford Arms Syndicate
BC
No
Yes
No
Bedrocan Cannabis Corp.
ON
No
No
No
Bel Pac Industries Ltd.
BC
No
Yes
No
Bell Canada
QC
No
No
No
Bell Copper Corporation
BC
No
No
No
Bell Earth Sciences Inc.
BC
No
Yes
No
Bellabon Resources Corp.
BC
No
Yes
No
Bellatrix Exploration Ltd.
AB
No
No
No
Bellhaven Copper & Gold Inc.
BC
No
No
No
BELLUS Health Inc.
QC
No
No
No
Belmont Resources Inc.
BC
No
No
No
Belo Sun Mining Corp.
ON
No
No
No
Belvedere Heights Apartments Limited
Partnership
BC
No
Yes
No
Belvedere Resources Ltd.
BC
No
No
No
Bengal Energy Ltd.
AB
No
No
No
Bentech Industries Inc.
BC
No
Yes
No
Bentley Resources Ltd.
BC
No
Yes
No
Benton Capital Corp.
ON
No
No
No
Benton Resources Inc.
ON
No
No
No
Benton Resources Ltd.
BC
No
Yes
No
Benz Energy Inc.
ON
No
Yes
No
Benz Mining Corp.
BC
No
No
No
Ber Resources Ltd.
BC
No
Yes
No
Berkley Renewables Inc.
BC
No
No
No
Berkwood Resources Ltd.
BC
No
No
No
Besra Gold Inc.
ON
No
Yes
No
Bestar International Group Ltd.
BC
No
Yes
No
Betacom Corporation Inc.
ON
No
Yes
No
Page 25 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Bethpage Capital Corp.
BC
No
No
No
Betts Cove Minerals Limited
ON
No
Yes
No
Beutel Goodman American Equity Fund
ON
No
No
No
Beutel Goodman Balanced Fund
ON
No
No
No
Beutel Goodman Canadian Dividend Fund
ON
No
No
No
Beutel Goodman Canadian Equity Fund
ON
No
No
No
Beutel Goodman Canadian Equity Plus Fund
ON
No
No
No
Beutel Goodman Canadian Intrinsic Fund
ON
No
No
No
Beutel Goodman Corporate/Provincial Active
Bond Fund
ON
No
No
No
Beutel Goodman Fundamental Canadian
Equity Fund
ON
No
No
No
Beutel Goodman Global Dividend Fund
ON
No
No
No
Beutel Goodman Global Equity Fund
ON
No
No
No
Beutel Goodman Income Fund
ON
No
No
No
Beutel Goodman International Equity Fund
ON
No
No
No
Beutel Goodman Long Term Bond Fund
ON
No
No
No
Beutel Goodman Money Market Fund
ON
No
No
No
Beutel Goodman Short Term Bond Fund
ON
No
No
No
Beutel Goodman Small Cap Fund
ON
No
No
No
Beutel Goodman World Focus Equity Fund
ON
No
No
No
Beverly Development Inc.
BC
No
Yes
No
Bevo Agro Inc.
BC
No
No
No
BF Realty Holdings Limited
BC
No
Yes
No
BFK Capital Corp.
ON
No
No
No
BFS Entertainment & Multimedia Limited
ON
No
No
No
BHK Mining Corp.
BC
No
No
No
Bi-Optic Ventures Inc.
BC
No
No
No
Bi-Petro Resources Inc.
BC
No
Yes
No
Bicer Medical Systems Ltd.
BC
No
Yes
No
Big 8 Split Inc.
ON
No
No
No
Big Bank Big Oil Split Corp.
ON
No
No
No
Big Bar Resources Corporation
BC
No
No
No
Big North Graphite Corp.
BC
No
No
No
Big Picture Technologies Inc.
AB
No
Yes
No
Big Rock Brewery Inc.
AB
No
No
No
Big Rock Labs Inc.
ON
No
No
No
Big Shaft Resources Inc.
BC
No
Yes
No
Big Sky Petroleum Corporation
BC
No
No
No
Big Strike Resources Ltd.
BC
No
Yes
No
Page 26 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Bighorn Development Corporation
BC
No
Yes
No
Bigknowledge Enterprises Inc.
QC
No
Yes
No
Bingo.com, Ltd.
BC
No
No
No
Bio-Feed Industries Limited
BC
No
Yes
No
biOasis Technologies Inc.
BC
No
No
No
BioCurex, Inc.
BC
No
Yes
No
BioDE Ventures Ltd.
BC
No
No
No
BioEnvelop Technologies Corporation
QC
No
Yes
No
BioExx Specialty Proteins Ltd.
ON
No
Yes
No
BioHEP Technologies Ltd.
BC
No
No
No
Biolife Remedies Inc.
BC
No
Yes
No
Biolix Corporation
QC
No
Yes
No
Biologix (B.C.) Ltd.
BC
No
Yes
No
Biomark Diagnostics Inc.
BC
No
No
No
Biomass Secure Power Inc.
BC
No
No
No
Biomax Technologies Inc.
BC
No
Yes
No
Biomet Technology Inc.
BC
No
Yes
No
bioMmune Technologies Inc.
BC
No
No
No
BioNeutra Global Corporation
AB
No
No
No
Biophage Pharma Inc.
QC
No
Yes
No
Biorem Inc.
ON
No
No
No
Biosign Technologies Inc.
ON
No
No
No
Biostem US Corp.
BC
No
Yes
No
BioSyent Inc.
ON
No
No
No
BioSyntech, Inc.
QC
No
Yes
No
Biotanika Health Group Inc.
QC
No
Yes
No
Biotech Holdings Ltd.
BC
No
Yes
No
BioteQ Environmental Technologies Inc.
BC
No
No
No
BIOX Corporation
ON
No
No
No
Bioxel Pharma Inc.
QC
No
Yes
No
Birch Lake Energy Inc.
AB
No
No
No
Birch Mountain Resources Ltd.
AB
Yes
No
No
Birchcliff Energy Ltd.
AB
No
No
No
Bird Construction Inc.
ON
No
No
No
Bishop Resources Development Ltd.
BC
No
Yes
No
Bison Gold Resources Inc.
ON
No
No
No
Bitec Development Corporation
BC
No
Yes
No
Bitterroot Resources Ltd.
BC
No
No
No
Bitumen Capital Inc.
QC
No
No
No
Bitzio, Inc.
BC
No
No
No
Page 27 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Black Birch Capital Acquisition III Corp.
ON
No
No
No
Black Bull Resources Inc.
BC
No
No
No
Black Creek Global Balanced Corporate Class
ON
No
No
No
Black Creek Global Balanced Fund
ON
No
No
No
Black Creek Global Leaders Corporate Class
ON
No
No
No
Black Creek Global Leaders Fund
ON
No
No
No
Black Creek International Equity Corporate
Class
ON
No
No
No
Black Creek International Equity Fund
ON
No
No
No
Black Diamond Group Limited
AB
No
No
No
Black Iron Inc.
ON
No
No
No
Black Isle Resources Corporation
BC
No
No
No
Black Panther Mining Corp.
BC
No
No
No
Black Ridge Gold Ltd.
BC
No
Yes
No
Black Springs Capital Corp.
BC
No
No
No
Black Tusk Energy Inc.
BC
No
Yes
No
Black Widow Resources Inc.
ON
No
No
No
Blackberry Gold Resources Inc.
BC
No
Yes
No
Blackberry Limited
ON
No
No
No
Blackbird Energy Inc.
AB
No
No
No
BlackBridge Resource Capital Class Fund
ON
No
No
No
Blackeagle Development Corp.
BC
No
No
No
Blackhawk Resource Corp.
AB
No
No
No
Blackheath Resources Inc.
BC
No
No
No
BlackIce Enterprise Risk Management Inc.
BC
No
Yes
No
Blackline GPS Corp.
AB
No
No
No
BlackPearl Resources Inc.
AB
No
No
No
BlackRock All Bond Portfolio
ON
No
No
No
BlackRock Balanced Portfolio
ON
No
No
No
BlackRock Conservative Portfolio
ON
No
No
No
BlackRock Defensive Portfolio
ON
No
No
No
BlackRock Diversified Monthly Income Portfolio ON
No
No
No
BlackRock Growth Portfolio
ON
No
No
No
BlackRock MaxGrowth Portfolio
ON
No
No
No
Blacksteel Energy Inc.
AB
No
No
No
Blackstone Ventures Inc.
BC
No
No
No
Blind Creek Resources Ltd.
BC
No
No
No
Blink Technologies, Inc.
BC
No
Yes
No
Blizzard Finance Corp.
BC
No
No
No
Bloom Income & Growth Canadian Fund
ON
No
No
No
Page 28 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Bloom Select Income Fund
ON
No
No
No
Bloom U.S. Advantaged Income & Growth
Fund
ON
No
No
No
Blox Inc.
BC
No
No
No
Blue Chip Resources Inc.
BC
No
Yes
No
Blue Horizon Industries Inc.
AB
No
Yes
No
Blue Note Mining Inc.
QC
No
Yes
No
Blue Ribbon Income Fund
ON
No
No
No
Blue River Resources Ltd.
BC
No
No
No
Blue Sky Uranium Corp.
BC
No
No
No
Blue Star Investment Limited
BC
No
Yes
No
Blue Zen Memorial Parks Inc.
QC
No
No
No
BlueBay Emerging Markets Corporate Bond
Fund
ON
No
No
No
BlueBay Global Convertible Bond Class
(Canada)
ON
No
No
No
BlueBay Global Convertible Bond Fund
(Canada)
ON
No
No
No
BlueBay Global Monthly Income Bond Fund
ON
No
No
No
Bluedrop Performance Learning Inc.
BC
No
No
No
Bluefire Mining Corp.
BC
No
No
No
Bluejay Management Ltd.
BC
No
Yes
No
Bluenose Gold Corp.
BC
No
No
No
BlueOcean NutraSciences Inc.
ON
No
No
No
BluePoint Data, Inc.
ON
No
Yes
No
Blueprint Corporate Services Ltd.
BC
No
No
No
Bluerock Ventures Corp.
BC
No
No
No
Bluerush Media Group Corp.
ON
No
No
No
BlueScout Technologies Ltd.
ON
No
Yes
No
Bluestar Battery Systems International Corp.
BC
No
Yes
No
Bluestone Resources Inc.
BC
No
No
No
Bluewater Park Apartment Project
MB
No
Yes
No
BluMetric Environmental Inc.
ON
No
No
No
Blutip Power Technologies Ltd.
ON
No
Yes
No
BMD Enterprises Ltd.
BC
No
Yes
No
BMG BullionFund
ON
No
No
No
BMG Gold BullionFund
ON
No
No
No
BMO 2015 Corporate Bond Target Maturity
ETF
ON
No
No
No
BMO 2020 Corporate Bond Target Maturity
ETF
ON
No
No
No
Page 29 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
BMO 2025 Corporate Bond Target Maturity
ETF
ON
No
No
No
BMO Aggregate Bond Index ETF
ON
No
No
No
BMO Asian Growth & Income Class
ON
No
No
No
BMO Asian Growth and Income Fund
ON
No
No
No
BMO Asset Allocation Fund
ON
No
No
No
BMO Balanced ETF Portfolio
ON
No
No
No
BMO Balanced ETF Portfolio Class
ON
No
No
No
BMO Balanced Yield Plus ETF Portfolio
ON
No
No
No
BMO Bond Fund
ON
No
No
No
BMO Canadian Diversified Monthly Income
Fund
ON
No
No
No
BMO Canadian Dividend ETF
ON
No
No
No
BMO Canadian Equity Class
ON
No
No
No
BMO Canadian Equity ETF Fund
ON
No
No
No
BMO Canadian Equity Fund
ON
No
No
No
BMO Canadian Large Cap Equity Fund
ON
No
No
No
BMO Canadian Small Cap Equity Fund
ON
No
No
No
BMO Canadian Stock Selection Fund
ON
No
No
No
BMO Canadian Tactical ETF Class
ON
No
No
No
BMO Capital Trust
ON
No
No
No
BMO Capital Trust II
ON
No
No
No
BMO China Equity Index ETF
ON
No
No
No
BMO Conservative ETF Portfolio
ON
No
No
No
BMO Core Bond Fund
ON
No
No
No
BMO Core Plus Bond Fund
ON
No
No
No
BMO Covered Call Canadian Banks ETF
ON
No
No
No
BMO Covered Call Dow Jones Industrial
Average Hedged to CAD ETF
ON
No
No
No
BMO Covered Call Utilities ETF
ON
No
No
No
BMO Discount Bond Index ETF
ON
No
No
No
BMO Diversified Income Portfolio
ON
No
No
No
BMO Dividend Class
ON
No
No
No
BMO Dividend Fund
ON
No
No
No
BMO Dow Jones Industrial Average Hedged to
ON
CAD Index ETF
No
No
No
BMO Emerging Markets Bond Fund
ON
No
No
No
BMO Emerging Markets Bond Hedged to CAD
Index ETF
ON
No
No
No
BMO Emerging Markets Fund
ON
No
No
No
BMO Enhanced Equity Income Fund
ON
No
No
No
Page 30 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
BMO Enterprise Fund
ON
No
No
No
BMO Equal Weight REITs Index ETF
ON
No
No
No
BMO Equal Weight US Banks Hedged to CAD
Index ETF
ON
No
No
No
BMO Equal Weight US Banks Index ETF
ON
No
No
No
BMO Equal Weight US Health Care Hedged to
ON
CAD Index ETF
No
No
No
BMO Equal Weight Utilities Index ETF
ON
No
No
No
BMO Equity Growth ETF Portfolio
ON
No
No
No
BMO Equity Growth ETF Portfolio Class
ON
No
No
No
BMO Equity Linked Corporate Bond ETF
ON
No
No
No
BMO European Fund
ON
No
No
No
BMO Fixed Income ETF Portfolio
ON
No
No
No
BMO Fixed Income Yield Plus ETF Portfolio
ON
No
No
No
BMO Floating Rate High Yield ETF
ON
No
No
No
BMO Floating Rate Income Fund
ON
No
No
No
BMO FundSelect Balanced Portfolio
ON
No
No
No
BMO FundSelect Growth Portfolio
ON
No
No
No
BMO FundSelect Income Portfolio
ON
No
No
No
BMO FundSelect® Equity Growth Portfolio
ON
No
No
No
BMO Global Balanced Fund
ON
No
No
No
BMO Global Diversified Fund
ON
No
No
No
BMO Global Dividend Class
ON
No
No
No
BMO Global Dividend Fund
ON
No
No
No
BMO Global Energy Class
ON
No
No
No
BMO Global Equity Class
ON
No
No
No
BMO Global Growth & Income Fund
ON
No
No
No
BMO Global Infrastructure Fund
ON
No
No
No
BMO Global Infrastructure Index ETF
ON
No
No
No
BMO Global Monthly Income Fund
ON
No
No
No
BMO Global Small Cap Fund
ON
No
No
No
BMO Global Strategic Bond Fund
ON
No
No
No
BMO Global Tactical ETF Class
ON
No
No
No
BMO Greater China Class
ON
No
No
No
BMO Growth & Income Fund
ON
No
No
No
BMO Growth ETF Portfolio
ON
No
No
No
BMO Growth ETF Portfolio Class
ON
No
No
No
BMO Harris Canadian Conservative Equity
Portfolio
ON
No
No
No
BMO Harris Canadian Corporate Bond Portfolio ON
No
No
No
BMO Harris Canadian Growth Equity Portfolio
No
No
No
ON
Page 31 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
BMO Harris Canadian Income Equity Portfolio
ON
No
No
No
BMO Harris Canadian Mid-Term Bond Portfolio ON
No
No
No
BMO Harris Canadian Money Market Portfolio
ON
No
No
No
BMO Harris Canadian Short Term Bond
Portfolio
ON
No
No
No
BMO Harris Canadian Special Growth Portfolio ON
No
No
No
BMO Harris Diversified Yield Portfolio
ON
No
No
No
BMO Harris Emerging Markets Equity Portfolio ON
No
No
No
BMO Harris International Equity Portfolio
ON
No
No
No
BMO Harris U.S. Equity Portfolio
ON
No
No
No
BMO Harris U.S. Growth Portfolio
ON
No
No
No
BMO Harris U.S. Special Equity Portfolio
ON
No
No
No
BMO High Yield Bond Fund
ON
No
No
No
BMO High Yield US Corporate Bond Hedged to
ON
CAD Index ETF
No
No
No
BMO Income ETF Portfolio
ON
No
No
No
BMO Income ETF Portfolio Class
ON
No
No
No
BMO India Equity Index ETF
ON
No
No
No
BMO International Dividend ETF
ON
No
No
No
BMO International Equity ETF Fund
ON
No
No
No
BMO International Value Class
ON
No
No
No
BMO International Value Fund
ON
No
No
No
BMO Junior Gas Index ETF
ON
No
No
No
BMO Junior Gold Index ETF
ON
No
No
No
BMO Junior Oil Index ETF
ON
No
No
No
BMO Laddered Corporate Bond Fund
ON
No
No
No
BMO LifeStage 2017 Class
ON
No
No
No
BMO LifeStage 2020 Class
ON
No
No
No
BMO LifeStage 2025 Class
ON
No
No
No
BMO LifeStage 2030 Class
ON
No
No
No
BMO LifeStage 2035 Class
ON
No
No
No
BMO LifeStage 2040 Class
ON
No
No
No
BMO LifeStage Plus 2015 Fund
ON
No
No
No
BMO LifeStage Plus 2017 Fund
ON
No
No
No
BMO LifeStage Plus 2020 Fund
ON
No
No
No
BMO LifeStage Plus 2022 Fund
ON
No
No
No
BMO LifeStage Plus 2025 Fund
ON
No
No
No
BMO LifeStage Plus 2026 Fund
ON
No
No
No
BMO LifeStage Plus 2030 Fund
ON
No
No
No
BMO Long Corporate Bond Index ETF
ON
No
No
No
Page 32 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
BMO Long Federal Bond Index ETF
ON
No
No
No
BMO Long Provincial Bond Index ETF
ON
No
No
No
BMO Low Volatility Canadian Equity ETF
ON
No
No
No
BMO Low Volatility US Equity ETF
ON
No
No
No
BMO Mid Corporate Bond Index ETF
ON
No
No
No
BMO Mid Federal Bond Index ETF
ON
No
No
No
BMO Mid Provincial Bond Index ETF
ON
No
No
No
BMO Mid-Term US IG Corporate Bond Hedged
ON
to CAD Index ETF
No
No
No
BMO Mid-Term US IG Corporate Bond Index
ETF
ON
No
No
No
BMO Money Market Fund
ON
No
No
No
BMO Monthly Dividend Fund Ltd.
ON
No
No
No
BMO Monthly High Income Fund II
ON
No
No
No
BMO Monthly Income ETF
ON
No
No
No
BMO Monthly Income Fund
ON
No
No
No
BMO Mortgage and Short-Term Income Fund
ON
No
No
No
BMO MSCI All Country World High Quality
Index ETF
ON
No
No
No
BMO MSCI EAFE Hedged to CAD Index ETF
ON
No
No
No
BMO MSCI EAFE Index ETF
ON
No
No
No
BMO MSCI Emerging Markets Index ETF
ON
No
No
No
BMO MSCI Europe High Quality Hedged to
CAD Index ETF
ON
No
No
No
BMO MSCI USA High Quality Index ETF
ON
No
No
No
BMO Nasdaq 100 Equity Hedged to CAD Index
ON
ETF
No
No
No
BMO North American Dividend Fund
ON
No
No
No
BMO Precious Metals Fund
ON
No
No
No
BMO Preferred Share Fund
ON
No
No
No
BMO Real Return Bond Index ETF
ON
No
No
No
BMO Resource Fund
ON
No
No
No
BMO S&P 500 Hedged to CAD Index ETF
ON
No
No
No
BMO S&P 500 Index ETF
ON
No
No
No
BMO S&P/TSX Capped Composite Index ETF
ON
No
No
No
BMO S&P/TSX Equal Weight Banks Index ETF ON
No
No
No
BMO S&P/TSX Equal Weight Global Base
Metals Hedged to CAD Index ETF
ON
No
No
No
BMO S&P/TSX Equal Weight Global Gold
Index ETF
ON
No
No
No
BMO S&P/TSX Equal Weight Industrials Index
ETF
ON
No
No
No
Page 33 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
BMO S&P/TSX Equal Weight Oil & Gas Index
ETF
ON
No
No
No
BMO S&P/TSX Laddered Preferred Share
Index ETF
ON
No
No
No
BMO SelectClass Balanced Portfolio
ON
No
No
No
BMO SelectClass Growth Portfolio
ON
No
No
No
BMO SelectClass Income Portfolio
ON
No
No
No
BMO SelectClass® Equity Growth Portfolio
ON
No
No
No
BMO SelectTrust Balanced Portfolio
ON
No
No
No
BMO SelectTrust Conservative Portfolio
ON
No
No
No
BMO SelectTrust Equity Growth Portfolio
ON
No
No
No
BMO SelectTrust Fixed Income Portfolio
ON
No
No
No
BMO SelectTrust Growth Portfolio
ON
No
No
No
BMO SelectTrust Income Portfolio
ON
No
No
No
BMO Short Corporate Bond Index ETF
ON
No
No
No
BMO Short Federal Bond Index ETF
ON
No
No
No
BMO Short Provincial Bond Index ETF
ON
No
No
No
BMO Short-Term Income Class
ON
No
No
No
BMO Short-Term US IG Corporate Bond
Hedged to CAD Index ETF
ON
No
No
No
BMO Subordinated Notes Trust
ON
No
No
No
BMO Tactical Dividend ETF Fund
ON
No
No
No
BMO Target Education 2020 Portfolio
ON
No
No
No
BMO Target Education 2025 Portfolio
ON
No
No
No
BMO Target Education 2030 Portfolio
ON
No
No
No
BMO Target Education 2035 Portfolio
ON
No
No
No
BMO Target Education Income Portfolio
ON
No
No
No
BMO U.S. Dividend Fund
ON
No
No
No
BMO U.S. Dollar Balanced Fund
ON
No
No
No
BMO U.S. Dollar Dividend Fund
ON
No
No
No
BMO U.S. Dollar Equity Index Fund
ON
No
No
No
BMO U.S. Dollar Money Market Fund
ON
No
No
No
BMO U.S. Dollar Monthly Income Fund
ON
No
No
No
BMO U.S. Equity Class
ON
No
No
No
BMO U.S. Equity ETF Fund
ON
No
No
No
BMO U.S. Equity Fund
ON
No
No
No
BMO U.S. Equity Plus Fund
ON
No
No
No
BMO U.S. High Yield Bond Fund
ON
No
No
No
BMO Ultra Short-Term Bond ETF
ON
No
No
No
BMO US Dividend ETF
ON
No
No
No
BMO US Dividend Hedged to CAD ETF
ON
No
No
No
Page 34 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
BMO US High Dividend Covered Call ETF
ON
No
No
No
BMO World Bond Fund
ON
No
No
No
BNK Petroleum Inc.
BC
No
No
No
BNP Paribas Global Equity Exposure Fund
ON
No
No
No
BNP Resources Inc.
AB
No
Yes
No
BNS Split Corp. II
ON
No
No
No
Boardwalk Real Estate Investment Trust
AB
No
No
No
Boardwalk REIT Limited Partnership
AB
No
No
No
Boise Creek Resources Ltd.
BC
No
Yes
No
Bold Stroke Ventures Inc.
BC
No
No
No
Bold Ventures Inc.
ON
No
No
No
Boliden AB (publ)
ON
No
No
No
Bolivar Mining Corp.
BC
No
Yes
No
Bomax Resource Corp.
BC
No
Yes
No
Bombardier Inc.
QC
No
No
No
Bonaventure Estates I Limited Partnership
MB
No
Yes
No
Bonaventure Resources Ltd.
BC
No
Yes
No
BonaVista Canadian Equity Value Fund
ON
No
No
No
Bonavista Energy Corporation
AB
No
No
No
BonaVista Global Balanced Fund
ON
No
No
No
Bonkers Ventures Inc.
AB
No
Yes
No
Bonterra Energy Corp.
AB
No
No
No
BonTerra Resources Inc.
BC
No
No
No
Bookfortravel.com Inc.
AB
No
Yes
No
Bookkeeper International Equities Corp.
BC
No
Yes
No
Boomer Financial Inc.
BC
No
No
No
Boomerang Oil, Inc.
BC
No
Yes
No
Boost Capital Corp.
ON
No
No
No
Boralex Inc.
QC
No
No
No
Border Management, Inc.
BC
No
Yes
No
Border Petroleum Limited
AB
No
No
No
Borealis Infrastructure Trust
ON
No
No
No
Borkin Industries Corp.
BC
No
Yes
No
Boss Power Corp.
BC
No
No
No
Boston Pizza Royalties Income Fund
BC
No
No
No
Boswell International Technologies Ltd.
BC
No
Yes
No
Boulevard Industrial Real Estate Investment
Trust
ON
No
No
No
Boundary Gold Corp.
BC
No
Yes
No
Boundaryview Place Limited Partnership
BC
No
Yes
No
Page 35 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Bowes Lyon Resources Ltd.
BC
No
Yes
No
Bowmore Exploration Ltd.
BC
No
No
No
Boyd Group Income Fund
MB
No
No
No
Boyuan Construction Group, Inc.
ON
No
No
No
Bracknell Corporation
ON
No
Yes
No
Brades Resource Corp.
BC
No
No
No
Bradmer Pharmaceuticals Inc.
ON
No
No
No
Brahma Resources Inc.
BC
No
Yes
No
Brainhunter Inc.
ON
No
Yes
No
Brainium Technologies Inc.
BC
No
Yes
No
Braintech, Inc.
BC
No
Yes
No
Bramalea Inc.
BC
No
Yes
No
Brampton Brick Limited
ON
No
No
No
Branco Resources Ltd.
BC
No
No
No
Brand Leaders Income Fund
ON
No
No
No
Brand Leaders Plus Income Fund
ON
No
No
No
Brand Marvel Worldwide Consumer Products
Corporation
BC
No
No
No
Brandenburg Energy Corp.
BC
No
Yes
No
Brandes Canadian Equity Fund
ON
No
No
No
Brandes Canadian Money Market Fund
ON
No
No
No
Brandes Corporate Focus Bond Fund
ON
No
No
No
Brandes Emerging Markets Equity Fund
ON
No
No
No
Brandes Global Balanced Fund
ON
No
No
No
Brandes Global Equity Fund
ON
No
No
No
Brandes Global Opportunities Fund
ON
No
No
No
Brandes Global Small Cap Equity Fund
ON
No
No
No
Brandes International Equity Fund
ON
No
No
No
Brandes U.S. Equity Fund
ON
No
No
No
Brandes U.S. Small Cap Equity Fund
ON
No
No
No
Brandevor Enterprises Ltd.
BC
No
Yes
No
Brandgamz Marketing Inc.
BC
No
Yes
No
Brandon Energy Ltd.
AB
No
Yes
No
Brasilca Mining Corporation
BC
No
Yes
No
Brauch Database Systems, Inc.
BC
No
Yes
No
Bravada Gold Corporation
BC
No
No
No
Braveheart Resources Inc.
ON
No
No
No
Bravern Ventures Ltd.
BC
No
No
No
Bravo Enterprises Ltd.
BC
No
Yes
No
Bravo Resource Partners Ltd.
BC
No
Yes
No
Page 36 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Bravura Ventures Corp.
BC
No
No
No
Brazil Gold Corp.
BC
No
Yes
No
Brazil Resources Inc.
BC
No
No
No
Brazilian Resources, Inc.
ON
No
Yes
No
Breaking Point Developments Inc.
AB
No
Yes
No
Brent Gardens Limited Partnership
BC
No
Yes
No
Brent Resources Group Ltd.
BC
No
Yes
No
Bri-Chem Corp.
AB
No
No
No
BriaCell Therapeutics Corp.
BC
No
No
No
Briana Bio-Tech Inc.
QC
No
Yes
No
Brickburn Income Growth Class
AB
No
No
No
Brickburn Small Cap Class
AB
No
No
No
Bridge River Development Corp.
BC
No
Yes
No
BridgePoint International Inc.
QC
No
Yes
No
Brigadier Gold Limited
ON
No
No
No
Brigata Diversified Portfolio
ON
No
No
No
Bright Star Ventures Ltd.
BC
No
Yes
No
Brighter Minds Media Inc.
ON
No
Yes
No
Brighton Gardens Of Boynton Beach Limited
Partnership
BC
No
Yes
No
BrightPath Early Learning Inc.
AB
No
No
No
Brilliant Resources Inc.
AB
No
No
No
Brinco 81 Energy Program
BC
No
Yes
No
Brinx Resources Ltd.
BC
Yes
No
No
Brionor Resources Inc.
QC
No
No
No
Brisbane Capital Corp.
BC
No
Yes
No
Brisio Innovations Inc.
BC
No
No
No
Bristol Trading Company Ltd.
BC
No
Yes
No
British Columbia Discovery Fund (VCC) Inc.
BC
No
No
No
British Columbia Ferry Services Inc.
BC
No
No
No
British Controlled Oilfields Ltd.
QC
No
No
No
British Lion Mines Ltd.
BC
No
Yes
No
British Pacific Investment Corp.
BC
No
Yes
No
British Telecommunications Plc
BC
No
No
No
Brixton Energy Corp.
AB
No
Yes
No
Brixton Metals Corporation
BC
No
No
No
Bro-X Minerals Ltd.
AB
No
Yes
No
Broadband Learning Corporation
ON
No
Yes
No
Broadway Beverages Ltd.
BC
No
Yes
No
Bromley . Marr ECOS Inc.
AB
No
Yes
No
Page 37 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Brompton 2013 Flow-Through Limited
Partnership
ON
No
No
No
Brompton 2014 Flow-Through Limited
Partnership
ON
No
No
No
Brompton Corp.
ON
No
No
No
Brompton Dividend & Income Class
ON
No
No
No
Brompton Lifeco Split Corp.
ON
No
No
No
Brompton Oil Split Corp.
ON
No
No
No
Brompton Resource Class
ON
No
No
No
Brompton Split Banc Corp.
ON
No
No
No
Brookfield Asset Management Inc.
ON
No
No
No
Brookfield Canada Office Properties
ON
No
No
No
Brookfield Global Infrastructure Securities
Income Fund
ON
No
No
No
Brookfield High Yield Strategic Income Fund
ON
No
No
No
Brookfield Infrastructure Finance Limited
ON
No
No
No
Brookfield Infrastructure Finance LLC
ON
No
No
No
Brookfield Infrastructure Finance Pty Ltd
ON
No
No
No
Brookfield Infrastructure Finance ULC
ON
No
No
No
Brookfield Infrastructure Partners L.P.
ON
No
No
No
Brookfield Infrastructure Preferred Equity Inc.
ON
No
No
No
Brookfield Investments Corporation
ON
No
No
No
Brookfield New Horizons Income Fund
ON
No
No
No
Brookfield Office Properties Inc.
ON
No
No
No
Brookfield Property Partners L.P.
ON
No
No
No
Brookfield Property Split Corp.
ON
No
No
No
Brookfield Real Estate Services Inc.
ON
No
No
No
Brookfield Renewable Energy Partners L.P.
ON
No
No
No
Brookfield Renewable Energy Partners ULC
ON
No
No
No
Brookfield Renewable Power Preferred Equity
Inc.
ON
No
No
No
Brookfield Select Opportunities Income Fund
ON
No
No
No
Brookfield Soundvest Equity Fund
ON
No
No
No
Brookfield Soundvest Split Trust
ON
No
No
No
Brookwater Ventures Inc.
AB
No
No
No
Broome Capital Inc.
BC
No
No
No
Brownstone Energy Inc.
ON
No
No
No
BRP Inc.
QC
No
No
No
BRS Resources Ltd.
BC
No
No
No
BRS VENTURES LTD.
BC
No
No
No
Brunswick Resources Inc.
ON
No
No
No
Page 38 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
BRX Mining & Petroleum Ltd.
BC
No
Yes
No
BSM Technologies Inc.
ON
No
No
No
BT Group plc
ON
No
No
No
BTB Real Estate Investment Trust
QC
No
No
No
BTU Capital Corp.
BC
No
Yes
No
Bu-Max Gold Corp.
BC
No
Yes
No
Buccaneer Gold Corp.
ON
No
No
No
Bucking Horse Energy Inc.
BC
No
Yes
No
Bud Minerals Ltd.
BC
No
Yes
No
Buddha Resources Inc.
BC
No
Yes
No
Buffalo Coal Corp.
ON
No
No
No
Buffalo Gold Ltd.
BC
No
Yes
No
Buhler Industries Inc.
MB
No
No
No
Build America Investment Grade Bond Fund
ON
No
No
No
Builders Capital Mortgage Corp.
AB
No
No
No
Building Turbines, Inc.
BC
No
Yes
No
Bullion Gold Resources Corp.
BC
No
No
No
Bullman Minerals Inc.
BC
No
No
No
Bunker Hill Mining Company Inc.
BC
No
Yes
No
Burcon Nutrascience Corporation
BC
No
No
No
Burnstone Ventures Inc.
BC
No
No
No
Burrard Ventures Inc.
BC
No
Yes
No
Burro Creek Minerals Ltd.
BC
No
Yes
No
Buscar Oil, Inc.
BC
No
Yes
No
Bushman Resources Inc.
BC
No
Yes
No
Business Systems International Inc.
BC
No
Yes
No
Butler Mountain Minerals Corp.
BC
No
Yes
No
BUTTE ENERGY INC.
AB
No
No
No
C & E Furniture Industries Inc.
BC
No
Yes
No
C International Income Fund
ON
No
Yes
No
C-Com Satellite Systems Inc.
ON
No
No
No
C.F.P.C. (1990) Limited Partnership
BC
No
Yes
No
Caara Ventures Inc.
BC
No
Yes
No
Cabia Goldhills Inc.
QC
No
Yes
No
Cabletel Communications Corp.
ON
No
Yes
No
Cabo Drilling Corp.
BC
No
No
No
Cache Exploration Inc.
BC
No
No
No
Cadan Resources Corporation
BC
Yes
No
No
Caddev Industries Inc.
BC
No
Yes
No
Cadillac Ventures Inc.
ON
No
No
No
Page 39 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Cadre Resources Ltd.
BC
No
Yes
No
Caduceus Software Systems Corp.
BC
No
Yes
No
CAE Inc.
QC
No
No
No
Cairo Resources Inc.
BC
No
No
No
Caisse Centrale Desjardins
QC
No
No
No
CaiTerra International Energy Corporation
BC
No
No
No
Calais Resources Inc.
BC
No
Yes
No
Caldera Resources Inc.
QC
No
Yes
No
Caldera Technologies Corporation
BC
No
Yes
No
Caldwell Balanced Fund
ON
No
No
No
Caldwell High Income Equity Fund
ON
No
No
No
Caldwell Income Fund
ON
No
No
No
Caledonia Mining Corporation
ON
No
No
No
Calfrac Well Services Ltd.
AB
No
No
No
Calian Technologies Ltd.
ON
No
No
No
Calibre Energy Inc.
AB
No
Yes
No
Calibre Mining Corp.
BC
No
No
No
Calibre Technologies Corporation
BC
No
Yes
No
Calico Resources Corp.
BC
No
No
No
Caliente Resources Ltd.
BC
No
Yes
No
California Gold Mines Inc.
BC
No
Yes
No
California Gold Mining Inc.
ON
No
No
No
California Nanotechnologies Corp.
AB
No
No
No
Callidus Capital Corporation
ON
No
No
No
Callinan Royalties Corporation
BC
No
No
No
Callinex Mines Inc.
BC
No
No
No
Calloway Real Estate Investment Trust
ON
No
No
No
Calmena Energy Services Inc.
AB
No
No
No
Calpine Corporation
AB
No
No
No
Calstar Oil & Gas Ltd.
AB
No
Yes
No
Calvalley Petroleum Inc.
AB
No
No
No
Calyx Bio-Ventures Inc.
BC
No
No
No
Cam-Turf Corporation
BC
No
Yes
No
Camberly Energy Ltd.
AB
No
Yes
No
Cambium Limited Partnership No. Two
BC
No
Yes
No
Camborne Industries Plc
BC
No
Yes
No
Cambridge American Equity Corporate Class
ON
No
No
No
Cambridge American Equity Fund
ON
No
No
No
Cambridge Canadian Asset Allocation
Corporate Class
ON
No
No
No
Page 40 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Cambridge Canadian Dividend Fund
ON
No
No
No
Cambridge Canadian Equity Corporate Class
ON
No
No
No
Cambridge Canadian Growth Companies Fund ON
No
No
No
Cambridge Environmental Systems Inc.
AB
No
Yes
No
Cambridge Global Dividend Corporate Class
ON
No
No
No
Cambridge Global Dividend Fund
ON
No
No
No
Cambridge Global Equity Corporate Class
ON
No
No
No
Cambridge Growth Companies Corporate Class ON
No
No
No
Cambridge High Income Fund
ON
No
No
No
Cambridge Income Corporate Class
ON
No
No
No
Cambridge Income Fund
ON
No
No
No
Cambridge Income Trust
ON
No
No
No
Cambridge Pure Canadian Equity Fund
ON
No
No
No
Cambridge U.S. Dividend Fund
ON
No
No
No
Cambridge U.S. Dividend Registered Fund
ON
No
No
No
Cameco Corporation
SK
No
No
No
Cameo Resources Corp.
BC
No
No
No
Cameron Tower Limited Partnership
BC
No
Yes
No
Camex Energy Corp.
BC
No
No
No
Camford Capital Corporation
BC
No
Yes
No
Camino Minerals Corporation
BC
No
No
No
Cammac Group Inc.
AB
No
Yes
No
Campar Capital Corporation
ON
No
No
No
Campbell Resources Inc.
QC
No
Yes
No
Can-60 Income Corp.
ON
No
No
No
Can-Ameri Agri Co. Inc.
BC
No
No
No
Can-Asia Minerals Inc.
BC
No
Yes
No
Can-Cal Resources Ltd.
BC
No
Yes
No
Can-Chin Entertainment Group Co. Ltd.
BC
No
Yes
No
Can-Financials Income Corp.
ON
No
No
No
Can-Mac Exploration Ltd.
BC
No
Yes
No
Canaccord Genuity Group Inc.
BC
No
No
No
Canacol Energy Ltd.
AB
No
No
No
Canada 3000 Inc.
ON
No
Yes
No
Canada Carbon Inc.
ON
No
No
No
Canada Coal Inc.
ON
No
No
No
Canada Energy Partners Inc.
BC
No
No
No
Canada Iron Inc.
BC
No
Yes
No
Canada Lease Financing Ltd.
BC
No
Yes
No
Canada Life Capital Trust
ON
No
No
No
Page 41 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Canada Life Financial Corporation
ON
No
No
No
Canada Orient Resources Inc.
BC
No
Yes
No
Canada Rare Earth Corp.
BC
No
No
No
Canada Renewable Bioenergy Corp.
BC
No
Yes
No
Canada Strategic Metals Inc.
QC
No
No
No
Canada Zinc Metals Corp.
BC
No
No
No
Canadaka Mining Corporation
BC
No
Yes
No
Canadian 50 Advantaged Preferred Share
Fund
ON
No
No
No
Canadian Advantaged Convertibles Fund
ON
No
No
No
Canadian Airlines Corporation
AB
No
Yes
No
Canadian Apartment Properties Real Estate
Investment Trust
ON
No
No
No
Canadian Arrow Mines Limited
ON
No
No
No
Canadian Aviation Express Airlines Inc.
BC
No
Yes
No
Canadian Banc Capital Securities Trust
ON
No
No
No
Canadian Banc Corp.
ON
No
No
No
Canadian Bond Fund (Portico)
ON
No
No
No
Canadian Capital Auto Receivables Asset Trust
ON
II
No
No
No
Canadian Cariboo Resources Ltd.
BC
No
Yes
No
Canadian Convertible Debenture Fund
ON
No
No
No
Canadian Convertibles Plus Fund
ON
No
No
No
Canadian Credit Card Trust
QC
No
No
No
Canadian Data Preserve Inc.
BC
No
No
No
Canadian Destination Properties Inc.
AB
No
Yes
No
Canadian Diversified Equity Fund (London
Capital)
ON
No
No
No
Canadian Dividend Class (London Capital)
ON
No
No
No
Canadian Dividend Fund (London Capital)
ON
No
No
No
Canadian Dollar Cash Management Fund
ON
No
No
No
Canadian Dollar Investment (Bermuda) Limited BC
No
Yes
No
Canadian Energy Services & Technology Corp. AB
No
No
No
Canadian Entertainment Investors No. I And
Company, Limited Partnership
BC
No
Yes
No
Canadian Equity Alpha Corporate Class
ON
No
No
No
Canadian Equity Class
ON
No
No
No
Canadian Equity Fund
ON
No
No
No
Canadian Equity Growth Corporate Class
ON
No
No
No
Canadian Equity Growth Pool
ON
No
No
No
Canadian Equity Small Cap Corporate Class
ON
No
No
No
Page 42 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Canadian Equity Small Cap Pool
ON
No
No
No
Canadian Equity Value Corporate Class
ON
No
No
No
Canadian Equity Value Pool
ON
No
No
No
Canadian Fixed Income Corporate Class
ON
No
No
No
Canadian Fixed Income Fund
ON
No
No
No
Canadian Fixed Income Pool
ON
No
No
No
Canadian Focused Balanced Fund
ON
No
No
No
Canadian Focused Growth Fund
ON
No
No
No
Canadian General Investments, Limited
ON
No
No
No
Canadian Giant Exploration Limited
BC
No
Yes
No
Canadian Growth Fund (GWLIM)
ON
No
No
No
Canadian Heritage Brewing Co. Ltd.
BC
No
Yes
No
Canadian High Income Equity Fund
ON
No
No
No
Canadian High Yield Focus Fund
ON
No
No
No
Canadian Imperial Bank of Commerce
ON
No
No
No
Canadian Imperial Venture Corp.
BC
No
No
No
Canadian International Minerals Inc.
BC
No
No
No
Canadian Liberty Development Corp.
BC
No
Yes
No
Canadian Life Companies Split Corp.
ON
No
No
No
Canadian Manoir Industries Limited
AB
No
Yes
No
Canadian Metals Inc.
QC
No
No
No
Canadian Mining Company Inc.
BC
No
No
No
Canadian Mono Mines Inc.
BC
No
Yes
No
Canadian National Railway Company
QC
No
No
No
Canadian Natural Resources Limited
AB
No
No
No
Canadian Oil Recovery & Remediation
Enterprises Ltd.
ON
No
No
No
Canadian Oil Sands Limited
AB
No
No
No
Canadian Orebodies Inc.
ON
No
No
No
Canadian Overseas Exploration Corporation
BC
No
Yes
No
Canadian Overseas Petroleum Limited
AB
No
No
No
Canadian Pacific Railway Company
AB
No
No
No
Canadian Pacific Railway Limited
AB
No
No
No
Canadian Platinum Corp.
AB
No
No
No
Canadian Quantum Energy Corporation
AB
No
No
No
Canadian Real Estate Investment Trust
ON
No
No
No
Canadian Resources Income Trust
ON
No
No
No
Canadian Roxana Resources Limited
BC
No
Yes
No
Canadian Scholarship Trust Family Savings
Plan
ON
No
No
No
Page 43 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Canadian Scholarship Trust Founders' Plan
ON
No
No
No
Canadian Scholarship Trust Group Savings
Plan 2001
ON
No
No
No
Canadian Scholarship Trust Individual Savings
ON
Plan
No
No
No
Canadian Scholarship Trust Plan II
ON
No
No
No
Canadian Silver Hunter Inc.
ON
No
No
No
Canadian Small Company Equity Fund
ON
No
No
No
Canadian Spirit Resources Inc.
AB
No
No
No
Canadian Spooner Industries Corporation
ON
No
Yes
No
Canadian Spooner Resources Inc.
ON
No
Yes
No
Canadian Stevia Corporation
BC
No
Yes
No
Canadian Strategic Holdings Ltd.
BC
No
Yes
No
Canadian Tactical Training Academy Inc.
BC
No
Yes
No
Canadian Tire Corporation, Limited
ON
No
No
No
Canadian Trace Minerals Ltd.
BC
No
Yes
No
Canadian Transtech Industries Ltd.
BC
No
Yes
No
Canadian Utilities & Telecom Income Fund
ON
No
No
No
Canadian Utilities Limited
AB
No
No
No
Canadian Value Class (Sionna)
ON
No
No
No
Canadian Western Bank
AB
No
No
No
Canadian Westgrowth Ltd.
BC
No
Yes
No
Canadian World Fund Limited
ON
No
No
No
Canadian Zinc Corporation
BC
No
No
No
Canadian-Star Industries Inc.
BC
No
Yes
No
CanaDream Corporation
AB
No
No
No
Canaf Group Inc.
BC
No
No
No
Canalands Resources Corporation
BC
No
Yes
No
CanAlaska Uranium Ltd.
BC
No
No
No
CanAm Coal Corp.
AB
No
No
No
Canam Group Inc.
QC
No
No
No
Canamax Energy Ltd.
AB
No
No
No
Canamex Resources Corp.
BC
No
No
No
Canarc Resource Corp.
BC
No
No
No
CanAsia Financial Inc.
AB
No
No
No
Canasil Resources Inc.
BC
No
No
No
CanBanc 8 Income Corp.
ON
No
No
No
CanBanc Income Corp.
ON
No
No
No
Cancall Cellular Communications Inc.
BC
No
Yes
No
Cancana Resources Corp.
BC
No
No
No
Page 44 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Candao Enterprises Inc.
BC
No
Yes
No
Candax Energy Inc.
ON
No
No
No
Candente Copper Corp.
BC
No
No
No
Candente Gold Corp.
BC
No
No
No
Caneco Audio-Publishers Inc.
BC
No
Yes
No
CanElson Drilling Inc.
AB
No
No
No
Canex Resources Corporation
BC
No
Yes
No
Canexus Corporation
AB
No
No
No
Canfor Corporation
BC
No
No
No
Canfor Pulp Products Inc.
BC
No
No
No
Cangold Limited
BC
No
No
No
CaNickel Mining Limited
BC
No
No
No
Canlan Ice Sports Corp.
BC
No
No
No
Canmark International Resources Inc.
BC
No
Yes
No
Canmine Resources Corporation
ON
No
Yes
No
Cannabix Technologies Inc.
BC
No
No
No
Cannon Point Resources Ltd.
BC
No
No
No
Canoe 'GO CANADA' North American Monthly
AB
Income Class
No
No
No
Canoe 2014 Flow-Through LP - CDE Units
AB
No
No
No
Canoe 2014 Flow-Through LP - CEE Units
AB
No
No
No
Canoe 2015 Flow-Through LP - CDE Units
AB
No
No
No
Canoe 2015 Flow-Through LP - CEE Units
AB
No
No
No
Canoe Bond Advantage Class
AB
No
No
No
Canoe Bond Advantage Fund
AB
No
No
No
Canoe Canadian Asset Allocation Class
AB
No
No
No
Canoe Canadian Monthly Income Class
AB
No
No
No
Canoe EIT Income Fund
AB
No
No
No
Canoe Energy Class
AB
No
No
No
Canoe Energy Income Class
AB
No
No
No
Canoe Enhanced Income Class
AB
No
No
No
Canoe Enhanced Income Fund
AB
No
No
No
Canoe Equity Class
AB
No
No
No
Canoe Equity Income Class
AB
No
No
No
Canoe Global Equity Income Class
AB
No
No
No
Canoe Global Income Class
AB
No
No
No
Canoe Global Income Fund
AB
No
No
No
Canoe Global Value Class
AB
No
No
No
Canoe Mining Ventures Corp.
ON
No
No
No
Canoe Strategic High Yield Class
AB
No
No
No
Page 45 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Canoe Strategic High Yield Fund
AB
No
No
No
Canoe U.S. Equity Income Class
AB
No
No
No
Canora Mining Corporation
BC
No
Yes
No
Canoro Resources Ltd.
BC
No
Yes
No
Canova Resources Ltd.
BC
No
Yes
No
Canpac Investments Corp.
BC
No
No
No
Canquest Resource Corporation
BC
No
Yes
No
Canreos Minerals (1980) Limited
BC
No
Yes
No
Canshore Exploration Limited
AB
No
Yes
No
Cansib Energy Inc.
BC
No
Yes
No
Canso Credit Income Fund
ON
No
No
No
Canso Select Opportunities Fund
ON
No
No
No
Cansorb Industries Inc.
BC
No
Yes
No
Canstar Resources Inc.
ON
No
No
No
Canstock Fund
BC
No
Yes
No
Canterbury Resources Inc.
BC
No
Yes
No
Canterra Minerals Corporation
BC
No
No
No
Cantex Mine Development Corp.
BC
No
No
No
Canuc Resources Corporation
ON
No
No
No
Canus Laboratories Ltd.
BC
No
Yes
No
CanWel Building Materials Group Ltd.
BC
No
No
No
Canyon Copper Corp.
BC
No
No
No
Canyon Creek Food Company Ltd.
AB
Yes
No
No
Canyon Gold Corp.
BC
No
Yes
No
Canyon Services Group Inc.
AB
No
No
No
Cap-Ex Iron Ore Ltd.
BC
No
No
No
Capco Resources Ltd.
AB
No
Yes
No
Capgain Properties Inc.
BC
No
Yes
No
Capilano Resources Inc.
BC
No
Yes
No
Capital Desjardins Inc.
QC
No
No
No
Capital DGMC Inc.
QC
No
No
No
Capital Group Canadian Core Plus Fixed
Income Fund (Canada)
ON
No
No
No
Capital Group Canadian Focused Equity Fund
(Canada)
ON
No
No
No
Capital Group Emerging Markets Total
Opportunities Fund (Canada)
ON
No
No
No
Capital Group Global Equity Fund (Canada)
ON
No
No
No
Capital Group International Equity Fund
(Canada)
ON
No
No
No
Capital Group U.S. Equity Fund (Canada)
ON
No
No
No
Page 46 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Capital Mineral Investors, Inc.
AB
No
Yes
No
Capital Power Corporation
AB
No
No
No
Capital Power L.P.
AB
No
No
No
Capital Preservation Fund
ON
No
No
No
Capital Pro-Égaux Inc.
QC
No
No
No
Capital Reserve Inc.
BC
No
Yes
No
Capital SLM 300 inc.
QC
No
Yes
No
CapRate Commercial Properties Inc.
AB
No
Yes
No
Caprice-Greystoke Enterprises Ltd.
BC
No
Yes
No
Capricorn Business Acquisitions Inc.
ON
No
No
No
Capricorn Resources Ltd.
BC
No
Yes
No
Capstone Infrastructure Corporation
ON
No
No
No
Capstone Mining Corp.
BC
No
No
No
Capstone Power Corp.
ON
No
No
No
Capstream Ventures Inc.
BC
No
No
No
Capsule Technology Group Inc.
BC
No
Yes
No
Captech Multicom Inc.
QC
No
Yes
No
Captiva Verde Industries Ltd.
AB
No
No
No
Caracara Silver Inc.
BC
No
No
No
Carbite Golf Inc.
ON
No
Yes
No
Carbiz Inc.
AB
No
Yes
No
Carbon Green Inc.
BC
No
Yes
No
Carbon Products Industries, Inc.
BC
No
Yes
No
Cardero Resource Corp.
BC
No
No
No
Cardiff Energy Corp.
BC
No
No
No
Cardinal Capital Partners Inc.
ON
No
No
No
Cardinal Energy Ltd.
AB
No
No
No
Cardinal Resources plc
AB
No
Yes
No
Cardiocomm Solutions, Inc.
ON
No
No
No
Cardiome Pharma Corp.
BC
No
No
No
CARDS II Trust
ON
No
No
No
Care Veterinary Pharmaceuticals Ltd.
BC
No
Yes
No
CARFINCO FINANCIAL GROUP INC.
AB
No
No
No
Cargojet Inc.
ON
No
No
No
Cariana International Industries Inc.
BC
No
Yes
No
Caribbean Diversified Investments, Inc.
BC
No
Yes
No
Caribbean Utilities Company, Ltd.
ON
No
No
No
Cariboo Gold Fields Ltd.
BC
No
Yes
No
Cariboo Lake Resources Corp.
BC
No
Yes
No
Cariboo Rose Resources Ltd.
BC
No
No
No
Page 47 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Caribou King Resources Ltd.
BC
No
No
No
Carissa Gold Inc.
BC
No
Yes
No
Carl Capital Corp.
BC
No
No
No
Carlaw Capital V Corp.
ON
No
No
No
Carlin Gold Corporation
BC
No
No
No
Carlisle Goldfields Limited
ON
No
No
No
Carlson Mines Ltd.
BC
No
Yes
No
Carlyle Energy Ltd.
BC
No
Yes
No
Carmanah Resources Ltd.
AB
No
Yes
No
Carmanah Technologies Corporation
BC
No
No
No
Carmax Mining Corp.
BC
No
No
No
Carmel Resources Limited
BC
No
Yes
No
Carnival Resources Ltd.
BC
No
Yes
No
Carolina Capital Corp.
BC
No
No
No
Carolyn River Projects Ltd.
BC
No
Yes
No
Carousel Capital Corp.
BC
No
Yes
No
Carpathian Gold Inc.
ON
No
No
No
Carpita Corporation
BC
No
Yes
No
Carriage Lane Estates Limited Partnership
BC
No
Yes
No
CARRIE ARRAN RESOURCES INC.
ON
No
No
No
Carrigan Industries Limited
BC
No
Yes
No
Carrington Acquisition Corp.
ON
No
No
No
Carrus Capital Corporation
BC
No
No
No
Cartaway Resources Corporation
ON
No
Yes
No
Cartier Resources Inc.
QC
No
No
No
Casamiro Resource Corporation
BC
No
Yes
No
Casau Exploration Ltd.
BC
No
Yes
No
Cascade Energy, Inc.
BC
Yes
No
No
Cascade Resources Ltd.
BC
No
No
No
Cascade Technologies Corp.
BC
No
Yes
No
Cascadero Copper Corporation
BC
No
No
No
Cascades Inc.
QC
No
No
No
Cascadia Consumer Electronics Corp.
BC
No
No
No
Cascadia Technologies Ltd.
BC
No
Yes
No
Case Financial, Inc.
BC
No
Yes
No
Cash Canada Group Ltd.
AB
No
Yes
No
Cash Management Class
ON
No
No
No
Cash Management Pool
ON
No
No
No
Casmyn Corp.
BC
No
Yes
No
Caspian Energy Inc.
AB
No
No
No
Page 48 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Cassidy Gold Corp.
BC
No
No
No
Cassius Ventures Ltd.
BC
No
No
No
Castle Mountain Mining Company Limited
ON
No
No
No
Castle Peak Mining Ltd.
BC
No
No
No
Castle Resources Inc.
ON
No
No
No
Catalyst Copper Corp.
BC
No
No
No
Catalyst Paper Corporation
BC
No
No
No
Catamaran Corporation
ON
No
No
No
CatchMark Timber Trust, Inc.
ON
No
No
No
Catear Resources Ltd.
BC
No
Yes
No
Caterpillar Financial Services Limited
ON
No
No
No
Cathay Energy Inc.
AB
No
Yes
No
Cathay Forest Products Corp.
ON
No
Yes
No
Cathedral Energy Services Ltd.
AB
No
No
No
Catlow Resources Ltd.
BC
No
Yes
No
Caulfield Resources Ltd
BC
No
Yes
No
Cava Resources Inc.
ON
No
No
No
Cavalier Energy Limited
BC
No
Yes
No
Cavan Ventures Inc.
BC
No
No
No
Cayenne Gold Mines Ltd.
BC
No
Yes
No
Cayman Resources Ltd.
BC
No
Yes
No
Caza Gold Corp.
BC
No
No
No
Caza Oil & Gas, Inc.
AB
No
No
No
CB Gold Inc.
BC
No
No
No
CBD Med Research Corp.
BC
No
No
No
CBM Asia Development Corp.
BC
No
Yes
Yes
CBO Resources Corp.
BC
No
Yes
No
CC&L Balanced Growth Portfolio
BC
No
No
No
CC&L Core Income and Growth Fund
ON
No
No
No
CC&L Diversified Income Portfolio
BC
No
No
No
CC&L Equity Income and Growth Fund
ON
No
No
No
CC&L Global Alpha Fund
ON
No
No
No
CC&L High Yield Bond Fund
ON
No
No
No
CCC International Trade Inc.
BC
No
Yes
No
CCL Industries Inc.
ON
No
No
No
CCW System Ltd.
BC
No
Yes
No
CDA International Inc.
ON
No
Yes
No
CDC Corporation
QC
No
Yes
No
CDN MSolar Corp.
BC
No
No
No
CDNET Canada Inc.
ON
No
Yes
No
Page 49 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Ceapro Inc.
AB
No
No
No
Ced-Or Corporation
AB
No
Yes
No
Cedar Creek Mines Ltd.
BC
No
Yes
No
Cee Bee Natural Gas Inc.
BC
No
Yes
No
Ceiba Energy Services Inc.
AB
No
No
No
Celebrity Energy Corp.
BC
No
Yes
No
Celeste Mining Corp.
AB
No
No
No
Celestica Inc.
ON
No
No
No
Celico Resources Ltd.
BC
No
Yes
No
Cell MedX Corp
BC
No
No
No
Cellstop Systems, Inc.
BC
No
No
No
CelLynx Group, Inc.
BC
No
Yes
No
Celtic Minerals Ltd.
ON
No
No
No
Celtic Resources Holdings Plc
BC
No
Yes
No
Celtic Tiger Minerals Exploration Inc.
NS
No
Yes
No
CEMATRIX Corporation
AB
No
No
No
Cencotech Inc.
ON
No
No
No
Cenosis Inc.
QC
No
Yes
No
Cenovus Energy Inc.
AB
No
No
No
Cenpro Technologies Inc.
AB
No
Yes
No
Centamin plc
ON
No
No
No
Centerra Gold Inc.
ON
No
No
No
Central 1 Credit Union
BC
No
No
No
Central Asia Goldfields Corporation
ON
No
Yes
No
Central Fund Of Canada Limited
AB
No
No
No
Central GoldTrust
ON
No
No
No
Central Guaranty Trust Company
BC
No
Yes
No
Central Guaranty Trustco Limited
BC
No
Yes
No
Central Industries Corporation Inc.
QC
No
Yes
No
Central Iron Ore Limited
BC
No
No
No
Central Minera Corp.
BC
No
Yes
No
Centre Street Limited Partnership
BC
No
Yes
No
Centric Health Corporation
ON
No
No
No
Centurion Minerals Ltd.
BC
No
No
No
Century Dj Mutual Fund
BC
No
Yes
No
Century Energy Ltd.
AB
No
No
No
Century Iron Mines Corporation
ON
No
No
No
Cepeda Minerals Inc.
BC
No
Yes
No
Cephalon Resource Corporation
AB
No
Yes
No
Cequence Energy Ltd
AB
No
No
No
Page 50 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Cercal Minerals Corporation
BC
No
Yes
No
Ceres Global Ag Corp.
ON
No
No
No
CERF Incorporated
AB
No
No
No
Cerro Grande Mining Corporation
ON
No
No
No
Cerro Mining Corp.
BC
No
No
No
Certive Solutions Inc.
BC
No
No
No
Cervus Equipment Corporation
AB
No
No
No
Cevaxs Corporation
BC
No
Yes
No
CGF Fund 4000
BC
No
Yes
No
CGF Venture Fund
BC
No
Yes
No
CGI Group Inc.
QC
No
No
No
CGI Mutualization Corporation
BC
No
Yes
No
CGSG Investment Inc.
BC
No
No
No
CGX Energy Inc.
ON
No
No
No
CH Financial Corporation
BC
No
Yes
No
Chai Cha Na Mining Inc.
ON
No
Yes
No
Challenger Deep Resources Corp.
AB
No
No
No
Champion Bear Resources Ltd.
AB
No
No
No
Champion Communication Services Inc.
ON
No
Yes
No
Champion Iron Limited
ON
No
No
No
Chandi Resources Corporation
BC
No
Yes
No
Changfeng Energy Inc.
ON
No
No
No
Changyu Medtech Ltd.
BC
No
Yes
No
Channel Ridge Estate Holdings Inc.
AB
No
Yes
No
Chantrell Ventures Corp.
BC
No
No
No
Chaparral Gold Corp.
BC
No
No
No
Charan Industries Inc.
BC
No
Yes
No
Charlemagne Resources Ltd.
BC
No
Yes
No
Charlie O Company, Inc.
BC
No
Yes
No
Charlotte Resources Ltd.
BC
No
No
No
Chartwell Retirement Residences
ON
No
No
No
Chase Resource Corporation
BC
No
Yes
No
Chateau Janeville Apartment Project
MB
No
No
No
Chauvco Resources International Ltd.
BC
No
Yes
No
CHC Realty Capital Corp.
ON
No
No
No
Cheetah Oil & Gas Ltd.
BC
No
Yes
No
Chelan Resources Inc.
BC
No
Yes
No
Chelsea Oil and Gas Ltd.
AB
No
No
No
Chelsea Resources Ltd.
BC
No
Yes
No
Chemokine Therapeutics Corp.
BC
No
Yes
No
Page 51 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Chemtrade Logistics Income Fund
ON
No
No
No
Chesapeake Computer Systems Inc.
BC
No
Yes
No
Chesapeake Gold Corp.
BC
No
No
No
Chess-Clarion 1980-81 Exploration Program
BC
No
Yes
No
Chessminster Group Ltd.
BC
No
Yes
No
Chesswood Group Limited
ON
No
No
No
Cheyenne Energy Inc.
AB
No
Yes
No
Cheyenne Petroleum Corporation
BC
No
Yes
No
Chibougamau Independent Mines Inc.
QC
No
No
No
Chieftain Metals Corp.
ON
No
No
No
Chilean Metals Inc.
BC
No
No
No
Chimata Gold Corp.
BC
No
No
No
China Coal Corporation
AB
No
Yes
No
China Diamond Corp.
ON
No
Yes
No
China Education Resources Inc.
BC
No
No
No
China Gold International Resources Corp. Ltd.
BC
No
No
No
China Goldcorp Ltd.
ON
No
No
No
China Interactive Education, Inc.
BC
No
Yes
No
China Keli Electric Company Ltd.
BC
No
Yes
No
China Minerals Mining Corporation
BC
No
No
No
China Sea Resources Corporation
BC
No
Yes
No
China Wind Power International Corp.
ON
No
Yes
No
Chinapintza Mining Corp.
ON
No
No
No
Chineseworldnet.com Inc.
BC
No
No
No
Chinook Energy Inc.
AB
No
No
No
Chinook Tyee Industry Limited
BC
No
No
No
CHIP Mortgage Trust
ON
No
No
No
Chisholm Resources Ltd.
BC
No
Yes
No
ChitrChatr Communications Inc.
AB
No
No
No
Chlormet Technologies, Inc.
BC
No
No
No
Choice Properties Real Estate Investment Trust ON
No
No
No
Chorus Aviation Inc.
ON
No
No
No
Chorus II Balanced Growth Portfolio
QC
No
No
No
Chorus II Balanced Income Portfolio
QC
No
No
No
Chorus II Conservative Portfolio
QC
No
No
No
Chorus II Corporate Class Balanced Growth
Portfolio
QC
No
No
No
Chorus II Corporate Class Balanced Income
Portfolio
QC
No
No
No
Chorus II Corporate Class Conservative
Portfolio
QC
No
No
No
Page 52 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Chorus II Corporate Class Growth Portfolio
QC
No
No
No
Chorus II Corporate Class High Growth
Portfolio
QC
No
No
No
Chorus II Corporate Class Maximum Growth
Portfolio
QC
No
No
No
Chorus II Growth Portfolio
QC
No
No
No
Chorus II High Growth Portfolio
QC
No
No
No
Chorus II Maximum Growth Portfolio
QC
No
No
No
Chou Asia Fund
ON
No
No
No
Chou Associates Fund
ON
No
No
No
Chou Bond Fund
ON
No
No
No
Chou Europe Fund
ON
No
No
No
Chou RRSP Fund
ON
No
No
No
ChroMedX Corp.
ON
No
No
No
Chromex Nickel Mines Ltd.
BC
No
Yes
No
Chrysalis Capital IX Corporation
ON
No
No
No
CHS Resources Inc.
BC
No
No
No
Chuma Holdings, Inc.
BC
No
No
No
Churchill 10 Debenture Corp.
BC
No
No
No
Churchill 10 Real Estate Limited Partnership
BC
No
No
No
Churchill 11 Debenture Corp.
BC
No
No
No
Churchill 11 Real Estate Limited Partnership
BC
No
No
No
Churchill III Debenture Corp.
BC
No
No
No
Churchill III Real Estate Limited Partnership
BC
No
No
No
Churchill IV Debenture Corp.
BC
No
No
No
Churchill IV Real Estate Limited Partnership
BC
No
No
No
Churchill V Debenture Corp.
BC
No
No
No
Churchill V Real Estate Limited Partnership
BC
No
No
No
Chuska Resources Corp.
BC
No
Yes
No
CI Alpine Growth Equity Fund
ON
No
No
No
CI American Managers Corporate Class
ON
No
No
No
CI American Small Companies Corporate Class ON
No
No
No
CI American Small Companies Fund
ON
No
No
No
CI American Value Corporate Class
ON
No
No
No
CI American Value Fund
ON
No
No
No
CI Can-Am Small Cap Corporate Class
ON
No
No
No
CI Canadian Dividend Fund
ON
No
No
No
CI Canadian Investment Corporate Class
ON
No
No
No
CI Canadian Investment Fund
ON
No
No
No
CI Canadian Small/Mid Cap Fund
ON
No
No
No
Page 53 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
CI Financial Corp.
ON
No
No
No
CI G5|20 2038 Q3 Fund
ON
No
No
No
CI G5|20 2038 Q4 Fund
ON
No
No
No
CI G5|20 2039 Q1 Fund
ON
No
No
No
CI G5|20 2039 Q2 Fund
ON
No
No
No
CI G5|20 2039 Q3 Fund
ON
No
No
No
CI G5|20 2039 Q4 Fund
ON
No
No
No
CI G5|20 2040 Q1 Fund
ON
No
No
No
CI G5|20i 2034 Q2 Fund
ON
No
No
No
CI G5|20i 2034 Q3 Fund
ON
No
No
No
CI G5|20i 2034 Q4 Fund
ON
No
No
No
CI G5|20i 2035 Q1 Fund
ON
No
No
No
CI Global Corporate Class
ON
No
No
No
CI Global Fund
ON
No
No
No
CI Global Health Sciences Corporate Class
ON
No
No
No
CI Global High Dividend Advantage Corporate
Class
ON
No
No
No
CI Global High Dividend Advantage Fund
ON
No
No
No
CI Global Managers Corporate Class
ON
No
No
No
CI Global Small Companies Corporate Class
ON
No
No
No
CI Global Small Companies Fund
ON
No
No
No
CI Global Value Corporate Class
ON
No
No
No
CI Global Value Fund
ON
No
No
No
CI Income Fund
ON
No
No
No
CI International Value Corporate Class
ON
No
No
No
CI International Value Fund
ON
No
No
No
CI Investment Grade Bond Fund
ON
No
No
No
CI Investments Inc.
ON
No
No
No
CI Money Market Fund
ON
No
No
No
CI Pacific Corporate Class
ON
No
No
No
CI Pacific Fund
ON
No
No
No
CI Short-Term Advantage Corporate Class
ON
No
No
No
CI Short-Term Advantage Trust
ON
No
No
No
CI Short-Term Corporate Class
ON
No
No
No
CI Short-Term US$ Corporate Class
ON
No
No
No
CI U.S Equity Plus Fund
ON
No
No
No
CI US Money Market Fund
ON
No
No
No
CIBC Asia Pacific Fund
ON
No
No
No
CIBC Asia Pacific Index Fund
ON
No
No
No
CIBC Balanced Fund
ON
No
No
No
Page 54 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
CIBC Balanced Index Fund
ON
No
No
No
CIBC Canadian Bond Fund
ON
No
No
No
CIBC Canadian Bond Index Fund
ON
No
No
No
CIBC Canadian Equity Fund
ON
No
No
No
CIBC Canadian Equity Value Fund
ON
No
No
No
CIBC Canadian Index Fund
ON
No
No
No
CIBC Canadian Real Estate Fund
ON
No
No
No
CIBC Canadian Resources Fund
ON
No
No
No
CIBC Canadian Short-Term Bond Index Fund
ON
No
No
No
CIBC Canadian Small-Cap Fund
ON
No
No
No
CIBC Canadian T-Bill Fund
ON
No
No
No
CIBC Capital Trust
ON
No
No
No
CIBC Dividend Growth Fund
ON
No
No
No
CIBC Dividend Income Fund
ON
No
No
No
CIBC Emerging Markets Fund
ON
No
No
No
CIBC Emerging Markets Index Fund
ON
No
No
No
CIBC Energy Fund
ON
No
No
No
CIBC European Equity Fund
ON
No
No
No
CIBC European Index Fund
ON
No
No
No
CIBC Financial Companies Fund
ON
No
No
No
CIBC Global Bond Fund
ON
No
No
No
CIBC Global Bond Index Fund
ON
No
No
No
CIBC Global Equity Fund
ON
No
No
No
CIBC Global Monthly Income Fund
ON
No
No
No
CIBC Global Technology Fund
ON
No
No
No
CIBC International Equity Fund.
ON
No
No
No
CIBC International Index Fund
ON
No
No
No
CIBC International Small Companies Fund
ON
No
No
No
CIBC Latin American Fund
ON
No
No
No
CIBC Managed Aggressive Growth Portfolio
ON
No
No
No
CIBC Managed Balance Growth Portfolio
ON
No
No
No
CIBC Managed Balanced Portfolio
ON
No
No
No
CIBC Managed Growth Portfolio
ON
No
No
No
CIBC Managed Income Plus Portfolio
ON
No
No
No
CIBC Managed Income Portfolio
ON
No
No
No
CIBC Managed Monthly Income Balanced
Portfolio
ON
No
No
No
CIBC Money Market Fund
ON
No
No
No
CIBC Monthly Income Fund
ON
No
No
No
CIBC Nasdaq Index Fund
ON
No
No
No
Page 55 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
CIBC Precious Metals Fund
ON
No
No
No
CIBC Short-Term Income Fund
ON
No
No
No
CIBC U.S. Broad Market Index Fund
ON
No
No
No
CIBC U.S. Dollar Managed Balanced Portfolio
ON
No
No
No
CIBC U.S. Dollar Managed Growth Portfolio
ON
No
No
No
CIBC U.S. Dollar Managed Income Portfolio
ON
No
No
No
CIBC U.S. Dollar Money Market Fund
ON
No
No
No
CIBC U.S. Equity Fund
ON
No
No
No
CIBC U.S. Index Fund
ON
No
No
No
CIBC U.S. Small Companies Fund
ON
No
No
No
CIBT Education Group Inc.
BC
No
No
No
CIC Canola Industries Canada Inc.
ON
No
Yes
No
CIC Capital Ltd.
BC
No
Yes
No
Cicada Ventures Ltd.
BC
No
No
No
Cie-Nergy Ply-Foil Canada inc.
AB
No
Yes
No
Cielo Waste Solutions Corp.
BC
No
No
No
Cimatec Environmental Engineering Inc.
ON
No
Yes
No
Cineplex Inc.
ON
No
No
No
Cinnabar Resources Ltd.
BC
No
Yes
No
Cinram International Limited Partnership
ON
No
Yes
No
CINS Holding Corp.
BC
No
No
No
Cintech Solutions, Inc.
ON
No
Yes
No
Cipher Pharmaceuticals Inc.
ON
No
No
No
Circa Enterprises Inc.
AB
No
No
No
CIS Commax Hedge Fund
BC
No
Yes
No
CIS Global Telecommunications Fund
BC
No
Yes
No
Citadel Income Fund
ON
No
No
No
Citigroup Finance Canada Inc.
ON
No
No
No
Citrine Holdings Limited
BC
No
Yes
No
CityXpress Corp.
BC
No
Yes
No
CJL Capital Inc.
QC
No
Yes
No
Claim Post Resources Inc.
ON
No
No
No
ClareGold Trust
ON
No
No
No
Clarepine Industries Inc.
BC
No
Yes
No
Clarion Resources Ltd.
BC
No
Yes
No
Clarke Inc.
NS
No
No
No
Clarus Corporation
BC
No
Yes
No
Classic Education Savings Plan
ON
No
No
No
Classic Gold Resources Limited
BC
No
Yes
No
Claude Resources Inc.
SK
No
No
No
Page 56 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Claw Resources Ltd.
BC
No
Yes
No
Clay-Mill Technical Systems Inc.
BC
No
Yes
No
Clean Energy Combustion Systems, Inc.
BC
No
Yes
No
Clean Harbors, Inc.
AB
No
No
No
Clean Seed Capital Group Ltd.
BC
No
No
No
Clean Transportation Group Inc
BC
No
Yes
No
Cleanfield Alternative Energy Inc.
ON
No
Yes
No
Cleantech Capital Inc.
ON
No
No
No
Clear Gold Resources Inc.
BC
No
No
No
Clear Mountain Resources Corp.
BC
No
No
No
Clearant Inc.
BC
No
Yes
No
Clearford Water Systems Inc.
ON
No
No
No
Clearpoint Global Dividend Fund
ON
No
No
No
Clearview Resources Ltd.
AB
No
No
No
Clearwater Seafoods Incorporated
NS
No
No
No
Cleghorn Minerals Ltd.
QC
No
No
No
Clement Systems Inc.
AB
No
Yes
No
Clemex Technologies Inc.
QC
No
No
No
ClickStream Corporation
BC
No
Yes
No
Cliffmont Resources Ltd.
BC
No
No
No
Cliffside Capital Ltd.
ON
No
No
No
Clifton Mining Company
BC
No
Yes
No
Clifton Star Resources Inc.
BC
No
No
No
Cline Mining Corporation
ON
No
No
No
Clio Tools.com Ltd.
AB
No
Yes
No
Clipper Apartment Project
MB
No
No
No
CLN Ventures Inc
ON
No
Yes
No
Cluny Capital Corp.
ON
No
No
No
Clyde Resources Inc.
BC
No
Yes
No
Clydesdale Resources Inc.
AB
No
No
No
CMAC Computer Systems Ltd.
BC
No
Yes
No
CMC Metals Ltd.
BC
No
No
No
CMP 2013 Resource Limited Partnership
ON
No
No
No
CMP 2014 Resource Limited Partnership
ON
No
No
No
CMX Gold & Silver Corp.
AB
No
No
No
CNH Capital Canada Receivables Trust
ON
No
No
No
CNH Capital Canada Wholesale Trust
ON
No
No
No
CNI Computer Networks International Ltd.
BC
No
Yes
No
CNRP Mining Inc.
ON
No
No
No
Co-Operators General Insurance Company
ON
No
No
No
Page 57 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
CO2 Solutions Inc.
QC
No
No
No
Coach Hill Manor
BC
No
Yes
No
Coachman House Limited Partnership
MB
No
Yes
No
Coalspur Mines Limited
BC
No
No
No
Coast Range Resources Ltd.
BC
No
Yes
No
Coastal Gold Corp.
ON
No
No
No
Coastal Pacific Mining Corp.
AB
No
Yes
No
Coastal Plain Resources Ltd.
AB
No
Yes
No
Coastasia Enterprises Ltd.
BC
No
Yes
No
Cobalt Coal Ltd.
AB
No
Yes
No
Cobra Venture Corporation
BC
No
No
No
Code Navy
BC
No
Yes
No
Coded Communications Corporation
BC
No
Yes
No
Codrington Resource Corporation
BC
No
No
No
Coeur Mining, Inc.
ON
No
No
No
Cogeco Cable Inc.
QC
No
No
No
Cogeco Inc.
QC
No
No
No
Cogitore Resources Inc.
ON
No
No
No
Cognoscente Software International Inc.
BC
No
Yes
No
COHBAR, INC
BC
No
No
No
Colabor Group Inc.
QC
No
No
No
Colba.Net Telecom Inc.
QC
No
No
No
Colborne Centre I Limited Partnership
BC
No
Yes
No
Colborne South Limited Partnership
BC
No
Yes
No
Cold Creek Capital Inc.
AB
No
Yes
No
Colibri Resource Corporation
BC
No
No
No
Colombia Crest Gold Corp.
BC
No
No
No
Colombian Mines Corporation
BC
No
No
No
Colonial Coal International Corp.
BC
No
No
No
Colorado Resources Ltd.
BC
No
No
No
Colorfax International Inc.
BC
No
Yes
No
Colossus Minerals Inc.
ON
No
Yes
No
Colt Exploration ( Western ) Ltd.
BC
No
Yes
No
Colt Resources Inc.
QC
No
No
No
Columbia Leisure Corporation
BC
No
Yes
No
Columbus Copper Corporation
BC
No
No
No
Columbus Energy Limited
BC
No
No
No
Columbus Exploration Corporation
BC
No
No
No
Columbus Gold Corp.
BC
No
No
No
Columbus Networks Corporation
BC
No
Yes
No
Page 58 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
COM DEV International Ltd.
ON
No
No
No
Com-Air Containers (Canada) Inc.
BC
No
Yes
No
Comaplex Resources International Ltd.
BC
No
Yes
No
Comet Industries Ltd.
BC
No
No
No
Cominar Real Estate Investment Trust
QC
No
No
No
Commander Resources Ltd.
BC
No
No
No
Commerce Resources Corp.
BC
No
No
No
Commercial Consolidators Corp.
ON
No
Yes
No
Commercial Oil (And) Gas Ltd.
BC
No
Yes
No
Communication Intelligence Corporation
BC
No
No
No
Communicorp Corporation
ON
No
Yes
No
Compass Balanced Growth Portfolio
AB
No
No
No
Compass Balanced Portfolio
AB
No
No
No
Compass Conservative Balanced Portfolio
AB
No
No
No
Compass Conservative Portfolio
AB
No
No
No
Compass Gold Corporation
BC
No
No
No
Compass Growth Portfolio
AB
No
No
No
COMPASS Income Fund
AB
No
No
No
Compass Maximum Growth Portfolio
AB
No
No
No
Compleat Health Corporation
BC
No
Yes
No
Compliance Energy Corporation
BC
No
No
No
Compressario Corporation
ON
No
Yes
No
Compression & Encryption Technologies Inc.
AB
No
Yes
No
Computer Modelling Group Ltd.
AB
No
No
No
Comstock Metals Ltd.
BC
No
No
No
Comterm Inc.
BC
No
Yes
No
Con-Tech Industries Inc.
BC
No
Yes
No
Concert Industries Ltd.
QC
No
Yes
No
Concordia Healthcare Corp.
ON
No
No
No
Condor Petroleum Inc.
AB
No
No
No
Condor Resources Inc.
BC
No
No
No
Confederation Life Insurance Company
BC
No
Yes
No
Confederation Minerals Ltd.
BC
No
No
No
Conifex Timber Inc.
BC
No
No
No
Conjuchem Biotechnologies Inc.
QC
No
Yes
No
Conley Resources Corp.
BC
No
Yes
No
Connacher Oil and Gas Limited
AB
No
No
No
Conpak Seafoods Inc.
NF
No
Yes
No
Conquest Resources Limited
ON
No
No
No
Conservative Folio Fund
ON
No
No
No
Page 59 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Conservative Fund
ON
No
No
No
Conservative Monthly Income Fund
ON
No
No
No
Consil Corp.
BC
No
Yes
No
Consolidated Acorn Resources Ltd.
BC
No
Yes
No
Consolidated Advanced Ecology Corp.
BC
No
Yes
No
Consolidated Agarwal Resources Ltd.
BC
No
Yes
No
Consolidated Amhawk Enterprises Ltd.
BC
No
Yes
No
Consolidated Andex Resources Ltd.(N.P.L.)
BC
No
Yes
No
Consolidated Aston Resources Ltd.
BC
No
Yes
No
Consolidated Bahn Foods Inc.
BC
No
Yes
No
Consolidated Care Point Medical Centres Ltd.
BC
No
Yes
No
Consolidated Ecoprogress Technology Inc.
BC
No
Yes
No
Consolidated Firstfund Capital Corp.
BC
No
No
No
Consolidated Genco Industries Inc.
BC
No
Yes
No
Consolidated General Sea Harvest Corporation BC
No
Yes
No
Consolidated Golden Quail Resources Ltd.
BC
No
Yes
No
Consolidated Harlin Resources Limited
BC
No
Yes
No
Consolidated HCI Holdings Corporation
ON
No
No
No
Consolidated Indescor Corp.
BC
No
Yes
No
Consolidated Inland Recovery Group Ltd.
BC
No
Yes
No
Consolidated Lone Star Resource Corporation
BC
No
Yes
No
Consolidated Niche Peripherals Inc.
BC
No
Yes
No
Consolidated Nrd Resources Ltd.
BC
No
Yes
No
Consolidated Omab Enterprises Ltd.
BC
No
Yes
No
Consolidated Plentech Electronics Inc.
BC
No
Yes
No
Consolidated Power Battery Corporation
BC
No
Yes
No
Consolidated Rich Capital Corporation
BC
No
Yes
No
Consolidated Silver Tusk Mines Ltd.
BC
No
Yes
No
Consolidated Stone Industries Inc.
BC
No
Yes
No
Consolidated Tanager Limited
ON
No
No
No
Consolidated Trout Lake Mines Ltd.
BC
No
Yes
No
Consolidated Van Anda Gold Ltd.
BC
No
Yes
No
Consolidated Van-City Marble Ltd.
BC
No
Yes
No
Consolidated Westview Resource Corp.
AB
No
No
No
Consolidated Woodjam Copper Corp.
BC
No
No
No
Consolidated Yukon Minerals Corporation
BC
No
Yes
No
Constantine Metal Resources Ltd.
BC
No
No
No
Constellation Copper Corporation
ON
No
Yes
No
Constellation Software Inc.
ON
No
No
No
Contact Image Corporation
QC
No
Yes
No
Page 60 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Contact Minerals Corp.
BC
No
No
No
Contagious Gaming Inc.
BC
No
No
No
Contec Innovations Inc.
BC
No
Yes
No
Continental Datanet Inc.
BC
No
Yes
No
Continental Energy Corporation
BC
No
No
No
Continental Gold Limited
ON
No
No
No
Continental Home Healthcare Ltd.
BC
No
Yes
No
Continental Precious Minerals Inc.
ON
No
No
No
Control Energy Corp.
BC
No
Yes
No
Control Networks Corporation
BC
No
Yes
No
Convenience TV Inc.
BC
No
Yes
No
Conversion Industries Inc.
BC
No
Yes
No
Conway Resources Inc.
QC
No
Yes
No
Coopers Park Corporation
BC
No
No
No
Copacabana Capital Limited
BC
No
Yes
No
Copper Creek Gold Corp.
BC
No
No
No
Copper Fox Metals Inc.
AB
No
No
No
Copper Lake Resources Ltd.
BC
No
No
No
Copper Mesa Mining Corporation
BC
No
Yes
No
Copper Mountain Mining Corporation
BC
No
No
No
Copper North Mining Corp.
BC
No
No
No
Copper One Inc.
ON
No
No
No
Copper Point Mining Corp.
BC
No
No
No
Copper Reef Mining Corporation
MB
No
No
No
Copperbank Resources Corp.
BC
No
No
No
Coral Gold Resources Ltd.
BC
No
No
No
Corazon Gold Corp.
BC
No
No
No
Corby Spirit and Wine Limited
ON
No
No
No
Cordex Petroleums Inc.
BC
No
Yes
No
Cordoba Minerals Corp.
BC
No
No
No
Cordy Oilfield Services Inc.
AB
No
No
No
Core Canadian Dividend Trust
ON
No
No
No
CoreComm Solutions Inc.
BC
No
Yes
No
Corex Gold Corporation
BC
No
No
No
Cornerstone Capital Resources Inc.
AB
No
No
No
Cornerstone Industries International Inc.
BC
No
Yes
No
Cornerstone Metals Inc.
BC
No
No
No
Corning Resources Ltd.
BC
No
Yes
No
Coro Mining Corp.
BC
No
No
No
Corolla Resources Ltd.
BC
No
Yes
No
Page 61 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Corona Gold Corporation
ON
No
No
No
Coronado Resources Ltd.
BC
No
No
No
Coronet Metals Inc.
BC
No
No
No
Coronus Solar Inc.
BC
No
Yes
No
Corporate Bond Fund (Portico)
ON
No
No
No
Corporate Catalyst Acquisition Inc.
ON
No
No
No
Corridor Resources Inc.
NS
No
No
No
Corsa Coal Corp.
ON
No
No
No
Cortex Business Solutions Inc.
AB
No
No
No
Cortez Gold Corp.
BC
No
No
No
Corus Entertainment Inc.
ON
No
No
No
Corvus Gold Inc.
BC
No
No
No
Cosigo Resources Ltd.
BC
No
No
No
Cosmos Resources Inc.
BC
No
Yes
No
Cott Corporation
ON
No
No
No
Cougar Minerals Corp.
BC
No
No
No
Counsel All Equity Portfolio
ON
No
No
No
Counsel All Equity Portfolio Class
ON
No
No
No
Counsel Balanced Portfolio
ON
No
No
No
Counsel Balanced Portfolio Class
ON
No
No
No
Counsel Canadian Dividend
ON
No
No
No
Counsel Canadian Dividend Class
ON
No
No
No
Counsel Canadian Growth
ON
No
No
No
Counsel Canadian Growth Class
ON
No
No
No
Counsel Canadian Value
ON
No
No
No
Counsel Canadian Value Class
ON
No
No
No
Counsel Conservative Portfolio
ON
No
No
No
Counsel Conservative Portfolio Class
ON
No
No
No
Counsel Corporation
ON
No
No
No
Counsel Fixed Income
ON
No
No
No
Counsel Global Dividend
ON
No
No
No
Counsel Global Fixed Income
ON
No
No
No
Counsel Global Real Estate
ON
No
No
No
Counsel Global Small Cap
ON
No
No
No
Counsel Global Small Cap Class
ON
No
No
No
Counsel Global Trend Strategy
ON
No
No
No
Counsel Growth Portfolio
ON
No
No
No
Counsel Growth Portfolio Class
ON
No
No
No
Counsel High Yield Fixed Income
ON
No
No
No
Counsel Income Managed Portfolio
ON
No
No
No
Page 62 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Counsel International Growth
ON
No
No
No
Counsel International Growth Class
ON
No
No
No
Counsel International Value
ON
No
No
No
Counsel International Value Class
ON
No
No
No
Counsel Managed High Yield Portfolio
ON
No
No
No
Counsel Managed Portfolio
ON
No
No
No
Counsel Managed Yield Portfolio
ON
No
No
No
Counsel Money Market
ON
No
No
No
Counsel Regular Pay Portfolio
ON
No
No
No
Counsel Short Term Bond
ON
No
No
No
Counsel Short Term Fixed Income Class
ON
No
No
No
Counsel U.S. Growth
ON
No
No
No
Counsel U.S. Growth Class
ON
No
No
No
Counsel U.S. Value
ON
No
No
No
Counsel U.S. Value Class
ON
No
No
No
Counsel World Managed Portfolio
ON
No
No
No
CounterPath Corporation
BC
No
No
No
County Line Energy Corp
AB
No
Yes
No
Courtland Capital Inc.
AB
No
No
No
Courts Of St. James Phase I (1984) Limited
Partnership
BC
No
Yes
No
Covalon Technologies Ltd.
ON
No
No
No
Coventry Resources Inc.
BC
No
No
No
Coventry Ventures Inc.
BC
No
Yes
No
Covington Fund II Inc.
ON
No
No
No
Covington Venture Fund Inc.
ON
No
No
No
Coxe Commodity Strategy Fund
ON
No
No
No
Coxe Global Agribusiness Income Fund
ON
No
No
No
CPI Crown Properties International Corporation AB
No
Yes
No
CPI Plastics Group Limited
ON
No
Yes
No
CPSM, Inc.
BC
No
Yes
No
CRA Phase II Ltd.
BC
No
Yes
No
Crack Resources Ltd. ( N P L )
BC
No
Yes
No
Craig Wireless Systems Ltd.
ON
No
No
No
CRAiLAR Technologies Inc.
BC
No
No
No
Crazy Horse Resources Inc.
BC
No
No
No
CRC Royalty Corporation
BC
No
No
No
Creative Entertainment Technologies Inc.
BC
No
Yes
No
Creative Products Inc.
BC
No
Yes
No
Creator Capital Limited
BC
No
Yes
No
Page 63 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Credent Capital Corp.
BC
No
No
No
Credit Suisse AG
ON
No
No
No
Crescent Point Energy Corp.
AB
No
No
No
Crest Petroleum Corp.
BC
No
No
No
Crestwell Resources Inc.
BC
No
No
No
Cresval Capital Corp.
BC
No
No
No
Crew Energy Inc.
AB
No
No
No
CRH Medical Corporation
BC
No
No
No
Cricket Media Group Ltd.
AB
No
No
No
Cricket Resources Inc.
BC
No
No
No
Crimson Bioenergy Ltd.
BC
No
No
No
Critical Elements Corporation
QC
No
No
No
Critical Outcome Technologies Inc.
ON
No
No
No
CriticalControl Solutions Corp.
AB
No
No
No
Crius Energy Trust
ON
No
No
No
Crocodile Gold Corp.
ON
No
No
No
Crombie Real Estate Investment Trust
NS
No
No
No
Cromwell Resources Limited
AB
No
Yes
No
Cross Pacific Pearls Inc.
BC
No
Yes
No
Crosscreek Mining Corporation
BC
No
Yes
No
Crossfire Energy Services Inc.
AB
No
Yes
No
Crossroad Ventures Inc.
BC
No
No
No
Crosswinds Holdings Inc.
ON
No
No
No
Crown Mining Corp.
ON
No
No
No
Crown Point Energy Inc.
AB
No
No
No
Croydon Mercantile Corp.
BC
No
No
No
CRS Electronics Inc.
ON
No
No
No
CRS Preferred NT Ltd.
ON
No
Yes
No
Cryogas Engineering Ltd.
BC
No
Yes
No
Cryopak Industries Inc.
BC
No
Yes
Yes
Crystal Graphite Corporation
BC
No
Yes
No
Crystal Mountain Resources Ltd.
BC
No
Yes
No
Crystallex International Corporation
ON
No
Yes
No
CSCC Casino Software Corporation
BC
No
Yes
No
CT Developers Ltd.
ON
No
No
No
CT Real Estate Investment Trust
ON
No
No
No
Ctg Compression Technology Group Inc.
BC
No
Yes
No
CU Inc.
AB
No
No
No
Cub Energy Inc.
AB
No
No
No
Cubacan Exploration Inc.
AB
No
Yes
No
Page 64 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Cuervo Resources Inc.
ON
No
Yes
No
Cumo Resources Ltd.
BC
No
Yes
No
Cumulus Ventures Ltd.
BC
No
Yes
No
Curlew Lake Resources Inc.
BC
No
No
No
Curragh Inc.
BC
No
Yes
No
Currency Exchange International, Corp.
ON
No
No
No
Current Technology Corporation
BC
No
Yes
No
Currie Rose Resources Inc.
ON
No
No
No
Custom Cryogenic Grinding Corporation
ON
No
Yes
No
Cuvier Mines Inc.
BC
No
Yes
No
Cv Sportsmark International Inc.
BC
No
Yes
No
CVF Technologies Corporation
ON
No
Yes
No
CWB Core Equity Fund
AB
No
No
No
CWB Core Fixed Income Fund
AB
No
No
No
CWC Energy Services Corp.
AB
No
No
No
CWN Mining Acquisition Corporation
BC
No
No
No
CY Oriental Holdings Ltd.
BC
No
Yes
Yes
CyberCom Systems Inc.
BC
No
Yes
No
Cyberlink Technologies, Inc.
BC
No
Yes
No
Cybermesh International Corp
BC
No
Yes
No
Cybernet Internet Services International, Inc.
BC
No
No
No
Cybersurf Corp.
AB
No
Yes
Yes
Cycomm International Inc.
ON
No
Yes
No
Cygam Energy Inc.
AB
No
No
No
Cymat Technologies Ltd.
ON
No
No
No
Cymbria Corporation
ON
No
No
No
Cynapsus Therapeutics Inc.
ON
No
No
No
Cypress Development Corp.
BC
No
No
No
Cypress Hills Resource Corp.
BC
No
No
No
Cyprium Mining Corporation
QC
No
No
No
Cyprium Resources Inc.
BC
No
No
No
D-Box Technologies Inc.
QC
No
No
No
Dafrey Resources Inc.
BC
No
Yes
No
Dahava Resources Ltd.
AB
No
Yes
No
Daimler Resources Inc.
BC
No
Yes
No
Dajin Resources Corp.
BC
No
No
No
Dakon Metals Inc.
BC
No
Yes
No
Dakota Mining Corporation
BC
No
Yes
No
Dale Energy Corporation
BC
No
Yes
No
Daleco Resources Corporation
BC
No
Yes
No
Page 65 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Dalmac Energy Inc.
AB
No
No
No
Dalradian Resources Inc.
ON
No
No
No
Dalton Specialities Ltd.
BC
No
Yes
No
Damara Gold Corp.
BC
No
No
No
Damon Capital Corp.
BC
No
No
No
Danbel Ventures Inc.
ON
No
No
No
Danbus Magnetic Systems, Inc.
BC
No
Yes
No
Danco Industries Ltd.
BC
No
Yes
No
Danier Leather Inc.
ON
No
No
No
Danra Resources Limited
BC
No
Yes
No
Daren Industries Ltd.
BC
No
Yes
No
Darford International Inc.
BC
No
Yes
No
Darius Technology Ltd.
BC
No
Yes
No
Darnley Bay Resources Limited
ON
No
No
No
Dash Lake Resources Ltd.
BC
No
Yes
No
Dassen Gold Resources Ltd.
BC
No
Yes
No
Data Fortress Systems Group Ltd.
BC
No
Yes
No
Data Group Ltd.
ON
No
No
No
Dataminers Capital Corp.
BC
No
No
No
DataWind Inc.
ON
No
No
No
Datec Group Ltd.
AB
No
Yes
No
Datel Industries Inc.
BC
No
Yes
No
Datinvest International Ltd.
BC
No
No
No
Datum Ventures Inc.
BC
No
No
No
Davenport Resources Inc.
BC
No
Yes
No
David S. Reid Limited
ON
No
Yes
No
Davie Yards Inc.
QC
No
Yes
No
Davis Distributing Limited
BC
No
Yes
No
Davis-Keays Mining Ltd.
BC
No
Yes
No
Davnor Water Treatment Technologies Ltd.
AB
No
Yes
No
Dawson Eldorado Mines Ltd.
BC
No
Yes
No
Dawson Gold Corp.
BC
No
No
No
DayStar Technologies, Inc.
BC
No
Yes
No
DC Brands International Inc.
BC
No
Yes
No
DDJ High Yield Fund
ON
No
No
No
Dealnet Capital Corp.
ON
No
No
No
Dean Witter Cornerstone Funds II
BC
No
Yes
No
Dean Witter Cornerstone Funds III
BC
No
Yes
No
Dean Witter Cornerstone Funds IV
BC
No
Yes
No
Dean Witter Multi-Market Portfolio
BC
No
Yes
No
Page 66 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Deans Knight Income Corporation
BC
No
No
No
Decade Resources Ltd.
BC
No
No
No
Decisive Dividend Corporation
BC
No
No
No
Decker Resources Ltd.
BC
No
Yes
No
Declan Resources Inc.
BC
No
No
No
Decorstone Industries Inc.
BC
No
Yes
No
Deer Horn Capital Inc.
BC
No
No
No
Deer Ridge Village Limited Partnership
BC
No
Yes
No
Deer Valley Shopping Centre Limited
Partnership
MB
No
Yes
No
DeeThree Exploration Ltd.
AB
No
No
No
Defiance Silver Corp.
BC
No
No
No
Dejour Energy Inc.
BC
No
No
No
Delavaco Residential Properties Corp.
ON
No
No
No
Delbancor Industries Inc.
BC
No
Yes
No
Delicious Alternative Desserts Ltd.
AB
No
Yes
No
DelMar Pharmaceuticals, Inc.
BC
No
No
No
Deloro Resources Ltd.
BC
No
Yes
No
Delphi Energy Corp.
AB
No
No
No
Delrand Resources Limited
ON
No
No
No
Delta Gold Corporation
BC
No
No
No
Delta Montreal Hotel And Company, Limited
Partnership
BC
No
Yes
No
Delta Oil & Gas, Inc.
BC
No
No
No
Delta Systems, Inc.
ON
No
Yes
No
Delta Uranium Inc.
ON
No
Yes
No
Denbury Resources Inc.
AB
No
No
No
Denison Mines Corp.
ON
No
No
No
Denninghouse Inc.
ON
No
Yes
No
Dentonia Resources Ltd.
BC
No
Yes
No
Deploy Technologies Inc.
BC
No
No
No
DEQ Systems Corp.
QC
No
No
No
Descan Equipment Ltd.
BC
No
Yes
No
Desen Computer Industries Inc.
BC
No
Yes
No
Desert Eagle Resources Ltd.
ON
No
Yes
No
Desert Gold Ventures Inc.
BC
No
No
No
Desert Sands Resources Inc.
BC
No
Yes
No
Desert Star Resources Ltd.
BC
No
No
No
Deserving Health International Corp.
BC
No
No
No
Desjardins American Equity Growth Corporate
Class
QC
No
No
No
Page 67 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Desjardins American Equity Growth Fund
QC
No
No
No
Desjardins American Equity Value Fund
QC
No
No
No
Desjardins Canadian Bond Fund
QC
No
No
No
Desjardins Canadian Equity Growth Corporate
Class
QC
No
No
No
Desjardins Canadian Equity Growth Fund
QC
No
No
No
Desjardins Canadian Equity Income Corporate
QC
Class
No
No
No
Desjardins Canadian Equity Income Fund
QC
No
No
No
Desjardins Canadian Equity Value Corporate
Class
QC
No
No
No
Desjardins Canadian Equity Value Fund
QC
No
No
No
Desjardins Canadian Small Cap Equity Fund
QC
No
No
No
Desjardins Dividend Growth Corporate Class
QC
No
No
No
Desjardins Dividend Growth Fund
QC
No
No
No
Desjardins Dividend Income Fund
QC
No
No
No
Desjardins Emerging Markets Bond Fund
QC
No
No
No
Desjardins Emerging Markets Fund
QC
No
No
No
Desjardins Emerging Markets Opportunities
Corporate Class
QC
No
No
No
Desjardins Emerging Markets Opportunities
Fund
QC
No
No
No
Desjardins Enhanced Bond Fund
QC
No
No
No
Desjardins Environment Fund
QC
No
No
No
Desjardins Floating Rate Income Fund
QC
No
No
No
Desjardins Global All Cap Equity Fund
QC
No
No
No
Desjardins Global Corporate Bond Fund
QC
No
No
No
Desjardins Global Dividend Fund
QC
No
No
No
Desjardins Global Equity Growth Corporate
Class
QC
No
No
No
Desjardins Global Equity Growth Fund
QC
No
No
No
Desjardins Global Inflation Linked Bond Fund
QC
No
No
No
Desjardins Global Infrastructure Fund
QC
No
No
No
Desjardins Global Real Estate Fund
QC
No
No
No
Desjardins Global Small Cap Equity Corporate
Class
QC
No
No
No
Desjardins Global Small Cap Equity Fund
QC
No
No
No
Desjardins Global Tactical Bond Fund
QC
No
No
No
Desjardins IBrix Canadian Equity Focus
Corporate Class
QC
No
No
No
Desjardins IBrix Canadian Equity Focus Fund
QC
No
No
No
Page 68 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Default
CTO
Management
CTO
Desjardins IBrix Canadian High Dividend Equity
QC
Corporate Class
No
No
No
Desjardins IBrix Canadian High Dividend Equity
QC
Fund
No
No
No
Desjardins IBrix Global Equity Focus Fund
QC
No
No
No
Desjardins IBrix Low Volatility Global Equity
Fund
QC
No
No
No
Desjardins Money Market Corporate Class
QC
No
No
No
Desjardins Money Market Fund
QC
No
No
No
Desjardins Overseas Equity Growth Corporate
Class
QC
No
No
No
Desjardins Overseas Equity Growth Fund
QC
No
No
No
Desjardins Overseas Equity Value Fund
QC
No
No
No
Desjardins Quebec Balanced Fund
QC
No
No
No
Desjardins Short-Term Income Fund
QC
No
No
No
Desjardins Tactical Balanced Fund
QC
No
No
No
Desmarais Energy Corporation
AB
No
No
No
Desmond Investments Ltd.
BC
No
No
No
Destiny Media Technologies Inc.
BC
No
No
No
Detech Corporation
AB
No
Yes
No
Detector Exploration Ltd.
AB
No
No
No
Detour Gold Corporation
ON
No
No
No
Deutsche Bank Aktiengesellschaft
ON
No
No
No
Develcon Electronics Ltd.
BC
No
Yes
No
Deveron Resources Ltd.
ON
No
No
No
Devin Energy Corporation
BC
No
No
No
Devine Entertainment Corporation
ON
No
Yes
No
DevStudios International Inc.
AB
No
Yes
No
Dex-Ray Resources Inc
BC
No
Yes
No
Dexx Corporation
ON
No
Yes
No
Dexx Energy Corporation
BC
No
Yes
No
DFA Canadian Core Equity Fund
BC
No
No
No
DFA Canadian Vector Equity Fund
BC
No
No
No
DFA Five-Year Global Fixed Income Fund
BC
No
No
No
DFA Global 40EQ-60FI Portfolio
BC
No
No
No
DFA Global 50EQ-50FI Portfolio
BC
No
No
No
DFA Global 60EQ-40FI Portfolio
BC
No
No
No
DFA Global 70EQ-30FI Portfolio
BC
No
No
No
DFA Global 80EQ-20FI Portfolio
BC
No
No
No
DFA Global Equity Portfolio
BC
No
No
No
Issuer name
Principal
Page 69 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
DFA Global Investment Grade Fixed Income
Fund (formerly DFA Investment Grade Fixed
Income Fund)
BC
No
No
No
DFA Global Real Estate Securities Fund
BC
No
No
No
DFA International Core Equity Fund
BC
No
No
No
DFA International Vector Equity Fund
BC
No
No
No
DFA U.S. Core Equity Fund
BC
No
No
No
DFA U.S. Vector Equity Fund
BC
No
No
No
DGS Minerals Inc.
BC
No
Yes
No
DH Corporation
ON
No
No
No
DHX Media Ltd.
NS
No
No
No
Diadem Resources Ltd.
QC
No
Yes
No
Diaem Resources Ltd.
BC
No
Yes
No
Diagem Inc.
QC
No
Yes
No
Diagnocure Inc.
QC
No
No
No
Diagnos Inc.
QC
No
No
No
Diamante Minerals, Inc.
BC
No
No
No
Diamcor Mining Inc.
BC
No
No
No
DiaMedica Inc.
AB
No
No
No
Diamond Estates Wines & Spirits Inc.
ON
No
No
No
Diamond Fields International Ltd.
BC
Yes
No
No
Diamond Hawk Mining Corp.
AB
No
Yes
No
Diamond Hill Resources Ltd.
BC
No
Yes
No
Diana Resources Ltd.
BC
No
Yes
No
Dianor Resources Inc.
QC
No
Yes
No
Diatec Resources Ltd
BC
No
Yes
No
Diepdaume Mines Limited
BC
No
Yes
No
Difference Capital Financial Inc.
ON
No
No
No
Digagogo Ventures Corp.
BC
No
Yes
No
Digger Resources Inc.
AB
No
No
No
Digital Artisans Guild Inc.
AB
No
Yes
No
Digital Caddies, Inc.
BC
No
Yes
No
Digital Courier International Corporation
BC
No
Yes
No
Digital Duplication Inc.
ON
No
Yes
No
Digital Fusion Multimedia Corp.
BC
No
Yes
No
Digital Shelf Space Corp.
BC
No
No
No
Digital Youth Network Corp.
BC
No
Yes
No
Dimensions West Energy Inc.
BC
No
Yes
No
Dimples Group Inc.
BC
No
Yes
No
Dinnerex National III Limited Partnership
ON
No
Yes
No
Page 70 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Dinnerex National IV Limited Partnership
ON
No
Yes
No
Dion Entertainment Corp.
BC
No
Yes
No
Dios Exploration Inc.
QC
No
No
No
DIR Industrial Properties Inc.
ON
No
No
No
DirectCash Payments Inc.
AB
No
No
No
DIRTT Environmental Solutions Ltd.
AB
No
No
No
Disani Capital Corp.
BC
No
No
No
Discoverware Inc.
AB
No
Yes
No
Discovery 2012 Flow-Though Limited
Partnership
AB
No
No
No
Discovery 2013 Flow-Through Limited
Partnership
AB
No
No
No
Discovery 2014 Flow-Through Limited
Partnership
AB
No
No
No
Discovery Air Inc.
ON
No
No
No
Discovery Energy Corp.
BC
No
No
No
Discovery Gold Explorations Ltd.
BC
No
Yes
No
Discovery Harbour Resources Corp.
BC
No
No
No
Discovery Minerals Ltd.
BC
No
Yes
No
Discovery Technologies Corp.
BC
No
Yes
No
Discovery Ventures Inc.
BC
No
No
No
Discovery-Corp Enterprises Inc.
BC
No
No
No
Disenco Energy PLC
BC
No
Yes
No
Distinction Balanced Class
QC
No
No
No
Distinction Bold Class
QC
No
No
No
Distinction Conservative Class
QC
No
No
No
Distinction Growth Class
QC
No
No
No
Distinction Prudent Class
QC
No
No
No
Ditem Explorations Inc.
QC
No
No
No
Dittybase Technologies Inc.
BC
No
Yes
No
Divcom Lighting Inc.
QC
No
Yes
No
Divergent Energy Services Corp.
AB
No
No
No
Diversified Entertainment Inc.
BC
No
Yes
No
Diversified Investment Strategies Inc.
BC
No
Yes
No
Diversified Publishing Ltd.
BC
No
Yes
No
Diversified Royalty Corp.
BC
No
No
No
Divestco Inc.
AB
No
No
No
Dividend 15 Split Corp.
ON
No
No
No
Dividend 15 Split Corp. II
ON
No
No
No
Dividend Growth Split Corp.
ON
No
No
No
Dividend Select 15 Corp.
ON
No
No
No
Page 71 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Divot Golf Corporation
BC
No
Yes
No
Dixie Energy Trust
AB
No
No
No
Dixie Road Partnership
BC
No
Yes
No
Dizun International Enterprises Inc.
BC
No
No
No
DMD Digital Health Connections Group Inc.
QC
No
No
No
DMP Canadian Dividend Class
ON
No
No
No
DMP Canadian Value Class
ON
No
No
No
DMP Global Value Class
ON
No
No
No
DMP Power Canadian Growth Class
ON
No
No
No
DMP Power Global Growth Class
ON
No
No
No
DMP Resource Class
ON
No
No
No
DMP Value Balanced Class
ON
No
No
No
Dmr Resources Ltd.
AB
No
Yes
No
Dmx Inc.
BC
No
Yes
No
Dni Holdings Inc.
BC
No
Yes
No
DNI Metals Inc.
QC
No
No
No
Dollarama Inc.
QC
No
No
No
Dolly Varden Silver Corporation
BC
No
No
No
Doman Industries Limited
BC
No
Yes
No
Dominco Industries Corp.
BC
No
Yes
No
Dominelli Enterprises Inc.
BC
No
Yes
No
Domini Sportswear Ltd.
BC
No
Yes
No
Dominion Bridge Corporation
BC
No
Yes
No
Dominion Diamond Corporation
ON
No
No
No
Dominion Equity Resource Growth Class
AB
No
No
No
Dominion General Investment Corporation
ON
No
No
No
Dominion International Investments Inc.
AB
No
Yes
No
Dominovas Energy Corporation
BC
No
Yes
No
Domtar Corporation
QC
No
No
No
Donnex Resources Inc.
BC
No
Yes
No
Doreal Energy Corporation
BC
No
Yes
No
Dorel Industries Inc.
QC
No
No
No
Dorex Minerals Inc.
BC
No
No
No
Doromin Resources Ltd.
BC
No
Yes
No
DOT Resources Ltd.
AB
No
No
No
Double Crown Resources Inc.
BC
No
Yes
No
Double Eagle Entertainment Corp.
BC
No
Yes
No
DoubleLine Income Solutions Trust
ON
No
No
No
Doubleview Capital Corp.
BC
No
No
No
DoveCorp Enterprises Inc.
ON
No
Yes
No
Page 72 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Doxa Energy Ltd.
BC
No
No
No
DraftTeam Fantasy Sports Inc.
BC
No
No
No
Dragonfly Capital Corp.
BC
No
No
No
DragonWave Inc.
ON
No
No
No
Drake Energy Ltd.
AB
No
Yes
No
Dream Global Real Estate Investment Trust
ON
No
No
No
Dream Hard Asset Alternatives Trust
ON
No
No
No
Dream Industrial Real Estate Investment Trust
ON
No
No
No
Dream Office Real Estate Investment Trust
ON
No
No
No
DREAM Unlimited Corp.
ON
No
No
No
Dreamtec Inc.
BC
No
Yes
No
Dreyfus Fund Incorporated
QC
No
No
No
Drt Resources Ltd.
BC
No
Yes
No
Drucker, Inc.
BC
No
Yes
No
Drx, Inc.
BC
No
Yes
No
DSI Datotech Systems Inc.
BC
No
Yes
No
DTS8 Coffee Company, Ltd.
BC
No
No
No
Du-Well Resources Ltd.
BC
No
Yes
No
DualEx Energy International Inc.
AB
No
No
No
Duck Book Communications Limited
BC
No
Yes
No
Dueling Grounds Entertainment Corporation
BC
No
Yes
No
Duncan Gold Resources Inc.
BC
No
Yes
No
Duncan Park Holdings Corporation
ON
No
No
No
Duncastle Gold Corp.
BC
No
No
No
Dundarave Resources Inc.
BC
No
No
No
Dundee Corporation
ON
No
No
No
Dundee Energy Limited
ON
No
No
No
Dundee Precious Metals Inc.
ON
No
No
No
Dundee Sustainable Technologies Inc.
QC
No
No
No
Dunes Exploration Ltd.
AB
No
Yes
No
Dunn Mining Inc.
BC
No
No
No
Dunnedin Ventures Inc.
BC
No
No
No
Duran Ventures Inc.
ON
No
No
No
Durango Resources Inc.
BC
No
No
No
Duration Mines Ltd.
BC
No
Yes
No
DuSolo Fertilizers Inc.
BC
Yes
No
No
Dutch Creek Resources Ltd.
BC
No
Yes
No
DV Resources Ltd.
BC
No
No
No
Dvo Industries Ltd.
BC
No
Yes
No
DXStorm.com Inc.
ON
No
No
No
Page 73 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Dyna Gold Resources Inc.
BC
No
Yes
No
Dyna Haul Corp.
BC
No
Yes
No
dynaCERT Inc.
ON
No
No
No
Dynamar Energy Limited
BC
No
Yes
No
Dynamic Active Core Bond Private Pool
ON
No
No
No
Dynamic Active Credit Strategies Private Pool
ON
No
No
No
Dynamic Advantage Bond Class
ON
No
No
No
Dynamic Advantage Bond Fund
ON
No
No
No
Dynamic Alternative Investments Private Pool
Class
ON
No
No
No
Dynamic Alternative Yield Class
ON
No
No
No
Dynamic Alternative Yield Fund
ON
No
No
No
Dynamic American Value Class
ON
No
No
No
Dynamic American Value Fund
ON
No
No
No
Dynamic Asset Allocation Private Pool
ON
No
No
No
Dynamic Aurion Canadian Equity Class
ON
No
No
No
Dynamic Aurion Tactical Balanced Class
ON
No
No
No
Dynamic Aurion Total Return Bond Class
ON
No
No
No
Dynamic Aurion Total Return Bond Fund
ON
No
No
No
Dynamic Blue Chip Balanced Fund
ON
No
No
No
Dynamic Blue Chip Equity Fund
ON
No
No
No
Dynamic Blue Chip U.S. Balanced Class
ON
No
No
No
Dynamic Canadian Bond Fund
ON
No
No
No
Dynamic Canadian Dividend Fund
ON
No
No
No
Dynamic Canadian Equity Private Pool Class
ON
No
No
No
Dynamic Canadian Value Class
ON
No
No
No
Dynamic Corporate Bond Strategies Class
ON
No
No
No
Dynamic Corporate Bond Strategies Fund
ON
No
No
No
Dynamic Credit Spectrum Fund
ON
No
No
No
Dynamic Diversified Real Asset Fund
ON
No
No
No
Dynamic Dividend Advantage Class
ON
No
No
No
Dynamic Dividend Advantage Fund
ON
No
No
No
Dynamic Dividend Fund
ON
No
No
No
Dynamic Dividend Income Class
ON
No
No
No
Dynamic Dividend Income Fund
ON
No
No
No
Dynamic Dollar-Cost Averaging Fund
ON
No
No
No
Dynamic EAFE Value Class
ON
No
No
No
Dynamic Emerging Markets Class
ON
No
No
No
Dynamic Emerging Markets Fund
ON
No
No
No
Dynamic Energy Income Fund
ON
No
No
No
Page 74 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Dynamic Equity Income Fund
ON
No
No
No
Dynamic European Value Fund
ON
No
No
No
Dynamic Far East Value Fund
ON
No
No
No
Dynamic Financial Services Fund
ON
No
No
No
Dynamic Global Asset Allocation Class
ON
No
No
No
Dynamic Global Asset Allocation Fund
ON
No
No
No
Dynamic Global Balanced Fund
ON
No
No
No
Dynamic Global Discovery Class
ON
No
No
No
Dynamic Global Discovery Fund
ON
No
No
No
Dynamic Global Dividend Class
ON
No
No
No
Dynamic Global Dividend Fund
ON
No
No
No
Dynamic Global Equity Fund
ON
No
No
No
Dynamic Global Equity Private Pool Class
ON
No
No
No
Dynamic Global Infrastructure Fund
ON
No
No
No
Dynamic Global Real Estate Fund
ON
No
No
No
Dynamic Global Value Class
ON
No
No
No
Dynamic Global Value Fund
ON
No
No
No
Dynamic Global Yield Private Pool
ON
No
No
No
Dynamic Global Yield Private Pool Class
ON
No
No
No
Dynamic Gold Corp.
BC
No
No
No
Dynamic High Yield Bond Fund
ON
No
No
No
Dynamic Income Growth Opportunities Class
ON
No
No
No
Dynamic Investment Grade Floating Rate Fund ON
No
No
No
Dynamic Money Market Class
ON
No
No
No
Dynamic Money Market Fund
ON
No
No
No
Dynamic Oil & Gas Exploration Inc.
BC
No
No
No
Dynamic Power American Currency Neutral
Fund
ON
No
No
No
Dynamic Power American Growth Class
ON
No
No
No
Dynamic Power American Growth Fund
ON
No
No
No
Dynamic Power Balanced Class
ON
No
No
No
Dynamic Power Balanced Fund
ON
No
No
No
Dynamic Power Canadian Growth Class
ON
No
No
No
Dynamic Power Canadian Growth Fund
ON
No
No
No
Dynamic Power Global Balanced Class
ON
No
No
No
Dynamic Power Global Growth Class
ON
No
No
No
Dynamic Power Global Growth Fund
ON
No
No
No
Dynamic Power Global Navigator Class
ON
No
No
No
Dynamic Power Managed Growth Class
ON
No
No
No
Dynamic Power Small Cap Fund
ON
No
No
No
Page 75 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Dynamic Precious Metals Fund
ON
No
No
No
Dynamic Preferred Yield Class
ON
No
No
No
Dynamic Premium Yield Fund
ON
No
No
No
Dynamic Protected Dividend Value Fund
ON
No
No
No
Dynamic Protected Global Value Fund
ON
No
No
No
Dynamic Real Return Bond Fund
ON
No
No
No
Dynamic Resource Fund
ON
No
No
No
Dynamic Short Term Bond Fund
ON
No
No
No
Dynamic Small Business Fund
ON
No
No
No
Dynamic Strategic Bond Fund
ON
No
No
No
Dynamic Strategic Energy Class
ON
No
No
No
Dynamic Strategic Gold Class
ON
No
No
No
Dynamic Strategic Growth Portfolio
ON
No
No
No
Dynamic Strategic Income Portfolio
ON
No
No
No
Dynamic Strategic Resource Class
ON
No
No
No
Dynamic Strategic Yield Class
ON
No
No
No
Dynamic Strategic Yield Fund
ON
No
No
No
Dynamic U.S. Dividend Advantage Fund
ON
No
No
No
Dynamic U.S. Equity Private Pool Class
ON
No
No
No
Dynamic U.S. Sector Focus Class
ON
No
No
No
Dynamic U.S. Value Balanced Fund
ON
No
No
No
Dynamic Value Balanced Class
ON
No
No
No
Dynamic Value Balanced Fund
ON
No
No
No
Dynamic Value Fund of Canada
ON
No
No
No
DynamicEdge 2020 Class Portfolio
ON
No
No
No
DynamicEdge 2020 Portfolio
ON
No
No
No
DynamicEdge 2025 Class Portfolio
ON
No
No
No
DynamicEdge 2025 Portfolio
ON
No
No
No
DynamicEdge 2030 Class Portfolio
ON
No
No
No
DynamicEdge 2030 Portfolio
ON
No
No
No
DynamicEdge Balanced Class Portfolio
ON
No
No
No
DynamicEdge Balanced Growth Class Portfolio ON
No
No
No
DynamicEdge Balanced Growth Portfolio
ON
No
No
No
DynamicEdge Balanced Portfolio
ON
No
No
No
DynamicEdge Conservative Class Portfolio
ON
No
No
No
DynamicEdge Defensive Portfolio
ON
No
No
No
DynamicEdge Equity Class Portfolio
ON
No
No
No
DynamicEdge Equity Portfolio
ON
No
No
No
DynamicEdge Growth Class Portfolio
ON
No
No
No
DynamicEdge Growth Portfolio
ON
No
No
No
Page 76 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Dynamix Corporation
AB
No
Yes
No
Dynamo Resources Ltd.
BC
No
Yes
No
Dynamotive Energy Systems Corporation
BC
No
Yes
No
DynaResource, Inc.
BC
No
No
No
Dynastar Inc.
AB
No
Yes
No
Dynasty Gold Corp.
BC
No
No
No
Dynasty Metals & Mining Inc.
BC
No
No
No
Dynatronics Corporation
BC
No
Yes
No
Dynex Petroleum Ltd.
BC
No
Yes
No
Dynex Power Inc.
ON
No
No
No
Dyonix Greentree Technologies Inc.
BC
No
Yes
No
E*Trade Financial Corporation
QC
No
No
No
E-Debit Global Corporation
AB
No
Yes
No
E-Energy Ventures Inc.
BC
No
No
No
E-L Financial Corporation Limited
ON
No
No
No
E-Manufacturing Networks Inc.
ON
No
Yes
No
e-Phoria Online Systems Inc.
BC
No
Yes
No
E.P.A. Enterprises Inc.
BC
No
Yes
No
E.S.I. Environmental Sensors Inc.
BC
No
No
No
E.T. Canada Inc.
BC
No
Yes
No
EAFE Equity Fund
ON
No
No
No
Eagle Credit Card Trust
ON
No
No
No
Eagle Energy Trust
AB
No
No
No
Eagle Graphite Incorporated
ON
No
No
No
Eagle Hill Exploration Corporation
BC
No
No
No
Eagle I Capital Corporation
BC
No
Yes
No
Eagle Plains Resources Ltd.
BC
No
No
No
Eaglet Mines Limited
BC
No
Yes
No
Earl Resources Limited
BC
No
No
No
Earlyrain Inc.
AB
No
Yes
No
Earny Resources Ltd.
BC
No
No
No
Earthworks Industries Inc.
BC
No
No
No
East Africa Metals Inc.
BC
No
No
No
East Asia Minerals Corporation
BC
Yes
No
No
East Coast Investment Grade Income Fund
ON
No
No
No
East West Petroleum Corp.
BC
No
No
No
EastCoal Inc.
BC
No
No
No
Eastern Lights Resources Ltd.
BC
No
Yes
No
Eastern Platinum Limited
BC
No
No
No
Eastfield Resources Ltd.
BC
No
No
No
Page 77 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Eastmin Resources Inc.
BC
No
Yes
No
Easton Minerals Ltd.
BC
No
Yes
No
EastSiberian Plc
AB
No
No
No
EastWest Gold Corporation
ON
No
No
No
Eastwood Bio-Medical Canada Inc.
BC
No
No
No
Easy ESL Publishing Inc.
BC
No
Yes
No
Easy Street Adventures Inc.
BC
No
Yes
No
easyhome Ltd.
ON
No
No
No
Easymed Technologies Inc.
BC
No
No
No
Eaton Capital Corporation
BC
No
Yes
No
Echelon Capital Corporation
ON
No
Yes
No
Echelon Petroleum Corp.
BC
No
No
No
Echo Energy Canada Inc.
ON
No
Yes
No
ECL EnviroClean Ventures Ltd.
BC
No
Yes
No
Eclipse Mining Corporation
BC
No
Yes
No
Eclipse Residential Mortgage Investment
Corporation
ON
No
No
No
Eco (Atlantic) Oil & Gas Ltd.
ON
No
No
No
Eco Oro Minerals Corp.
BC
No
No
No
Eco Technologies International Inc.
ON
No
Yes
No
Eco-Trade Corp.
BC
No
Yes
No
Ecometals Limited
BC
No
Yes
Yes
Ecos Resources Ltd.
BC
No
Yes
No
Ecosse Energy Corp.
ON
No
Yes
No
EcoSynthetix Inc.
ON
No
No
No
ecoTECH Energy Group Inc.
BC
No
Yes
No
eCrypt Technologies, Inc.
BC
No
No
No
Ecuador Gold and Copper Corp.
ON
No
No
No
Eden Energy Corp.
BC
No
Yes
No
Eden Resources Ltd.
BC
No
Yes
No
Edge Resources Inc.
AB
No
No
No
Edgefront Real Estate Investment Trust
AB
No
No
No
Edgemont Mining Inc.
BC
No
Yes
No
Edgemont Resources Corp.
BC
No
Yes
No
EdgePoint Canadian Growth & Income Portfolio ON
No
No
No
EdgePoint Canadian Portfolio
ON
No
No
No
EdgePoint Global Growth & Income Portfolio
ON
No
No
No
EdgePoint Global Portfolio
ON
No
No
No
Edgewater Exploration Ltd.
BC
No
No
No
Edgewater Wireless Systems Inc.
BC
No
No
No
Page 78 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Educational Acquisitions Corporation
BC
No
Yes
No
Educators Balanced Fund
ON
No
No
No
Educators Bond Fund
ON
No
No
No
Educators Dividend Fund
ON
No
No
No
Educators Growth Fund
ON
No
No
No
Educators Money Market Fund
ON
No
No
No
Educators Monthly Income Fund
ON
No
No
No
Educators Mortgage & Income Fund
ON
No
No
No
Educators North American Diversified Fund
ON
No
No
No
EFLO Energy, Inc.
AB
No
No
No
EFT Canada Inc.
ON
No
No
No
eFunds Bloomberg U.S. Internet Index Fund
ON
No
Yes
No
EGI Financial Holdings Inc.
ON
No
No
No
Eguana Technologies Inc.
AB
No
No
No
EGX Group Inc.
BC
No
Yes
No
EI Environmental Engineering Concepts Ltd.
BC
No
Yes
No
Eight Solutions Inc.
BC
No
No
No
El Condor Minerals Inc.
BC
No
No
No
El Dorado Systems ( Canada ) Inc.
BC
No
Yes
No
El Nino Ventures Inc.
BC
No
No
No
El Tigre Silver Corp.
BC
No
No
No
Elcora Resources Corp.
NS
No
No
No
Elder Technologies Ltd.
BC
No
Yes
No
Eldorado Gold Corporation
BC
No
No
No
Electra Stone Ltd.
BC
No
No
No
Electric-Spin Ltd.
ON
No
Yes
No
Electronic Cigarettes International Group, Ltd.
BC
No
No
No
Electrotest Engineering Corporation
BC
No
Yes
No
Electrovaya Inc.
ON
No
No
No
Elegance Business Corporation
BC
No
Yes
No
Elektra Power Inc.
BC
No
Yes
No
Element 79 Capital Inc.
QC
No
No
No
Element Financial Corporation
ON
No
No
No
Eletel Inc.
BC
No
Yes
No
Elevation Capital Corp.
BC
No
No
No
Elissa Resources Ltd.
BC
No
No
No
Elite Capital Ltd.
BC
No
Yes
No
Elite Technical Inc.
AB
No
Yes
No
Elkwater Resources Ltd.
AB
No
No
No
Eloro Resources Ltd.
ON
No
No
No
Page 79 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Eltron Energy Corporation
BC
No
Yes
No
Ely Gold & Minerals Inc.
BC
No
No
No
EmberClear Corp.
AB
No
No
No
EMED Mining Public Limited
ON
No
No
No
Emera Incorporated
NS
No
No
No
Emerald Bay Energy Inc.
AB
No
No
No
Emerald Dragon Mines Inc.
BC
No
Yes
No
Emerald Isle Resources Inc.
BC
No
Yes
No
Emercor Building Systems Ltd.
AB
No
Yes
No
Emerge Resources Corp.
BC
No
No
No
EmerGeo Solutions Worldwide Inc.
BC
No
Yes
No
Emerging Markets Equity Corporate Class
ON
No
No
No
Emerging Markets Equity Fund
ON
No
No
No
Emerging Markets Equity Pool
ON
No
No
No
Emerita Resources Corp.
ON
No
No
No
Emgold Mining Corporation
BC
No
No
No
Emperor Oil Ltd.
AB
No
No
No
Empire Company Limited
NS
No
No
No
Empire Energy Corporation
AB
No
Yes
No
Empire Exchangeco Ltd.
BC
No
Yes
No
Empire Gold Resources Ltd.
BC
No
Yes
No
Empire Industries Ltd.
AB
No
No
No
Empire Life Canadian Equity Mutual Fund
ON
No
No
No
Empire Life Dividend Growth Mutual Fund
ON
No
No
No
Empire Life Emblem Aggressive Growth
Portfolio
ON
No
No
No
Empire Life Emblem Balanced Portfolio
ON
No
No
No
Empire Life Emblem Conservative Portfolio
ON
No
No
No
Empire Life Emblem Diversified Income
Portfolio
ON
No
No
No
Empire Life Emblem Growth Portfolio
ON
No
No
No
Empire Life Emblem Moderate Growth Portfolio ON
No
No
No
Empire Life Money Market Mutual Fund
ON
No
No
No
Empire Life Monthly Income Mutual Fund
ON
No
No
No
Empire Life Small Cap Equity Mutual Fund
ON
No
No
No
Empirical Inc.
ON
No
Yes
No
Empower Technologies Corporation
BC
No
No
No
EMR Microwave Technology Corporation
AB
No
Yes
No
Ems Systems Ltd.
BC
No
Yes
No
Enablence Technologies Inc.
ON
No
No
No
Page 80 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
eNblast productions inc.
ON
No
Yes
No
Enbridge Gas Distribution Inc.
ON
No
No
No
Enbridge Inc.
AB
No
No
No
Enbridge Income Fund
AB
No
No
No
Enbridge Income Fund Holdings Inc.
AB
No
No
No
Enbridge Pipelines Inc.
AB
No
No
No
EnCana Corporation
AB
No
No
No
EnCana Holdings Finance Corp.
AB
No
No
No
Encanto Potash Corp.
BC
No
No
No
enCore Energy Corp.
BC
No
No
No
Encore Products Inc.
BC
No
Yes
No
Encountercare Solutions, Inc.
BC
No
Yes
No
Endeavour Mining Corporation
BC
No
No
No
Endeavour Silver Corp.
BC
No
No
No
Endo International plc
QC
No
No
No
Endurance Gold Corporation
BC
No
No
No
EnerCare Inc.
ON
No
No
No
EnerCare Solutions Inc.
ON
No
No
No
Enerdynamic Hybrid Technologies Corp.
ON
No
No
No
Enerflex Ltd.
AB
No
No
No
Energas Resources Inc.
BC
No
Yes
No
Energem Resources Inc.
BC
No
Yes
No
Energex Minerals Ltd.
BC
No
Yes
No
Energizer Resources, Inc.
ON
No
No
No
Energold Drilling Corp.
BC
No
No
No
Energulf Resources Inc.
BC
No
No
No
Energy Fuels Inc.
ON
No
No
No
Energy Income Fund
ON
No
No
No
ENERGY INDEXPLUS Dividend Fund
AB
No
No
No
Energy Leaders Income Fund
ON
No
No
No
Energy Leaders Plus Income Fund
ON
No
No
No
Enernorth Industries Inc.
ON
No
Yes
No
Enerplus Corporation
AB
No
No
No
Enershare Technology Corporation
BC
No
Yes
No
Enerteck Energy Technologies Corporation
BC
No
Yes
No
Enertopia Corp.
BC
No
No
No
EnerVest Natural Resource Fund Ltd.
AB
No
No
No
Enfield Exploration Corp.
BC
No
No
No
Engagement Labs Inc.
QC
No
No
No
Engineer Mining Corp.
BC
No
Yes
No
Page 81 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Enhanced Income Corporate Class
ON
No
No
No
Enhanced Income Pool
ON
No
No
No
Enhanced Oil Resources Inc.
BC
No
No
No
Enpar Technologies Inc.
ON
No
No
No
Enquest Energy Services Corp.
AB
No
Yes
No
EnQuest PLC
AB
No
No
No
Enrich Ventures Ltd.
BC
No
Yes
No
Enseco Energy Services Corp.
AB
No
No
No
Ensign Energy Services Inc.
AB
No
No
No
Enssolutions Group Inc.
ON
No
No
No
Entercor Resource Corp.
BC
No
Yes
No
Enterprise Group, Inc.
AB
No
No
No
Enterra Communications Inc.
ON
No
Yes
No
Entertainment Royalties Inc.
ON
No
Yes
No
Entourage Metals Ltd.
BC
No
No
No
Entourage Mining Ltd.
BC
No
Yes
No
ENTREC Corporation.
AB
No
No
No
Entrée Gold Inc.
BC
No
No
No
Envipco Canada Western Inc.
BC
No
Yes
No
Enviro Waste Corporation And Enviro Waste
Limited Partnership
BC
No
Yes
No
Environmental Control Corp.
BC
No
Yes
No
Environmental Reclamation Inc.
ON
No
Yes
No
Environmental Risk Holdings, Inc.
BC
No
Yes
No
Environmental Waste International Inc.
ON
No
No
No
Enviropro International Inc.
BC
No
Yes
No
EnviroResolutions, Inc.
BC
No
Yes
No
EnWave Corporation
BC
No
No
No
eOptimize Advanced Systems Inc.
BC
No
Yes
No
EP 2000 Conservation Inc.
QC
No
Yes
No
EPCOR Utilities Inc.
AB
No
No
No
ePhone Telecom, Inc.
AB
No
Yes
No
Epic Energy Inc.
AB
No
Yes
No
Epic Fusion Corp.
BC
No
No
No
Epicore BioNetworks Inc.
AB
No
No
No
Epicure Food Products, Inc.
BC
No
Yes
No
EPM Mining Ventures Inc.
ON
No
No
No
Epoch European Equity Fund
ON
No
No
No
Epoch Global Equity Class
ON
No
No
No
Epoch Global Equity Fund
ON
No
No
No
Page 82 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Epoch Global Shareholder Yield Fund
ON
No
No
No
Epoch International Equity Fund
ON
No
No
No
Epoch U.S. Large-Cap Value Class
ON
No
No
No
Epoch U.S. Large-Cap Value Fund
ON
No
No
No
Epoch U.S. Shareholder Yield Fund
ON
No
No
No
Eppeal Industries Inc.
BC
No
Yes
No
Epping Realty Corporation
BC
No
Yes
No
Eps Essential Planning Systems Ltd.
BC
No
Yes
No
Epsilon Energy Ltd.
AB
No
No
No
EQ Inc.
ON
No
No
No
Equal Energy Ltd.
AB
No
No
No
Equess Communications Inc.
AB
No
Yes
No
Equi Ventures Incorporated
BC
No
Yes
No
Equitable Group Inc.
ON
No
No
No
Equitas Resources Corp.
BC
No
No
No
Equitech Corporation
AB
No
Yes
No
Equitorial Exploration Corp.
BC
No
No
No
Equity Financial Holdings Inc.
ON
No
No
No
Erdene Resource Development Corporation
NS
No
No
No
Ergoresearch Ltd.
QC
No
No
No
Erickson Tower Limited Partnership
BC
No
Yes
No
Erin Ventures Inc.
BC
No
No
No
Ermineskin Place Limited Partnership
BC
No
Yes
No
Erra Resources 1990 Exploration And
Development Limited Partnership
BC
No
Yes
No
eShippers Management Ltd.
BC
No
No
No
Eskay Mining Corp.
ON
No
No
No
Esmeralda Exploration Inc.
BC
No
Yes
No
Espial Group Inc.
ON
No
No
No
Esrey Energy Ltd.
BC
No
No
No
ESSA Pharma Inc.
BC
No
No
No
Essential Energy Services Ltd.
AB
No
No
No
Essential Innovations Technology Corp.
BC
No
Yes
No
Essex Angel Capital Inc.
ON
No
No
No
Esstra Industries Inc.
AB
No
No
No
eStation Network Services, Inc.
ON
No
Yes
No
Estec Systems Corp.
AB
No
No
No
Estrella Gold Corporation
BC
No
No
No
Estrella International Energy Services Ltd.
AB
No
No
No
Etac Sales Ltd.
BC
No
Yes
No
Page 83 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Eternity Healthcare Inc
BC
No
No
No
Ethical International Equity Fund
ON
No
No
No
Ethos Gold Corp.
BC
No
No
No
Etrion Corporation
BC
No
No
No
Ets International Inc.
BC
No
Yes
No
Eurasian Minerals Inc.
BC
No
No
No
Eureka Resources, Inc.
BC
No
No
No
Euro Banc Capital Securities Trust
ON
No
No
No
EURO Ressources S.A.
ON
No
No
No
Euro-Net Investments Ltd.
ON
No
Yes
No
Eurocontrol Technics Group Inc.
AB
No
No
No
Eurogas International Inc.
ON
No
No
No
EurOmax Resources Ltd.
BC
No
No
No
Europe Blue-Chip Dividend & Growth Fund
ON
No
No
No
European Ferro Metals Ltd.
BC
No
No
No
European Metals Corp.
ON
No
No
No
European Original New York Seltzer
BC
No
Yes
No
European Strategic Balanced Fund
ON
No
No
No
European Technologies International Inc.
AB
No
Yes
No
European Uranium Resources Ltd.
BC
No
No
No
Europrime Capital Corporation
BC
No
Yes
No
Eurotin Inc.
ON
No
No
No
Eurus Resource Corp.
BC
No
Yes
No
Even Technologies Inc.
BC
No
Yes
No
Everbright Capital Corporation
ON
No
Yes
No
Everfront Ventures Corp.
ON
No
No
No
Evergreen Gaming Corporation
BC
No
No
No
Evergreen-Agra, Inc.
BC
No
Yes
No
Evermount Ventures Inc.
BC
No
No
No
Everton Resources Inc.
QC
No
No
No
Evertz Technologies Limited
ON
No
No
No
Evolved Digital Systems Inc.
QC
No
Yes
No
Evolving Gold Corp.
BC
No
No
No
Evrim Resources Corp.
BC
No
No
No
Exall Energy Corporation
AB
No
No
No
Excalibur Energy Corporation
BC
No
Yes
No
Excalibur Resources Ltd.
ON
No
No
No
Excam Developments Inc.
BC
No
Yes
No
Excel Blue Chip Balanced Fund
ON
No
No
No
Excel Blue Chip Equity Fund
ON
No
No
No
Page 84 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Excel BRIC Fund
ON
No
No
No
Excel China Fund
ON
No
No
No
Excel Chindia Fund
ON
No
No
No
Excel Emerging Europe Fund
ON
No
No
No
Excel Emerging Markets Fund
ON
No
No
No
Excel Gold Mining Inc.
QC
No
Yes
No
Excel High Income Fund
ON
No
No
No
Excel India Fund
ON
No
No
No
Excel Latin America Bond Fund
ON
No
No
No
Excel Latin America Bond Fund II
ON
No
No
No
Excel Latin America Fund
ON
No
No
No
Excel Money Market Fund
ON
No
No
No
Excellon Resources Inc.
ON
No
No
No
Excelsior Mining Corp.
BC
No
No
No
Exchange Income Corporation
MB
No
No
No
Exclamation Investments Corporation
ON
No
No
No
Exco Energy Ltd.
BC
No
Yes
No
Exco Technologies Limited
ON
No
No
No
Exeltech Aerospace Inc.
QC
No
Yes
No
Exemplar Canadian Focus Portfolio
ON
No
No
No
Exemplar Diversified Portfolio
ON
No
No
No
Exemplar Investment Grade Fund
ON
No
No
No
Exemplar Leaders Fund
ON
No
No
No
Exemplar Performance Fund
ON
No
No
No
Exemplar Tactical Corporate Bond Fund
ON
No
No
No
Exemplar Yield Fund
ON
No
No
No
Exeter Mining Inc.
BC
No
Yes
No
Exeter Resource Corporation
BC
No
No
No
EXFO Inc.
QC
No
No
No
ExGen Resources Inc.
AB
No
No
No
Exito Energy II Inc.
AB
No
No
No
EXO U Inc.
QC
No
No
No
Expedition Mining Inc.
BC
No
No
No
Experience Art and Design, Inc.
BC
No
Yes
No
Explor Resources Inc.
QC
No
No
No
Exploration Aurtois Inc.
QC
No
Yes
No
Exploration NQ inc.
QC
No
No
No
Explorers Alliance Corporation
ON
No
Yes
No
Explorex Resources Inc.
BC
No
No
No
Export Tyre Holding Co.
BC
No
Yes
No
Page 85 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Extendicare Inc.
ON
No
No
No
Extenway Solutions Inc.
QC
No
No
No
Eyelogic Systems Inc.
AB
No
No
No
Eyetel Technologies
BC
No
Yes
No
EYI Industries Inc.
BC
No
Yes
No
Fab-Form Industries Ltd.
BC
No
No
No
Fair Sky Resources Inc.
AB
No
Yes
No
Faircourt Gold Income Corp.
ON
No
No
No
Faircourt Split Trust
ON
No
No
No
Fairfax Financial Holdings Limited
ON
No
No
No
Fairfax India Holdings Corporation
ON
No
No
No
Fairlady Energy Inc.
ON
No
Yes
No
Fairmile GoldTech Inc.
BC
No
Yes
No
Fairmont Resources Inc.
BC
No
No
No
Fairway Capital Partners 1990 And Company,
Limited Partnership
BC
No
Yes
No
FairWest Energy Corporation
AB
No
Yes
No
Falco Resources Ltd.
BC
No
No
No
Falcon Gold Corp.
BC
No
No
No
Falcon Oil & Gas Ltd.
BC
No
No
No
Falconridge Estates Limited Partnership
BC
No
Yes
No
FAM Real Estate Investment Trust
ON
No
No
No
Family Group Education Savings Plan
ON
No
No
No
Family Memorials Inc.
ON
No
No
No
Family Single Student Education Savings Plan
ON
No
No
No
Fancamp Exploration Ltd.
BC
No
No
No
Fantom Technologies Inc.
ON
No
Yes
No
Far Resources Ltd.
BC
No
No
No
Faraway Gold Mines Ltd.
BC
No
Yes
No
Fareport Capital Inc.
ON
No
Yes
No
Fas International Limited
AB
No
Yes
No
Fastlane International Enterprises Inc.
BC
No
Yes
No
Faxmate.com Inc.
AB
No
Yes
No
FEC Resources Inc.
AB
No
No
No
Fennec Pharmaceuticals Inc.
ON
No
No
No
Fenway International Inc.
BC
No
Yes
No
Fenway Resources Ltd.
BC
No
Yes
No
Ferber Mining Corp.
BC
No
Yes
No
Feronia Inc.
ON
No
No
No
Ferrum Americas Mining Inc.
ON
No
No
No
Page 86 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Fibre-Crown Manufacturing Inc.
BC
No
No
No
Fibresources Corporation
BC
No
Yes
Yes
Fidelity American Disciplined Equity Class
ON
No
No
No
Fidelity American Disciplined Equity Currency
Neutral Class
ON
No
No
No
Fidelity American Disciplined Equity Currency
Neutral Fund
ON
No
No
No
Fidelity American Disciplined Equity Fund
ON
No
No
No
Fidelity American Equity Class
ON
No
No
No
Fidelity American Equity Currency Neutral
Class
ON
No
No
No
Fidelity American Equity Fund
ON
No
No
No
Fidelity American High Yield Currency Neutral
Fund
ON
No
No
No
Fidelity American High Yield Fund
ON
No
No
No
Fidelity American Opportunities Class
ON
No
No
No
Fidelity American Opportunities Fund
ON
No
No
No
Fidelity Asia Pacific Fund
ON
No
No
No
Fidelity AsiaStar Class
ON
No
No
No
Fidelity Asset Allocation Currency Neutral
Private Pool
ON
No
No
No
Fidelity Asset Allocation Private Pool
ON
No
No
No
Fidelity Balanced Class Portfolio
ON
No
No
No
Fidelity Balanced Currency Neutral Private Pool ON
No
No
No
Fidelity Balanced Income Currency Neutral
Private Pool
ON
No
No
No
Fidelity Balanced Income Private Pool
ON
No
No
No
Fidelity Balanced Portfolio
ON
No
No
No
Fidelity Balanced Private Pool
ON
No
No
No
Fidelity Canadian Asset Allocation Class
ON
No
No
No
Fidelity Canadian Asset Allocation Fund
ON
No
No
No
Fidelity Canadian Balanced Class
ON
No
No
No
Fidelity Canadian Balanced Fund
ON
No
No
No
Fidelity Canadian Bond Fund
ON
No
No
No
Fidelity Canadian Disciplined Equity Class
ON
No
No
No
Fidelity Canadian Disciplined Equity Fund
ON
No
No
No
Fidelity Canadian Equity Investment Trust
ON
No
No
No
Fidelity Canadian Equity Private Pool
ON
No
No
No
Fidelity Canadian Focused Equity Investment
Trust
ON
No
No
No
Fidelity Canadian Growth Company Class
ON
No
No
No
Fidelity Canadian Growth Company Fund
ON
No
No
No
Page 87 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Fidelity Canadian Large Cap Class
ON
No
No
No
Fidelity Canadian Large Cap Fund
ON
No
No
No
Fidelity Canadian Money Market Fund
ON
No
No
No
Fidelity Canadian Opportunities Class
ON
No
No
No
Fidelity Canadian Opportunities Fund
ON
No
No
No
Fidelity Canadian Short Term Bond Fund
ON
No
No
No
Fidelity Canadian Short Term Income Class
ON
No
No
No
Fidelity China Class
ON
No
No
No
Fidelity China Fund
ON
No
No
No
Fidelity ClearPath 2005 Portfolio
ON
No
No
No
Fidelity ClearPath 2010 Portfolio
ON
No
No
No
Fidelity ClearPath 2015 Portfolio
ON
No
No
No
Fidelity ClearPath 2020 Portfolio
ON
No
No
No
Fidelity ClearPath 2025 Portfolio
ON
No
No
No
Fidelity ClearPath 2030 Portfolio
ON
No
No
No
Fidelity ClearPath 2035 Portfolio
ON
No
No
No
Fidelity ClearPath 2040 Portfolio
ON
No
No
No
Fidelity ClearPath 2045 Portfolio
ON
No
No
No
Fidelity ClearPath 2050 Portfolio
ON
No
No
No
Fidelity ClearPath 2055 Portfolio
ON
No
No
No
Fidelity ClearPath Income Portfolio
ON
No
No
No
Fidelity Concentrated Canadian Equity
Investment Trust
ON
No
No
No
Fidelity Concentrated Canadian Equity Private
Pool
ON
No
No
No
Fidelity Concentrated Value Investment Trust
ON
No
No
No
Fidelity Concentrated Value Private Pool
ON
No
No
No
Fidelity Conservative Income Private Pool
ON
No
No
No
Fidelity Convertible Securities Investment Trust ON
No
No
No
Fidelity Corporate Bond Capital Yield Class
ON
No
No
No
Fidelity Corporate Bond Fund
ON
No
No
No
Fidelity Dividend Class
ON
No
No
No
Fidelity Dividend Fund
ON
No
No
No
Fidelity Dividend Plus Class
ON
No
No
No
Fidelity Dividend Plus Fund
ON
No
No
No
Fidelity Emerging Markets Class
ON
No
No
No
Fidelity Emerging Markets Debt Investment
Trust
ON
No
No
No
Fidelity Emerging Markets Equity Investment
Trust
ON
No
No
No
Fidelity Emerging Markets Fund
ON
No
No
No
Page 88 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Fidelity Europe Class
ON
No
No
No
Fidelity Europe Fund
ON
No
No
No
Fidelity Event Driven Opportunities Class
ON
No
No
No
Fidelity Event Driven Opportunities Fund
ON
No
No
No
Fidelity Far East Class
ON
No
No
No
Fidelity Far East Fund
ON
No
No
No
Fidelity Floating Rate High Income Currency
Neutral Fund
ON
No
No
No
Fidelity Floating Rate High Income Fund
ON
No
No
No
Fidelity Floating Rate High Income Investment
Trust
ON
No
No
No
Fidelity Global Asset Allocation Fund
ON
No
No
No
Fidelity Global Balanced Class Portfolio
ON
No
No
No
Fidelity Global Balanced Portfolio
ON
No
No
No
Fidelity Global Bond Currency Neutral Fund
ON
No
No
No
Fidelity Global Bond Fund
ON
No
No
No
Fidelity Global Class
ON
No
No
No
Fidelity Global Concentrated Equity Class
ON
No
No
No
Fidelity Global Concentrated Equity Fund
ON
No
No
No
Fidelity Global Consumer Industries Class
ON
No
No
No
Fidelity Global Consumer Industries Fund
ON
No
No
No
Fidelity Global Disciplined Equity Class
ON
No
No
No
Fidelity Global Disciplined Equity Currency
Neutral Class
ON
No
No
No
Fidelity Global Disciplined Equity Currency
Neutral Fund
ON
No
No
No
Fidelity Global Disciplined Equity Fund
ON
No
No
No
Fidelity Global Dividend Class
ON
No
No
No
Fidelity Global Dividend Fund
ON
No
No
No
Fidelity Global Dividend Investment Trust
ON
No
No
No
Fidelity Global Equity Currency Neutral Private
ON
Pool
No
No
No
Fidelity Global Equity Investment Trust
ON
No
No
No
Fidelity Global Equity Private Pool
ON
No
No
No
Fidelity Global Financial Services Class
ON
No
No
No
Fidelity Global Financial Services Fund
ON
No
No
No
Fidelity Global Fund
ON
No
No
No
Fidelity Global Growth Class Portfolio
ON
No
No
No
Fidelity Global Growth Portfolio
ON
No
No
No
Fidelity Global Health Care Class
ON
No
No
No
Fidelity Global Health Care Fund
ON
No
No
No
Page 89 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Fidelity Global High Yield Investment Trust
ON
No
No
No
Fidelity Global Income Class Portfolio
ON
No
No
No
Fidelity Global Income Portfolio
ON
No
No
No
Fidelity Global Large Cap Class
ON
No
No
No
Fidelity Global Large Cap Currency Neutral
Class
ON
No
No
No
Fidelity Global Large Cap Fund
ON
No
No
No
Fidelity Global Monthly Income Fund
ON
No
No
No
Fidelity Global Natural Resources Class
ON
No
No
No
Fidelity Global Natural Resources Fund
ON
No
No
No
Fidelity Global Real Estate Class
ON
No
No
No
Fidelity Global Real Estate Fund
ON
No
No
No
Fidelity Global Small Cap Class
ON
No
No
No
Fidelity Global Small Cap Fund
ON
No
No
No
Fidelity Global Technology Class
ON
No
No
No
Fidelity Global Technology Fund
ON
No
No
No
Fidelity Global Telecommunications Class
ON
No
No
No
Fidelity Global Telecommunications Fund
ON
No
No
No
Fidelity Greater Canada Class
ON
No
No
No
Fidelity Greater Canada Fund
ON
No
No
No
Fidelity Growth Class Portfolio
ON
No
No
No
Fidelity Growth Portfolio
ON
No
No
No
Fidelity High Income Commercial Real Estate
Investment Trust
ON
No
No
No
Fidelity Income Allocation Fund
ON
No
No
No
Fidelity Income Class Portfolio
ON
No
No
No
Fidelity Income Portfolio
ON
No
No
No
Fidelity Income Replacement 2017 Portfolio
ON
No
No
No
Fidelity Income Replacement 2019 Portfolio
ON
No
No
No
Fidelity Income Replacement 2021 Portfolio
ON
No
No
No
Fidelity Income Replacement 2023 Portfolio
ON
No
No
No
Fidelity Income Replacement 2025 Portfolio
ON
No
No
No
Fidelity Income Replacement 2027 Portfolio
ON
No
No
No
Fidelity Income Replacement 2029 Portfolio
ON
No
No
No
Fidelity Income Replacement 2031 Portfolio
ON
No
No
No
Fidelity Income Replacement 2033 Portfolio
ON
No
No
No
Fidelity Income Replacement 2035 Portfolio
ON
No
No
No
Fidelity Income Replacement 2037 Portfolio
ON
No
No
No
Fidelity International Disciplined Equity Class
ON
No
No
No
Fidelity International Disciplined Equity
Currency Neutral Class
ON
No
No
No
Page 90 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Fidelity International Disciplined Equity
Currency Neutral Fund
ON
No
No
No
Fidelity International Disciplined Equity Fund
ON
No
No
No
Fidelity International Equity Currency Neutral
Private Pool
ON
No
No
No
Fidelity International Equity Investment Trust
ON
No
No
No
Fidelity International Equity Private Pool
ON
No
No
No
Fidelity International Growth Class
ON
No
No
No
Fidelity International Growth Fund
ON
No
No
No
Fidelity International Growth Investment Trust
ON
No
No
No
Fidelity International Value Fund
ON
No
No
No
Fidelity Japan Class
ON
No
No
No
Fidelity Japan Fund
ON
No
No
No
Fidelity Latin America Fund
ON
No
No
No
Fidelity Monthly Income Class
ON
No
No
No
Fidelity Monthly Income Fund
ON
No
No
No
Fidelity NorthStar Balanced Currency Neutral
Fund
ON
No
No
No
Fidelity NorthStar Balanced Fund
ON
No
No
No
Fidelity NorthStar Class
ON
No
No
No
Fidelity NorthStar Currency Neutral Class
ON
No
No
No
Fidelity NorthStar Fund
ON
No
No
No
Fidelity Premium Fixed Income Capital Yield
Private Pool
ON
No
No
No
Fidelity Premium Fixed Income Private Pool
ON
No
No
No
Fidelity Premium Money Market Private Pool
ON
No
No
No
Fidelity Premium Tactical Fixed Income Capital
ON
Yield Private Pool
No
No
No
Fidelity Small Cap America Class
ON
No
No
No
Fidelity Small Cap America Currency Neutral
Class
ON
No
No
No
Fidelity Small Cap America Fund
ON
No
No
No
Fidelity Special Situations Class
ON
No
No
No
Fidelity Special Situations Fund
ON
No
No
No
Fidelity Tactical Fixed Income Fund
ON
No
No
No
Fidelity Tactical High Income Currency Neutral
ON
Fund
No
No
No
Fidelity Tactical High Income Fund
ON
No
No
No
Fidelity Tactical Strategies Fund
ON
No
No
No
Fidelity True North Class
ON
No
No
No
Fidelity True North Fund
ON
No
No
No
Fidelity U.S. All Cap Class
ON
No
No
No
Page 91 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Fidelity U.S. All Cap Currency Neutral Class
ON
No
No
No
Fidelity U.S. All Cap Fund
ON
No
No
No
Fidelity U.S. Bond Investment Trust
ON
No
No
No
Fidelity U.S. Dividend Currency Neutral Fund
ON
No
No
No
Fidelity U.S. Dividend Fund
ON
No
No
No
Fidelity U.S. Dividend Investment Trust
ON
No
No
No
Fidelity U.S. Dividend Private Pool
ON
No
No
No
Fidelity U.S. Dividend Registered Fund
ON
No
No
No
Fidelity U.S. Equity Currency Neutral Private
Pool
ON
No
No
No
Fidelity U.S. Equity Investment Trust
ON
No
No
No
Fidelity U.S. Equity Private Pool
ON
No
No
No
Fidelity U.S. Focused Stock Class
ON
No
No
No
Fidelity U.S. Focused Stock Currency Neutral
Class
ON
No
No
No
Fidelity U.S. Focused Stock Fund
ON
No
No
No
Fidelity U.S. Growth and Income Private Pool
ON
No
No
No
Fidelity U.S. Money Market Fund
ON
No
No
No
Fidelity U.S. Monthly Income Currency Neutral
Fund
ON
No
No
No
Fidelity U.S. Monthly Income Fund
ON
No
No
No
Fidelity U.S. Multi-Cap Investment Trust
ON
No
No
No
Fidelity U.S. Small/Mid Cap Equity Investment
Trust
ON
No
No
No
Fieldex Exploration inc.
QC
No
No
No
Fiera Capital Balanced Fund
QC
No
No
No
Fiera Capital Bond Fund
QC
No
No
No
Fiera Capital Canadian Equity Fund
QC
No
No
No
Fiera Capital Core Canadian Equity Fund
QC
No
No
No
Fiera Capital Corporation
QC
No
No
No
Fiera Capital Defensive Global Equity Fund
QC
No
No
No
Fiera Capital Defensive U.S. Equity Fund
QC
No
No
No
Fiera Capital Equity Growth Fund
QC
No
No
No
Fiera Capital Global Equity Fund
QC
No
No
No
Fiera Capital High Income Fund
QC
No
No
No
Fiera Capital U.S. Equity Fund
QC
No
No
No
Fiera Quantum Income Opportunities Fund
QC
No
No
No
Fiera Tactical Bond Yield Fund
QC
No
No
No
Fiera Tactical Bond Yield Fund II
QC
No
No
No
Financial 15 Split Corp.
ON
No
No
No
Financial 15 Split Corp. II
ON
No
No
No
Page 92 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Finavera Wind Energy Inc.
BC
No
No
No
Finlay Minerals Ltd.
BC
No
No
No
Finline Technologies Ltd.
ON
No
Yes
No
Finning International Inc.
BC
No
No
No
Finore Mining Inc.
BC
No
No
No
Finsbury Group Limited
BC
No
Yes
No
Firan Technology Group Corporation
ON
No
No
No
Fire River Gold Corp.
BC
No
No
No
Fireball Resources Ltd.
BC
No
Yes
No
Firebird Resources Inc.
BC
No
No
No
Firelight Corporation
AB
No
Yes
No
Firesteel Resources Inc.
BC
No
No
No
Firestone Ventures Inc.
AB
No
No
No
Fireswirl Technologies Inc.
BC
No
No
No
Firm Capital Mortgage Investment Corporation
ON
No
No
No
Firm Capital Property Trust
ON
No
No
No
First Allied Resources Corporation
BC
No
Yes
No
First American Mining Corporation
BC
No
Yes
No
First American Scientific Corp.
BC
No
Yes
No
First Americas Gold Corporation
BC
No
No
No
First Asset 1-5 Year Laddered Government
Strip Bond Index ETF (formerly First Asset DEX
ON
1-5 Year Laddered Government Strip Bond
Index ETF)
No
No
No
First Asset Active Canadian Dividend ETF
ON
No
No
No
First Asset Active Canadian REIT ETF
ON
No
No
No
First Asset Active Credit ETF
ON
No
No
No
First Asset Active Utility & Infrastructure ETF
ON
No
No
No
First Asset All Canada Bond Barbell Index ETF
(formerly First Asset DEX All Canada Bond
ON
Barbell Index ETF)
No
No
No
First Asset Can-60 Covered Call ETF
ON
No
No
No
First Asset Can-Energy Covered Call ETF
ON
No
No
No
First Asset Can-Financials Covered Call ETF
ON
No
No
No
First Asset Can-Materials Covered Call ETF
ON
No
No
No
First Asset Canadian Convertible Bond ETF
ON
No
No
No
First Asset Canadian Convertible Bond Fund
ON
No
No
No
First Asset Canadian Dividend Opportunity
Fund
ON
No
No
No
First Asset Canadian Dividend Opportunity
Fund II
ON
No
No
No
Page 93 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
First Asset Canadian Energy Convertible
Debenture Fund
ON
No
No
No
First Asset Canadian REIT Income Fund
ON
No
No
No
First Asset CanBanc Split Corp.
ON
No
No
No
First Asset Core Balanced ETF
ON
No
No
No
First Asset Core Canadian Equity ETF
ON
No
No
No
First Asset Core U.S. Equity ETF
ON
No
No
No
First Asset Corporate Bond Barbell Index ETF
(formerly First Asset DEX Corporate Bond
Barbell Index ETF)
ON
No
No
No
First Asset Diversified Convertible Debenture
Fund
ON
No
No
No
First Asset Energy & Resource Fund
ON
No
No
No
First Asset Energy Giants Covered Call ETF
ON
No
No
No
First Asset Global Dividend Fund
ON
No
No
No
First Asset Government Bond Barbell Index
ETF (formerly First Asset DEX Government
Bond Barbell Index ETF)
ON
No
No
No
First Asset Hamilton Capital European Bank
ETF
ON
No
No
No
First Asset Hamilton Capital European Bank
Fund
ON
No
No
No
First Asset Morningstar Canada Dividend
Target 30 Index ETF
ON
No
No
No
First Asset Morningstar Canada Momentum
Index ETF
ON
No
No
No
First Asset Morningstar Canada Value Index
ETF
ON
No
No
No
First Asset Morningstar Emerging Markets
Composite Bond Index ETF
ON
No
No
No
First Asset Morningstar Emerging Markets
Momentum Index ETF
ON
No
No
No
First Asset Morningstar Emerging Markets
Value Index ETF
ON
No
No
No
First Asset Morningstar International
Momentum Index ETF
ON
No
No
No
First Asset Morningstar International Value
Index ETF
ON
No
No
No
First Asset Morningstar National Bank Québec
Index ETF
ON
No
No
No
First Asset Morningstar U.S. Consumer
Defensive Index Fund
ON
No
No
No
First Asset Morningstar US Dividend Target 50
ON
Index ETF
No
No
No
Page 94 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
First Asset Morningstar US Momentum Index
ETF
ON
No
No
No
First Asset Morningstar US Value Index ETF
ON
No
No
No
First Asset MSCI Canada Low Risk Weighted
ETF
ON
No
No
No
First Asset MSCI Europe Low Risk Weighted
ETF
ON
No
No
No
First Asset MSCI USA Low Risk Weighted ETF ON
No
No
No
First Asset MSCI World Low Risk Weighted
ETF
ON
No
No
No
First Asset Provincial Bond Index ETF (formerly
ON
First Asset DEX Provincial Bond Index ETF)
No
No
No
First Asset REIT Income Fund
ON
No
No
No
First Asset Resource Fund Inc.
ON
No
No
No
First Asset Tech Giants Covered Call ETF
ON
No
No
No
First Asset U.S. & Canada Lifeco Income ETF
ON
No
No
No
First Asset U.S. & Canada LifeCo Income Fund ON
No
No
No
First Asset Utility Plus Fund
ON
No
No
No
First Auto (VCC) Ltd.
BC
No
Yes
No
First Bauxite Corporation
BC
No
No
No
First Bitcoin Capital Corp.
BC
No
Yes
No
First Canadian Electric Inc.
BC
No
Yes
No
First Canadian Energy Corporation
BC
No
Yes
No
First Canadian Specialty Automotive Ltd.
BC
No
Yes
No
First Capital Realty Inc.
ON
No
No
No
First Castle Enterprises Inc.
BC
No
Yes
No
First Choice Products Inc.
BC
No
Yes
No
First Colombia Gold Corp.
BC
No
Yes
No
First Consort Hotels & Inns Ltd.
BC
No
Yes
No
First Global Data Limited
ON
No
No
No
First Global Investments Inc.
BC
No
No
No
First Growth Holdings Ltd.
BC
No
No
No
First Harbour Enterprises Inc.
BC
No
Yes
No
First Idaho Resources Inc.
BC
No
No
No
First Leaside Properties Fund
ON
No
Yes
No
First Liberty Power Corp.
AB
No
Yes
No
First Majestic Silver Corp
BC
No
No
No
First Medical Management Ltd.
BC
No
Yes
No
First Metals Inc.
ON
No
Yes
No
First Mexican Gold Corp.
BC
No
No
No
First Mountain Exploration Inc.
AB
No
No
No
Page 95 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
First Narrows Resources Corp.
BC
No
Yes
No
First National Financial Corporation
ON
No
No
No
First National Mortgage Investment Fund
ON
No
No
No
First Nickel Inc.
ON
No
No
No
First Pacific Pictures (VCC) Inc.
BC
No
Yes
No
First Pacific Pictures Inc.
BC
No
Yes
No
First Point Minerals Corp.
BC
No
No
No
First Potash Corp.
BC
No
Yes
Yes
First Quantum Minerals Ltd.
BC
No
No
No
First Star Capital Corporation
BC
No
Yes
No
First Star Resources Inc.
BC
No
Yes
No
First Strike Diamonds Inc.
ON
No
Yes
No
First Toronto Mining Corporation
BC
No
Yes
No
First Trust Advantaged Short Duration High
Yield Bond Fund
ON
No
No
No
First Trust AlphaDEX European Dividend Index
ON
ETF (CAD-Hedged)
No
No
No
First Trust AlphaDEX U.S. Consumer
Discretionary Sector Index ETF
ON
No
No
No
First Trust AlphaDEX U.S. Consumer Staples
Sector Index ETF
ON
No
No
No
First Trust AlphaDEX U.S. Energy Sector Index
ON
ETF
No
No
No
First Trust AlphaDEX U.S. Financial Sector
Index ETF
ON
No
No
No
First Trust AlphaDEX U.S. Health Care Sector
Index ETF
ON
No
No
No
First Trust AlphaDEX U.S. Industrials Sector
Index ETF
ON
No
No
No
First Trust AlphaDEX U.S. Materials Sector
Index ETF
ON
No
No
No
First Trust AlphaDEX U.S. Technology Sector
Index ETF
ON
No
No
No
First Trust AlphaDEX U.S. Utilities Sector Index
ON
ETF
No
No
No
First Trust AlphaDEX™ Canadian Dividend
Plus ETF
ON
No
No
No
First Trust AlphaDEX™ Emerging Market
Dividend ETF (CAD-Hedged)
ON
No
No
No
First Trust AlphaDEX™ Global Energy Income
Plus ETF (CAD-Hedged)
ON
No
No
No
First Trust AlphaDEX™ U.S. Dividend Plus ETF
ON
(CAD-Hedged)
No
No
No
First Trust Canadian Capital Strength Portfolio
No
No
No
ON
Page 96 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
First Trust Global DividendSeeker Fund
ON
No
No
No
First Trust Global Risk Managed Income Index
ON
ETF
No
No
No
First Trust Senior Loan ETF (CAD-Hedged)
ON
No
No
No
First Trust Short Duration High Yield Bond ETF ON
No
No
No
First Western Environmental Protection Inc
BC
No
Yes
No
Firstservice Corporation
ON
No
No
No
FirstWeb Internet Solutions Inc.
BC
No
Yes
No
Fisher Oil & Gas Corporation
BC
No
Yes
No
Fission 3.0 Corp.
BC
No
No
No
Fission Uranium Corp.
BC
No
No
No
Fitch Street Capital Corp.
BC
No
No
No
Five Nines Ventures Ltd.
BC
No
Yes
No
Fixed Income Fund (Portico)
ON
No
No
No
Fjordland Exploration Inc.
BC
No
No
No
FL Master Sherman, Ltd.
ON
No
Yes
No
Flag Resources (1985) Limited
AB
No
Yes
No
Flaherty & Crumrine Investment Grade Fixed
Income Fund
ON
No
No
No
Flair Petroleum Corp.
BC
No
Yes
No
Flair Resources Ltd.
BC
No
Yes
No
Flavex Industries Ltd.
BC
No
Yes
No
Fleet Trak Systems Inc.
BC
No
Yes
No
Fletcher Nickel Inc.
ON
No
No
No
Flex First Plan
ON
No
No
No
Flin Flon Mines Ltd.
AB
No
Yes
No
Flinders Resources Limited
BC
No
No
No
FLM Minerals Inc.
BC
No
No
No
Floating Rate Income Fund
QC
No
No
No
Floorco Ltd.
BC
No
Yes
No
Flow Resources Ltd.
BC
No
Yes
No
FLYHT Aerospace Solutions Ltd.
AB
No
No
No
Flying A Petroleum Ltd.
BC
No
Yes
No
FMF Capital Group Ltd.
ON
No
Yes
No
FMI Holdings Ltd.
BC
No
Yes
No
FNR Energy II Limited Partnership
SK
No
No
No
FNR Energy III Limited Partnership
SK
No
No
No
FNR Energy Limited Partnership
SK
No
No
No
Focus Graphite Inc.
ON
No
No
No
Focus Ventures Ltd.
BC
No
No
No
Page 97 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Focused Canadian Equity Class (CGOV)
ON
No
No
No
Focused Capital Corp.
ON
No
No
No
Focused Capital II Corp.
ON
No
No
No
Folkstone Capital Corp.
BC
No
No
No
Fomack Energy Inc.
AB
No
Yes
No
FootSource Inc.
AB
No
Yes
No
Foraco International S.A.
ON
No
No
No
Foran Mining Corporation
BC
No
No
No
Forbes Energy Services Ltd.
AB
No
No
No
Forbes International Ltd.
BC
No
Yes
No
Ford Auto Securitization Trust
ON
No
No
No
Ford Credit Canada Limited
ON
No
No
No
Ford Floorplan Auto Securitization Trust
ON
No
No
No
Forecross Corporation
BC
No
Yes
No
Forent Energy Ltd.
AB
No
No
No
Forest & Marine Financial Limited Partnership
BC
No
Yes
No
Forest & Marine Investment Trust
BC
No
Yes
No
Forest & Marine Investments Ltd.
BC
No
Yes
No
Forest Gate Energy Inc.
QC
No
Yes
No
Formation Fluid Management Inc.
AB
No
No
No
Formation Metals Inc.
BC
No
No
No
FormCap Corp.
BC
No
No
No
Formosa Resources Corporation
BC
No
Yes
No
Formula Growth Mutual Fund
QC
No
No
No
Forsys Metals Corp.
ON
No
No
No
Fort Knox Minerals Ltd.
BC
No
Yes
No
Fort St. James Nickel Corp.
BC
No
No
No
Fortaleza Energy Inc.
AB
No
No
No
Forterra Environmental Corp.
ON
No
Yes
No
Fortify Resources Inc.
BC
No
No
No
Fortis Inc.
ON
No
No
No
FortisAlberta Inc.
AB
No
No
No
FortisBC Energy Inc.
BC
No
No
No
FortisBC Inc.
BC
No
No
No
Fortress Paper Ltd.
BC
No
No
No
Fortuna Silver Mines Inc.
BC
No
No
No
Fortune Bay Corp.
NS
No
No
No
Fortune Minerals Limited
ON
No
No
No
Fortune Resources Corporation
BC
No
Yes
No
Forum Beverages Inc.
BC
No
Yes
No
Page 98 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Forum National Investments Ltd.
BC
No
Yes
No
Forum Uranium Corp.
BC
No
No
No
Foundation Equity Portfolio
ON
No
No
No
Foundation Tactical Balanced Portfolio
ON
No
No
No
Foundation Tactical Conservative Portfolio
ON
No
No
No
Foundation Tactical Growth Portfolio
ON
No
No
No
Foundation Yield Portfolio
ON
No
No
No
Founder Resources Inc.
ON
No
Yes
No
Fourseas Asialink Corporation
BC
No
Yes
No
Fox Petroleum Inc.
BC
No
Yes
No
Fox Pond Resources Ltd.
BC
No
Yes
No
Foxx Industries Inc.
BC
No
Yes
No
FP Newspapers Inc.
MB
No
No
No
Fracmaster Ltd.
AB
No
Yes
No
Franchise Bancorp Inc.
ON
No
No
No
Franchise Services of North America Inc.
AB
No
Yes
No
FranchiseMaster Technologies, Inc.
BC
No
Yes
No
Franco-Nevada Corporation
ON
No
No
No
Franco-Nevada GLW Holdings Corp.
ON
No
No
No
Franklin Bissett All Canadian Focus Corporate
Class
ON
No
No
No
Franklin Bissett All Canadian Focus Fund
ON
No
No
No
Franklin Bissett Bond Fund (formerly Bissett
Bond Fund)
ON
No
No
No
Franklin Bissett Canadian All Cap Balanced
Corporate Class
ON
No
No
No
Franklin Bissett Canadian All Cap Balanced
Fund
ON
No
No
No
Franklin Bissett Canadian Balanced Corporate
Class
ON
No
No
No
Franklin Bissett Canadian Balanced Fund
ON
No
No
No
Franklin Bissett Canadian Dividend Corporate
Class
ON
No
No
No
Franklin Bissett Canadian Dividend Fund
ON
No
No
No
Franklin Bissett Canadian Equity Corporate
Class
ON
No
No
No
Franklin Bissett Canadian Equity Fund
ON
No
No
No
Franklin Bissett Canadian High Dividend
Corporate Class
ON
No
No
No
Franklin Bissett Canadian High Dividend Fund
ON
No
No
No
Franklin Bissett Canadian Short Term Bond
Fund
ON
No
No
No
Page 99 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Franklin Bissett Corporate Bond Fund
ON
No
No
No
Franklin Bissett Dividend Income Corporate
Class
ON
No
No
No
Franklin Bissett Dividend Income Fund
ON
No
No
No
Franklin Bissett Energy Corporate Class
ON
No
No
No
Franklin Bissett Microcap Fund
ON
No
No
No
Franklin Bissett Money Market Corporate Class ON
No
No
No
Franklin Bissett Money Market Fund
ON
No
No
No
Franklin Bissett Small Cap Corporate Class
ON
No
No
No
Franklin Bissett Small Cap Fund
ON
No
No
No
Franklin Bissett Strategic Income Corporate
Class
ON
No
No
No
Franklin Bissett Strategic Income Fund
ON
No
No
No
Franklin Bissett Treasury Bill Fund
ON
No
No
No
Franklin Bissett U.S. Focus Corporate Class
ON
No
No
No
Franklin Bissett U.S. Focus Fund
ON
No
No
No
Franklin Flex Cap Growth Corporate Class
ON
No
No
No
Franklin Flex Cap Growth Fund
ON
No
No
No
Franklin Global Small-Mid Cap Fund
ON
No
No
No
Franklin High Income Fund
ON
No
No
No
Franklin Income Corporate Class
ON
No
No
No
Franklin Income Fund
ON
No
No
No
Franklin Income Hedged Corporate Class
ON
No
No
No
Franklin Mutual Global Discovery Corporate
Class
ON
No
No
No
Franklin Mutual Global Discovery Fund
ON
No
No
No
Franklin Mutual U.S. Shares Corporate Class
(formerly Franklin Mutual Beacon Corporate
Class)
ON
No
No
No
Franklin Mutual U.S. Shares Fund (formerly
Franklin Mutual Beacon Fund)
ON
No
No
No
Franklin Quotential Balanced Growth Corporate
ON
Class Portfolio
No
No
No
Franklin Quotential Balanced Growth Portfolio
ON
No
No
No
Franklin Quotential Balanced Income Corporate
ON
Class Portfolio
No
No
No
Franklin Quotential Balanced Income Portfolio
ON
No
No
No
Franklin Quotential Diversified Equity Corporate
ON
Class Portfolio
No
No
No
Franklin Quotential Diversified Equity Corporate
Class Portfolio (formerly Franklin Quotential
ON
Global Growth Corporate Class Portfolio)
No
No
No
Franklin Quotential Diversified Equity Portfolio
No
No
No
ON
Page 100 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Franklin Quotential Diversified Equity Portfolio
(formerly Franklin Quotential Global Growth
Portfolio)
ON
No
No
No
Franklin Quotential Diversified Income
Corporate Class Portfolio
ON
No
No
No
Franklin Quotential Diversified Income Portfolio ON
No
No
No
Franklin Strategic Income Fund
ON
No
No
No
Franklin Templeton Canadian Core Equity Fund ON
No
No
No
Franklin Templeton Canadian Large Cap Fund ON
No
No
No
Franklin U.S. Core Equity Fund
ON
No
No
No
Franklin U.S. Rising Dividends Corporate Class ON
No
No
No
Franklin U.S. Rising Dividends Fund
ON
No
No
No
Franklin U.S. Rising Dividends Hedged
Corporate Class
ON
No
No
No
Franklin World Growth Corporate Class
ON
No
No
No
Franklin World Growth Fund
ON
No
No
No
Franz Capital Corporation
AB
No
Yes
No
Fraser Papers Inc.
ON
No
Yes
No
Frecom Communications Company Inc.
BC
No
Yes
No
Free Energy International Inc.
BC
No
No
No
Freedom Marine Ltd.
BC
No
Yes
No
Freegold Ventures Limited
BC
No
No
No
Freehold Royalties Ltd.
AB
No
No
No
Freeport Resources Inc.
BC
No
No
No
Friday Capital Inc.
ON
No
No
No
Friedberg Asset Allocation Fund
ON
No
No
No
Friedberg Global-Macro Hedge Fund
ON
No
No
No
Froachan Farm Acquisition Corp.
BC
No
No
No
Fronsac Real Estate Investment Trust
QC
No
No
No
Front Street DCA Special Opportunities Class
ON
Yes
No
No
Front Street Diversified Income Class
ON
No
No
No
Front Street Flow-Through 2013-I Limited
Partnership - FSFT 2013-I National Class
ON
No
No
No
Front Street Flow-Through 2013-I Limited
Partnership - FSFT 2013-I Québec Class
ON
No
No
No
Front Street Flow-Through 2013-II Limited
Partnership
ON
No
No
No
Front Street Flow-Through 2014-I Limited
ON
Partnership - FSFT 2014-I National CDE Class
No
No
No
Front Street Flow-Through 2014-I Limited
ON
Partnership - FSFT 2014-I National CEE Class
No
No
No
Front Street Flow-Through 2014-I Limited
Partnership - FSFT 2014-I Québec CEE Class
No
No
No
ON
Page 101 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Front Street Flow-Through 2014-II Limited
Limited Partnership
ON
No
No
No
Front Street Global Balanced Income Class
ON
No
No
No
Front Street Global Opportunities Class
ON
No
No
No
Front Street Growth And Income Class
ON
No
No
No
Front Street Growth Class
ON
No
No
No
Front Street Growth Fund
ON
No
No
No
Front Street MLP and Infrastructure Income
Class
ON
No
No
No
Front Street Money Market Class
ON
No
No
No
Front Street Resource Growth and Income
Class
ON
No
No
No
Front Street Special Opportunities Canadian
Fund Ltd.
ON
No
No
No
Front Street Special Opportunities Class
ON
No
No
No
Front Street Tactical Bond Class
ON
No
No
No
Front Street Tactical Equity Class
ON
No
No
No
Front Street U.S. Equity Class
ON
No
No
No
Front Street U.S. MLP Income Fund Ltd.
ON
No
No
No
Frontenac Mortgage Investment Corporation
ON
No
No
No
Frontend International Technologies Inc.
BC
No
Yes
No
Frontier Minerals Inc.
BC
No
Yes
No
Frontier Rare Earths Limited
ON
No
No
No
Frontiers Canadian Equity Pool
ON
No
No
No
Frontiers Canadian Fixed Income Pool
ON
No
No
No
Frontiers Canadian Short Term Income Pool
ON
No
No
No
Frontiers Emerging Markets Equity Pool
ON
No
No
No
Frontiers Equity Income Pool
ON
No
No
No
Frontiers Global Bond Pool
ON
No
No
No
Frontiers International Equity Pool
ON
No
No
No
Frontiers U.S. Equity Currency Neutral Pool
ON
No
No
No
Frontiers U.S. Equity Pool
ON
No
No
No
Frontline Gold Corporation
ON
No
No
No
Frontline Technologies Inc.
ON
No
Yes
No
FRS Group, Inc.
BC
No
No
No
FSFC Developments Inc.
AB
No
Yes
No
FSI Energy Group Inc.
AB
No
Yes
No
Fsona Systems Corp.
BC
No
Yes
No
FT Capital Limited
BC
No
Yes
No
Ftc 1986 Limited Partnership
BC
No
Yes
No
FTC Cards Inc.
BC
No
No
No
Page 102 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Fti Foodtech International Inc.
BC
No
No
No
Fuel Cell Technologies Ltd.
ON
No
Yes
No
FuelCell Energy, Inc.
AB
No
No
No
Fuhuiyuan International Holdings Limited
AB
No
No
No
Fulcrum Resources Inc.
AB
No
Yes
No
Fulham Explorations Inc.
BC
No
Yes
No
Full Metal Minerals Ltd.
BC
No
No
No
Fun Key Studios Inc.
QC
No
Yes
No
Functional Technologies Corp.
BC
No
Yes
No
Fundamental Applications Corp.
BC
No
No
No
Funtime Hospitality Corp.
ON
No
Yes
No
Future Beach Corporation
QC
No
Yes
No
Future Canada China Environment Inc.
BC
No
Yes
No
Future Mineral Corporation
BC
No
Yes
No
Futures Index Fund
ON
No
No
No
Futurtek Communications Inc.
BC
No
Yes
No
FW Omnimedia Corp.
ON
No
Yes
No
Fytokem Products Inc.
SK
No
Yes
No
G.D.M. Grand Development Corp.
BC
No
Yes
No
G.E.M. Environmental Management Inc.
BC
No
Yes
No
G.I.E. Environmental Technologies Ltd.
QC
No
Yes
No
G4G Capital Corp.
BC
No
No
No
Gabbs Resources Ltd.
BC
No
Yes
No
Gabriel Resources Ltd.
ON
No
No
No
Gainey Capital Corp.
BC
No
No
No
Gainey Resources Ltd.
BC
No
No
No
Gala-Bari International Inc.
BC
No
Yes
No
Galactic Resources Ltd.
BC
No
Yes
No
Galane Gold Ltd.
ON
No
No
No
Galantas Gold Corporation
ON
No
No
No
Galaxy Graphite Corp.
BC
No
No
No
Galaxy Industries Ltd.
BC
No
Yes
No
Galaxy Lithium One Inc.
ON
No
No
No
Galaxy Online Inc.
ON
No
Yes
No
Galaxy Resources Limited
ON
No
No
No
Galaxy Sports Inc.
BC
No
Yes
No
Gale Force Petroleum Inc.
QC
No
No
No
Galena International Resources Ltd.
BC
No
No
No
Galileo Growth and Income Fund
ON
No
No
No
Galileo High Income Plus Fund
ON
No
No
No
Page 103 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Galileo Petroleum Ltd.
BC
No
No
No
Galileo Webtrack Systems Corp.
BC
No
No
No
Galit Resource Corporation
BC
No
Yes
No
Galleria Opportunities Ltd.
AB
No
No
No
Gallery Resources Limited
BC
No
Yes
No
Galloway Energy Inc.
BC
No
Yes
No
Galore Resources Inc.
BC
No
No
No
Galway Gold Inc.
ON
No
No
No
Galway Metals Inc.
ON
No
No
No
Gamehost Inc.
AB
No
No
No
Gametek Systems Inc.
BC
No
Yes
No
Gaming Transactions Inc.
BC
No
Yes
No
Gamzio Mobile, Inc.
BC
No
Yes
No
Gandalf Technologies Inc.
BC
No
Yes
No
Gar Limited
ON
No
No
No
Garda World Security Corporation
QC
No
No
No
Garibaldi Resources Corp.
BC
No
No
No
GasFrac Energy Services Inc.
AB
No
No
No
Gastar Exploration Inc.
AB
No
No
No
Gastem Inc.
QC
No
Yes
No
Gatco Technologies Inc.
BC
No
Yes
No
Gatekeeper Systems Inc.
BC
No
No
No
Gatrow Resources Inc.
BC
No
Yes
No
Gaz Metro, Inc.
QC
No
No
No
Gazit Canada Financial Inc.
ON
No
No
No
Gazit-Globe Ltd.
ON
No
No
No
GB Minerals Ltd.
BC
No
No
No
GBO Inc.
QC
No
Yes
No
GBS Gold International Inc.
BC
No
Yes
No
Gbx Resource Corporation
BC
No
Yes
No
GC-Global Capital Corp.
ON
No
No
No
GDI Global Data Inc.
ON
No
Yes
No
GE Capital Canada Funding Company
ON
No
No
No
Gear Energy Ltd.
AB
No
No
No
Gear International, Inc.
BC
No
Yes
No
Gearunlimited.com Inc.
ON
No
Yes
No
GEI Global Energy Corp.
N/A
No
Yes
No
Gem International Resources Inc.
BC
No
No
No
Gemco Minerals, Inc.
BC
No
Yes
No
Gemini Corporation
AB
No
No
No
Page 104 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Gemoscan Canada, Inc.
ON
No
No
No
Gendis Inc.
MB
No
No
No
Genenews Limited
ON
No
No
No
General Cybernetics Corporation
BC
No
Yes
No
General Mining Properties Ltd.
AB
No
Yes
No
General Moly, Inc.
ON
No
No
No
General Motors Company
ON
No
No
No
General Systems Research Inc.
BC
No
Yes
No
Generation Zero Group, Inc.
BC
No
Yes
No
Genesis II Enterprises Ltd.
BC
No
Yes
No
Genesis Land Development Corp.
AB
No
No
No
Genesis Pacific Expansion Fund Ltd.
BC
No
Yes
No
Genesis Trust II
ON
No
No
No
Genesis WorldWide Inc.
ON
No
Yes
No
Genex Resources Inc.
BC
No
Yes
No
Genius Properties Ltd.
QC
No
No
No
Genoil Inc.
AB
No
Yes
No
Genova Biotherapeutics Inc.
BC
No
Yes
No
Gensource Potash Corporation
ON
No
No
No
Genterra Capital Inc.
ON
No
No
No
Gentor Resources, Inc.
ON
No
No
No
Genview Capital Corp.
BC
No
No
No
Genworth MI Canada Inc.
ON
No
No
No
Geocom Resources Inc.
BC
No
Yes
No
Geodex Minerals Ltd.
BC
No
No
No
Geodrill Limited
ON
No
No
No
Geoglobal Resources Inc.
AB
No
Yes
No
Geographics, Inc.
BC
No
Yes
No
Geologix Explorations Inc.
BC
No
No
No
Geomega Resources Inc.
QC
No
No
No
GeoNovus Minerals Corp.
BC
No
No
No
GeoPetro Resources Company
AB
No
No
No
George Weston Limited
ON
No
No
No
Georgetown Corporation
BC
No
Yes
No
Georgia Strait Resources Ltd.
BC
No
Yes
No
Georgian Bancorp Inc.
ON
No
Yes
No
Georox Resources Inc.
AB
No
No
No
Geostar Mining Corporation
BC
No
Yes
No
GeoTraq Inc.
BC
No
Yes
No
Geovencap Inc.
AB
No
Yes
No
Page 105 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Geovic Mining Corp.
BC
Yes
No
No
Gespeg Copper Resources Inc.
BC
No
No
No
Getty Copper Inc.
BC
No
No
No
GFK Resources Inc.
BC
No
No
No
GFM Resources Limited
BC
No
No
No
GGL Resources Corp.
BC
No
No
No
Ghk Resources Ltd.
BC
No
Yes
No
Giant Bay B.C. Fund Inc.
BC
No
Yes
No
Gibraltar Springs Capital Corporation
QC
No
Yes
No
Gibson Energy Inc.
AB
No
No
No
Giga Capital Corporation
AB
No
Yes
No
Gildan Activewear Inc.
QC
No
No
No
Ginger Beef Corporation
AB
No
No
No
Ginguro Exploration Inc.
ON
No
No
No
GINSMS Inc.
AB
No
No
No
Gitennes Exploration Inc.
BC
No
No
No
Giyani Gold Corp.
ON
No
No
No
Glacier Credit Card Trust
ON
No
No
No
Glacier Media Inc.
BC
No
No
No
Gladiator Resources Ltd.
BC
No
Yes
No
Glen Eagle Resources Inc.
QC
No
No
No
Glenbriar Technologies Inc.
AB
No
No
No
Glencore Canada Corporation
ON
No
No
No
Glenmark Capital Corp.
BC
No
No
No
Glenora Resources Inc.
BC
No
Yes
No
Glentel Inc.
BC
No
No
No
GLG Life Tech Corporation
BC
No
No
No
Glitter Gold Mines Ltd.
BC
No
Yes
No
Global 8 Environmental Technologies, Inc.
BC
No
Yes
No
Global Advantaged Telecom & Utilities Income
ON
Fund
No
No
No
Global Champions Split Corp.
ON
No
No
No
Global Cobalt Corporation
BC
No
No
No
Global Consumer Technologies Inc.
AB
No
Yes
No
Global CT & T Telecommunications Inc.
BC
No
Yes
No
Global Developments Inc. - Delaware
BC
No
Yes
No
Global Diversified Investment Grade Income
Trust II
QC
No
No
No
Global Dividend Class (Setanta)
ON
No
No
No
Global Dividend Fund
ON
No
No
No
Page 106 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Global Dividend Growers Income Fund
AB
No
No
No
Global Educational Trust Plan
ON
No
No
No
Global Equity Class (Setanta)
ON
No
No
No
Global Explorations, Inc.
BC
No
Yes
No
Global Fixed Income Corporate Class
ON
No
No
No
Global Fixed Income Pool
ON
No
No
No
Global Focus Resources Ltd.
BC
No
Yes
No
Global Green Solutions Inc.
BC
No
Yes
No
Global Growth 100 Fund
ON
No
No
No
Global Healthcare Dividend Fund
AB
No
No
No
Global Hemp Group Inc.
BC
No
No
No
Global Hunter Corp.
BC
No
No
No
Global Iman Fund
ON
No
No
No
Global Infrastructure Dividend Fund
AB
No
No
No
Global Key Investment Limited
BC
No
No
No
Global Light Telecommunications Inc.
BC
No
Yes
No
Global Lottery Corporation
BC
No
Yes
No
Global Managed Volatility Fund
ON
No
No
No
Global Minerals Ltd.
BC
No
No
No
Global Networks Corp
BC
No
Yes
No
Global Peopleline Telecom Inc
BC
No
Yes
No
Global Precision Medical Inc.
BC
No
Yes
No
Global Real Estate Fund (London Capital)
ON
No
No
No
Global SeaFarms Corporation
QC
No
No
No
Global Stevia Corp.
NS
No
Yes
No
Global Teleworks Corp.
BC
No
Yes
No
Global Water Solutions Fund
ON
No
No
No
Globalink Ltd.
BC
No
No
No
Globeecom International Inc.
QC
No
Yes
No
Globel Direct, Inc.
AB
No
Yes
No
Globetech Ventures Corp.
BC
No
Yes
No
Globetel Communications Limited
BC
No
Yes
No
Globevest Capital Secured Put Writing Fund
QC
No
No
No
Globex Mining Enterprises Inc.
ON
No
No
No
Globus Wireless Ltd.
BC
No
Yes
No
Gluskin Sheff + Associates Inc.
ON
No
No
No
GMP Capital Inc.
ON
No
No
No
GMV Minerals Inc.
BC
No
No
No
GNP Oil & Gas Ltd.
BC
No
Yes
No
Go Capital I, Inc.
ON
No
Yes
No
Page 107 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Go Green Capital Corp.
BC
No
No
No
Go Vacations 1986-A Limited Partnership
BC
No
Yes
No
Go Vacations 1987 Limited Partnership
BC
No
Yes
No
Go Vacations 1987-A Limited Partnership
BC
No
Yes
No
Go Vacations 1987-B Limited Partnership
BC
No
Yes
No
Go Vacations 1988-A Limited Partnership
BC
No
Yes
No
Go Vacations 1988-B Limited Partnership
BC
No
Yes
No
Go Vacations 1988-C Limited Partnership
BC
No
Yes
No
Go Vacations 1989-A Limited Parthership
BC
No
Yes
No
Go Vacations 1989-B Limited Partnership
BC
No
Yes
No
Go Vacations Inc.
BC
No
Yes
No
GobiMin Inc.
AB
No
No
No
GoGold Resources Inc.
NS
No
No
No
Golconda Resources Ltd.
AB
No
No
No
Gold Bullion Development Corp.
BC
No
No
No
Gold Canyon Resources Inc.
BC
No
No
No
Gold Finder Explorations Ltd.
BC
No
No
No
Gold Hill Resources, Inc.
BC
No
Yes
No
Gold Jubilee Capital Corp.
BC
No
No
No
Gold King Consolidated, Inc.
BC
No
Yes
No
Gold Lion Explorations Inc.
BC
No
Yes
No
Gold Mining USA Inc.
BC
No
Yes
No
Gold Mountain Mining Corporation
BC
No
No
No
Gold Participation and Income Fund
ON
No
No
No
Gold Reach Resources Ltd.
BC
No
No
No
Gold Reserve Inc.
ON
No
No
No
Gold Ridge Exploration Corp.
AB
No
No
No
Gold Royalties Corporation
AB
No
No
No
Gold Seeker Resources Ltd.
BC
No
Yes
No
Gold Spring Resources Ltd.
BC
No
Yes
No
Gold Standard Ventures Corp.
BC
No
No
No
Gold World Resources Inc.
ON
No
Yes
No
Gold-Pan Resources Inc.
BC
No
Yes
No
Goldbank Mining Corporation
BC
No
No
No
Goldbar Resources Inc.
BC
No
Yes
No
Goldbridge Mining Ltd.
BC
No
Yes
No
Goldcliff Resource Corporation
BC
No
No
No
Goldcorp Inc.
BC
No
No
No
Golden Arch Resources Ltd.
BC
No
Yes
No
Golden Arrow Resources Corporation
BC
No
No
No
Page 108 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Golden Band Resources Inc.
BC
No
No
No
Golden Bear Resources Ltd.
BC
No
Yes
No
Golden Briar Mines Limited
AB
No
Yes
No
Golden Bridge Development Corporation
ON
No
No
No
Golden Cariboo Resources Ltd.
BC
No
No
No
Golden Century Resources Limited
BC
No
Yes
No
Golden Coast Energy Corp.
BC
No
No
No
Golden Credit Card Trust
ON
No
No
No
Golden Crescent Resources Corp.
BC
No
Yes
No
Golden Crown Resources Ltd.
BC
No
Yes
No
Golden Dawn Minerals Inc.
BC
No
No
No
Golden Fortune Investments Limited
BC
No
Yes
No
Golden Goliath Resources Ltd.
BC
No
No
No
Golden Grail Resources Inc.
BC
No
Yes
No
Golden Harp Resources Inc.
BC
No
No
No
Golden Hemlock Explorations Ltd.
BC
No
Yes
No
Golden Hope Mines Limited
ON
No
No
No
Golden Maritime Resources Ltd.
BC
No
Yes
Yes
Golden Mile Resources Inc.
BC
No
Yes
No
Golden Minerals Company
ON
No
No
No
Golden Pacific Capital Corporation
BC
No
Yes
No
Golden Palm Resources Ltd.
BC
No
Yes
No
Golden Peak Minerals Inc.
BC
No
No
No
Golden Pheasant Resources Ltd.
BC
No
Yes
No
Golden Phoenix Minerals, Inc.
ON
No
Yes
No
Golden Pick Resources Ltd.
BC
No
Yes
No
Golden Pond Resources Ltd.
BC
No
Yes
No
Golden Predator Mining Corp.
AB
No
No
No
Golden Queen Mining Co. Ltd.
BC
No
No
No
Golden Raven Resources Ltd.
BC
No
No
No
Golden Reign Resources Ltd.
BC
No
No
No
Golden Sceptre Resources Ltd.
BC
No
No
No
Golden Secret Ventures Ltd.
BC
No
No
No
Golden Seven Industries Inc.
BC
No
Yes
No
Golden Seville Resources Ltd.
BC
No
Yes
No
Golden Share Mining Corporation
ON
No
No
No
Golden Shield Resources Ltd.
BC
No
Yes
No
Golden Star Enterprises Ltd.
BC
No
Yes
No
Golden Star Resources Ltd.
ON
No
No
No
Golden Sun Capital Inc.
AB
No
No
No
Page 109 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Golden Sun Mining Corp.
BC
No
Yes
No
Golden Sunset Trail Inc.
AB
No
Yes
No
Golden Tag Resources Ltd
BC
No
No
No
Golden Trend Petroleum Ltd.
AB
No
Yes
No
Golden Triumph Resources Ltd.
BC
No
Yes
No
Golden Valley Mines Ltd.
QC
No
No
No
Golden Virtue Resources Inc.
BC
No
No
No
Golden Zone Resources, Inc.
BC
No
Yes
No
Goldeneye Resources Corp.
BC
No
No
No
Goldex Resources Corporation
BC
No
No
No
Goldeye Explorations Limited
ON
No
No
No
Goldgroup Mining Inc.
BC
No
No
No
Goldman Sachs U.S. Income Builder Trust
ON
No
No
No
Goldnev Resources Inc.
AB
No
Yes
No
GoldON Resources Ltd.
BC
No
No
No
GoldQuest Mining Corp.
BC
No
No
No
Goldray Inc.
AB
No
Yes
No
Goldrea Resources Corp.
BC
No
No
No
Goldrock Mines Corp.
BC
No
No
No
Goldrush Resources Ltd.
BC
No
No
No
Goldsource Mines Inc.
BC
No
No
No
Goldspike Exploration Inc.
ON
No
No
No
Goldstar Minerals Inc.
BC
No
No
No
Goldstream Minerals Inc.
BC
No
No
No
Goldstrike Resources Ltd.
BC
No
No
No
Goldtown Health Ventures Inc.
BC
No
No
No
GoldTrain Resources Inc.
ON
No
No
No
Goldvale Resources Inc.
BC
No
Yes
No
Gonzaga Resources Ltd.
BC
No
No
No
Goodman Gold Trust
ON
No
No
No
Goodwood Capital Fund
ON
No
No
No
Gopher Media Services Corporation
QC
No
Yes
No
Goran Capital Inc.
BC
No
Yes
No
Gordon Creek Energy Inc.
BC
No
No
No
Gorilla Minerals Corp.
BC
No
No
No
Gossan Resources Limited
MB
No
No
No
Gourmet Ocean Products Inc.
BC
No
No
No
GoviEx Uranium Inc.
BC
No
No
No
Gowest Gold Ltd.
ON
No
No
No
GPM Metals Inc.
ON
No
No
No
Page 110 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Gracey Resources Inc.
BC
No
Yes
No
Grad & Walker Energy Corporation
BC
No
Yes
No
Graffoto Industries Corporation
BC
No
Yes
No
Grafton Group Limited
BC
No
Yes
No
Gram Minerals Corp.
ON
No
Yes
No
Gran Colombia Gold Corp.
ON
No
No
No
Gran Tierra Energy Inc.
AB
No
No
No
Gran Tierra Exchangeco Inc.
AB
No
No
No
Granada Exploration Corporation
BC
No
Yes
No
Grancamp Resources Inc.
BC
No
Yes
No
Grand Peak Capital Corp.
BC
No
No
No
Grand Power Logistics Group Inc.
AB
No
No
No
Grand Teton Industries Inc.
BC
No
Yes
No
Grande Portage Resources Ltd.
BC
No
No
No
Grande West Transportation Group Inc.
BC
No
No
No
Grandetel Technologies Inc.
BC
No
Yes
No
Grandex Resources Ltd.
BC
No
Yes
No
Grandfield Pacific Inc.
BC
No
No
No
Granger Development Corporation
BC
No
Yes
No
Granite Creek Gold Ltd.
BC
No
No
No
Granite Real Estate Investment Trust
ON
No
No
No
Granite REIT Holdings Limited Partnership
ON
No
No
No
Granite REIT Inc.
ON
No
No
No
Graniz Mondal Inc.
QC
No
No
No
Grantham Resources Inc.
AB
No
Yes
No
Granville Resources Inc.
BC
No
Yes
No
Graphene 3D Lab Inc.
BC
No
No
No
Graphite One Resources Inc.
BC
No
No
No
Gratiam Resources Inc.
BC
No
Yes
No
Gravis Energy Corp.
BC
No
No
No
Gravitas Financial Inc.
ON
No
No
No
Gray Rock Resources Ltd.
BC
No
No
No
Gray Wolf Capital Corporation
ON
No
Yes
No
Grazina Resources Ltd.
BC
No
Yes
No
Grd Industries Ltd.
BC
No
Yes
No
Great Atlantic Resources Corp.
BC
No
No
No
Great Basin Gold Ltd.
BC
No
Yes
No
Great Bear Resources Ltd.
BC
No
No
No
Great Canadian Cider Exporters Ltd.
BC
No
Yes
No
Great Canadian Gaming Corporation
BC
No
No
No
Page 111 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Great Gold Mines N.L.
BC
No
Yes
No
Great Icelandic Water Corporation
BC
No
Yes
No
Great Lakes Graphite Inc.
ON
No
No
No
Great Lakes Nickel Limited
ON
No
No
No
Great Panther Silver Limited
BC
No
No
No
Great Prairie Energy Services Inc.
AB
No
No
No
Great Quest Fertilizer Ltd.
BC
No
No
No
Great Thunder Gold Corp.
BC
No
No
No
Great Weighs! Industries Inc.
BC
No
Yes
No
Great West Resources, Inc.
BC
No
Yes
No
Great Western Minerals Group Ltd.
SK
No
No
No
Great World Resources Ltd.
BC
No
Yes
No
Great-West Lifeco Finance (Delaware) LP
MB
No
No
No
Great-West Lifeco Finance (Delaware) LP II
MB
No
No
No
Great-West Lifeco Inc.
MB
No
No
No
Greater Toronto Airports Authority
ON
No
No
No
Greatmat Technology Corporation
BC
No
Yes
No
Green and Hill Industries, Inc.
BC
No
Yes
No
Green Arrow Resources Inc.
BC
No
No
No
Green Energy Solution Industries, Inc.
BC
No
Yes
No
Green Environmental Technologies inc.
ON
No
Yes
No
Green Hygienics Holdings Inc.
BC
No
Yes
No
Green Standard Vanadium Resources Corp.
BC
No
Yes
No
Green Swan Capital Corp.
ON
No
No
No
Green Valley Mine Incorporated
BC
No
No
No
Greenangel Energy Corp.
BC
No
No
No
Greenbank Capital Inc.
ON
No
No
No
Greenbriar Capital Corp.
BC
No
No
No
Greencastle Resources Ltd.
ON
No
No
No
Greenfields Petroleum Corporation
AB
No
No
No
Greenflag Ventures Inc.
BC
No
No
No
Greengreen Capital Corp.
ON
No
Yes
No
Greenock Resources Inc.
BC
No
No
No
Greenpower Motor Company Inc.
BC
No
No
No
Greenshield Explorations Limited
BC
No
No
No
GreenStar Agricultural Corporation
ON
No
Yes
No
Greenstone Resources Ltd.
ON
No
Yes
No
Greenstreet Equities Inc.
AB
No
Yes
No
Greentree Gas & Oil Ltd.
ON
No
Yes
No
Greenvale Mining N.L.
BC
No
Yes
No
Page 112 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Greenwell Resources Corporation
BC
No
Yes
No
Greenwood Environmental Inc.
BC
No
Yes
No
Grenadier Resource Corp.
BC
No
No
No
Grenville Gold Corp.
BC
No
No
No
Grenville Strategic Royalty Corp.
BC
No
No
No
Grew Ventures Inc.
NB
No
Yes
No
Grey Eagle Resources Inc.
BC
No
Yes
No
Greystoke Explorations Ltd.
BC
No
Yes
No
Greystone Canadian Bond Fund
ON
No
No
No
Greyvest Capital Inc
ON
No
Yes
No
Greywacke Exploration Ltd.
BC
No
No
No
Griffin Skye Corporation
ON
No
No
No
Grizzly Discoveries Inc.
AB
No
No
No
Groton Minerals Ltd. (Npl)
BC
No
Yes
No
Groundstar Resources Limited
AB
No
No
No
Groupe Bikini Village inc.
QC
No
No
No
GrowPros Cannabis Ventures Inc.
ON
No
No
No
Growth & Income Class (GWLIM)
ON
No
No
No
Growth 100 Fund
ON
No
No
No
Growth 70/30 Fund
ON
No
No
No
Growth 80/20 Fund
ON
No
No
No
GrowthWorks Canadian Fund Ltd.
ON
Yes
No
No
GrowthWorks Commercialization Fund Ltd.
ON
No
No
No
Gryphon Gold Corporation
BC
No
Yes
No
GSI Group Inc.
NB
No
No
No
GSO Solutions, Inc.
BC
No
Yes
No
Gst Telecommunications, Inc.
BC
No
Yes
No
GSTAAD CAPITAL CORP.
BC
No
No
No
GT Group Telecom Inc.
ON
No
Yes
No
GTA Resources and Mining Inc.
ON
No
No
No
GUARD Inc.
ON
No
Yes
No
Guardian Balanced Fund
ON
No
No
No
Guardian Balanced Income Fund
ON
No
No
No
Guardian Canadian Bond Fund
ON
No
No
No
Guardian Canadian Equity Fund
ON
No
No
No
Guardian Canadian Growth Equity Fund
ON
No
No
No
Guardian Canadian Short-Term Investment
Fund
ON
No
No
No
Guardian Canadian Small/Mid Cap Equity Fund ON
No
No
No
Guardian Capital Group Limited
No
No
No
ON
Page 113 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Guardian Equity Income Fund
ON
No
No
No
Guardian Exploration Inc.
AB
No
No
No
Guardian Global Dividend Growth Fund
ON
No
No
No
Guardian Global Equity Fund
ON
No
No
No
Guardian Growth & Income Fund
ON
No
No
No
Guardian High Yield Bond Fund
ON
No
No
No
Guardian International Equity Fund
ON
No
No
No
Guardian Private Wealth Bond Fund
ON
No
No
No
Guardian Private Wealth Equity Fund
ON
No
No
No
ON
No
No
No
Guardian U.S. Equity Fund
ON
No
No
No
Guerrero Exploration Inc.
BC
No
Yes
No
Guerrero Ventures Inc.
BC
No
No
No
Guestlogix Inc.
ON
No
No
No
Guinness Exploration, Inc.
BC
No
Yes
No
Gulderand Mining Corp.
BC
No
Yes
No
Gulf & Pacific Equities Corp.
ON
No
No
No
Gulf Coast Oil & Gas Inc.
BC
No
Yes
No
Gulf International Minerals Ltd.
BC
No
Yes
No
Gulf Shores Resources Ltd.
AB
No
No
No
Gulf Titanium Ltd. (Npl)
BC
No
Yes
No
Gulfstream Acquisition 1 Corp.
ON
No
No
No
Gungnir Resources Inc.
BC
No
No
No
Gunpoint Exploration Ltd.
BC
No
No
No
Gunsteel Resources Inc.
BC
No
Yes
No
Guyana Frontier Mining Corp.
BC
No
Yes
No
Guyana Goldfields Inc.
ON
No
No
No
GVIC Communications Corp.
BC
No
No
No
Gw Utilities Limited
BC
No
Yes
No
GWR Global Water Resources Corp.
ON
No
No
No
GWR Resources Inc.
BC
No
No
No
H&R Finance Trust
ON
No
No
No
H&R Real Estate Investment Trust
ON
No
No
No
H2O Innovation Inc.
QC
No
No
No
Hadley Mining Inc.
ON
No
No
No
Haemacure Corporation
QC
No
Yes
No
Hagensborg Resources Ltd.
BC
No
Yes
No
Haglund Industries International Inc.
BC
No
Yes
No
Guardian Short Duration Bond Fund
Page 114 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Haines Gypsum Inc.
BC
No
Yes
No
Halcyon Resources Ltd.
BC
No
Yes
No
Halmont Properties Corporation
BC
No
No
No
Halo Gaming Corporation
BC
No
Yes
No
Halogen Software Inc.
ON
No
No
No
Halozone Technologies Inc.
BC
No
Yes
No
Haltain Developments Corp.
BC
No
No
No
Hamilton Thorne Ltd.
ON
No
No
No
Hammond Manufacturing Company Limited
ON
No
No
No
Hampton Court Resources Inc.
AB
No
Yes
No
Handa Copper Corporation
BC
No
No
No
Handeni Gold Inc.
BC
No
No
No
Hanfeng Evergreen Inc.
ON
No
Yes
No
Hankin Water Technologies Limited
AB
No
Yes
No
Hansa International Resources Ltd.
BC
No
Yes
No
Hansa Resources Limited
BC
No
No
No
Hanwei Energy Services Corp.
BC
No
No
No
Happy Creek Minerals Ltd.
BC
No
No
No
Harbour Corporate Class
ON
No
No
No
Harbour Fund
ON
No
No
No
Harbour Global Equity Corporate Class
ON
No
No
No
Harbour Global Growth & Income Corporate
Class
ON
No
No
No
Harbour Growth & Income Corporate Class
ON
No
No
No
Harbour Growth & Income Fund
ON
No
No
No
Harbour Voyageur Corporate Class
ON
No
No
No
Hard Creek Nickel Corporation
BC
No
No
No
Hardwood Properties Ltd.
AB
No
Yes
No
Hardwoods Distribution Inc.
BC
No
No
No
Harken Technologies Inc.
BC
No
Yes
No
Harmony Balanced Growth Portfolio
ON
No
No
No
Harmony Balanced Growth Portfolio Class
ON
No
No
No
Harmony Balanced Portfolio
ON
No
No
No
Harmony Canadian Equity Pool
ON
No
No
No
Harmony Canadian Fixed Income Pool
ON
No
No
No
Harmony Conservative Portfolio
ON
No
No
No
Harmony Diversified Income Pool
ON
No
No
No
Harmony Global Fixed Income Pool
ON
No
No
No
Harmony Growth Plus Portfolio
ON
No
No
No
Harmony Growth Plus Portfolio Class
ON
No
No
No
Page 115 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Harmony Growth Portfolio
ON
No
No
No
Harmony Growth Portfolio Class
ON
No
No
No
Harmony Integrated Solutions, Inc.
BC
No
Yes
No
Harmony Maximum Growth Portfolio
ON
No
No
No
Harmony Maximum Growth Portfolio Class
ON
No
No
No
Harmony Money Market Pool
ON
No
No
No
Harmony Non-traditional Pool
ON
No
No
No
Harmony Overseas Equity Pool
ON
No
No
No
Harmony U.S. Equity Pool
ON
No
No
No
Harmony Yield Portfolio
ON
No
No
No
Hart Stores Inc.
QC
No
Yes
No
Hartco Inc.
QC
No
No
No
Harte Gold Corp.
ON
No
No
No
Hartland Pipeline Services Ltd.
AB
No
Yes
No
Harvard International Technologies Ltd.
BC
No
Yes
No
Harvest Banks & Buildings Income Fund
ON
No
No
No
Harvest Canadian Income & Growth Fund
ON
No
No
No
Harvest Gold Corporation
BC
No
No
No
Harvest One Capital Inc.
BC
No
No
No
Harvest Operations Corp.
AB
No
No
No
Harwin Exploration & Development Inc.
BC
No
Yes
No
Hawk Exploration Ltd.
AB
No
No
No
Hawkeye Gold & Diamond Inc.
BC
No
No
No
HBanc Capital Securities Trust
ON
No
No
No
HD Retail Solutions Inc.
BC
No
Yes
No
Headway Property Investment 77-1
ON
No
Yes
No
Headway Property Investment 77-11
BC
No
Yes
No
Headway Property Investment 77-111
BC
No
Yes
No
Headway Property Investment 78-II
BC
No
Yes
No
Headway Property Investment 78-III
BC
No
Yes
No
Healthcare Leaders Income Fund
ON
No
No
No
Healthscreen Solutions Incorporated
ON
No
Yes
No
Healthtrac, Inc.
ON
No
Yes
No
HeartLink Canada (1999) Inc.
BC
No
Yes
No
Heartware International Inc.
ON
No
No
No
Heatherdale Resources Ltd.
BC
No
No
No
Heating Oil Partners Income Fund
ON
Yes
No
No
Hecla Mining Company
BC
No
No
No
Hedman Resources Limited
ON
No
Yes
No
Hegco Canada, Inc.
AB
No
Yes
No
Page 116 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Helijet International Inc.
BC
No
No
No
Helio Resource Corp.
BC
No
No
No
Helius Medical Technologies, Inc.
BC
No
No
No
Helix Biopharma Corp.
ON
No
No
No
Helix Systems Limited
BC
No
Yes
No
Hellix Ventures Inc.
BC
No
Yes
No
Hemisphere Energy Corporation
BC
No
No
No
Hemisphere Gold Inc.
BC
No
Yes
No
Hemostemix Inc.
AB
No
No
No
Herbal Clone Bank Canada Inc.
BC
No
No
No
Heritage Global Inc.
ON
No
No
No
Heritage Plans
ON
No
No
No
Hermes Financial Inc.
AB
No
Yes
No
Heroux-Devtek Inc.
QC
No
No
No
HFI Flooring Inc.
AB
No
Yes
No
HFX Holding Corp.
BC
No
No
No
Hi Ho Silver Resources Inc.
BC
Yes
No
No
Hiburd Properties Inc.
BC
No
Yes
No
Hidden Lake Gold Mines Ltd.
BC
No
Yes
No
High Arctic Energy Services Inc.
AB
No
No
No
High Frontier Resources Ltd.
BC
No
Yes
No
High Liner Foods Incorporated
NS
No
No
No
High North Resources Ltd.
AB
No
No
No
High Reserve Resources Limited
BC
No
Yes
No
High Rise Resources Inc.
BC
No
Yes
No
High Rock Canadian High Yield Bond Fund
ON
No
No
No
Highbank Resources Ltd.
BC
Yes
No
No
Highbury Projects Inc.
BC
No
No
No
Highland Copper Company Inc.
BC
No
No
No
Highland Queen Mines Ltd. (Npl)
BC
No
Yes
No
Highmark Marketing Inc.
BC
No
No
No
Highmark Resources Ltd
BC
No
Yes
No
Highpoint Telecommunications Inc.
BC
No
Yes
No
Highvista Gold Inc.
ON
No
No
No
Highwater Resources Ltd.
BC
No
Yes
No
Highway 50 Gold Corp.
BC
No
No
No
Hildon Mining Explorations Ltd.
BC
No
Yes
No
Hillcrest Resources Ltd.
BC
No
No
No
Hillestad Pharmaceuticals Inc.
BC
No
Yes
No
Hinterland Metals Inc.
BC
No
No
No
Page 117 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
HIP Energy Corporation
BC
No
Yes
No
HLD Land Development Limited Partnership
BC
No
No
No
HLT Energies Inc.
QC
No
Yes
No
Hmr World Enterprises Inc.
BC
No
Yes
No
HMZ Metals Inc.
ON
No
Yes
No
HNZ Group Inc.
QC
No
No
No
Hodgins Auctioneers Inc.
AB
No
No
No
Hollinger Inc.
ON
Yes
No
No
Hollis Receivables Term Trust II
ON
No
No
No
Holloman Energy Corporation
BC
No
No
No
Holloway Lodging Corporation
NS
No
No
No
Hollund Industrial Marine, Inc.
BC
No
Yes
No
Hombre Capital Inc.
AB
No
No
No
Home Capital Group Inc.
ON
No
No
No
Home Products Inc.
ON
No
Yes
No
Homeland Energy Group Ltd.
ON
No
No
No
Homeland Precious Metals Corp.
BC
No
Yes
No
Homeproject.com Inc.
ON
No
Yes
No
Homeserve Technologies Inc.
ON
No
Yes
No
Homestake Resource Corporation
BC
No
No
No
Homexpress Limited
AB
No
Yes
No
Honey Badger Exploration Inc.
ON
No
No
No
Honeybee Technology Inc.
AB
No
Yes
No
Horizon Health International Corp.
BC
No
Yes
No
Horizon Holsteins Limited Partnership
BC
No
Yes
No
Horizon Holsteins Limited Partnership II
BC
No
Yes
No
Horizon Minerals Corp.
BC
No
No
No
Horizon North Logistics Inc.
AB
No
No
No
Horizon Petroleum Plc
AB
No
No
No
Horizons Active Cdn Bond ETF
ON
No
No
No
Horizons Active Cdn Dividend ETF
ON
No
No
No
Horizons Active Corporate Bond ETF
ON
No
No
No
Horizons Active Diversified Income ETF
ON
No
No
No
Horizons Active Emerging Market Dividend ETF ON
No
No
No
Horizons Active Floating Rate Bond ETF
ON
No
No
No
Horizons Active Floating Rate Preferred Share
ETF
ON
No
No
No
Horizons Active Floating Rate Senior Loan ETF ON
No
No
No
Horizons Active Global Dividend ETF
ON
No
No
No
Horizons Active Global Fixed Income ETF
ON
No
No
No
Page 118 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Horizons Active High Yield Bond ETF
ON
No
No
No
Horizons Active Preferred Share ETF
ON
No
No
No
Horizons Active S&P/TSX 60 Index Covered
Call ETF
ON
No
No
No
Horizons Active US Dividend ETF
ON
No
No
No
Horizons Active US Floating Rate Bond (USD)
ETF
ON
No
No
No
Horizons AlphaPro Income Plus Fund
ON
No
No
No
Horizons Auspice Broad Commodity Index ETF ON
No
No
No
Horizons Auspice Managed Futures Index ETF ON
No
No
No
Horizons BetaPro COMEX® Gold Bullion Bear
Plus ETF
ON
No
No
No
Horizons BetaPro COMEX® Gold Bullion Bull
Plus ETF
ON
No
No
No
Horizons BetaPro COMEX® Silver Bear Plus
ETF
ON
No
No
No
Horizons BetaPro COMEX® Silver Bull Plus
ETF
ON
No
No
No
Horizons BetaPro MSCI Emerging Markets
Bear Plus ETF
ON
No
No
No
Horizons BetaPro MSCI Emerging Markets Bull
ON
Plus ETF
No
No
No
Horizons BetaPro MSCI Japan Bear Plus ETF
ON
No
No
No
Horizons BetaPro MSCI Japan Bull Plus ETF
ON
No
No
No
Horizons BetaPro NASDAQ-100® Bear Plus
ETF
ON
No
No
No
Horizons BetaPro NASDAQ-100® Bull Plus
ETF
ON
No
No
No
Horizons BetaPro NYMEX® Crude Oil Bear
Plus ETF
ON
No
No
No
Horizons BetaPro NYMEX® Crude Oil Bull Plus
ON
ETF
No
No
No
Horizons BetaPro NYMEX® Natural Gas Bear
Plus ETF
ON
No
No
No
Horizons BetaPro NYMEX® Natural Gas Bull
Plus ETF
ON
No
No
No
Horizons BetaPro S&P 500 VIX Short-Term
Futures Bull Plus ETF
ON
No
No
No
Horizons BetaPro S&P 500 VIX Short-Term
Futures ETF
ON
No
No
No
Horizons BetaPro S&P 500 VIX Short-Term
Futures Inverse ETF
ON
No
No
No
Horizons BetaPro S&P 500® Bear Plus ETF
ON
No
No
No
Horizons BetaPro S&P 500® Bull Plus ETF
ON
No
No
No
Page 119 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Horizons BetaPro S&P 500® Inverse ETF
ON
No
No
No
Horizons BetaPro S&P/TSX 60 Inverse ETF
ON
No
No
No
Horizons BetaPro S&P/TSX 60 Bear Plus ETF
ON
No
No
No
Horizons BetaPro S&P/TSX 60 Bull Plus ETF
ON
No
No
No
Horizons Betapro S&P/TSX Capped Energy
Bear Plus ETF
ON
No
No
No
Horizons BetaPro S&P/TSX Capped Energy
Bull Plus ETF
ON
No
No
No
Horizons BetaPro S&P/TSX Capped Financials
ON
Bear Plus ETF
No
No
No
Horizons BetaPro S&P/TSX Capped Financials
ON
Bull Plus ETF
No
No
No
Horizons BetaPro S&P/TSX Global Base
Metals Bear Plus ETF
ON
No
No
No
Horizons BetaPro S&P/TSX Global Base
Metals Bull Plus ETF
ON
No
No
No
Horizons BetaPro S&P/TSX Global Gold Bear
Plus ETF
ON
No
No
No
Horizons BetaPro S&P/TSX Global Gold Bull
Plus ETF
ON
No
No
No
Horizons BetaPro US 30-year Bond Bear Plus
ETF
ON
No
No
No
Horizons BetaPro Winter-Term NYMEX Crude
Oil ETF
ON
No
No
No
Horizons BetaPro Winter-Term NYMEX®
Natural Gas ETF
ON
No
No
No
Horizons Canadian Midstream Oil & Gas Index
ON
ETF
No
No
No
Horizons Cdn Equity Managed Risk ETF
ON
No
No
No
Horizons Cdn Insider Index ETF
ON
No
No
No
Horizons Cdn Select Universe Bond ETF
ON
No
No
No
Horizons COMEX® Gold ETF
ON
No
No
No
Horizons COMEX® Silver ETF
ON
No
No
No
Horizons Enhanced Income Energy ETF
ON
No
No
No
Horizons Enhanced Income Equity ETF
ON
No
No
No
Horizons Enhanced Income Financials ETF
ON
No
No
No
Horizons Enhanced Income Gold Producers
ETF
ON
No
No
No
Horizons Enhanced Income International Equity
ON
ETF
No
No
No
Horizons Enhanced Income US Equity (USD)
ETF
ON
No
No
No
Horizons Gold Yield ETF
ON
No
No
No
Horizons Morningstar Hedge Fund Index ETF
ON
No
No
No
Page 120 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Horizons Natural Gas Yield ETF
ON
No
No
No
Horizons S&P 500® Index ETF
ON
No
No
No
Horizons S&P/TSX 60 Equal Weight Index ETF ON
No
No
No
Horizons S&P/TSX 60 Index ETF
ON
No
No
No
Horizons S&P/TSX Capped Energy Index ETF
ON
No
No
No
Horizons S&P/TSX Capped Financials Index
ETF
ON
No
No
No
Horizons S&P/TSX Composite Shareholder
Yield Index ETF
ON
No
No
No
Horizons Seasonal Rotation ETF
ON
No
No
No
Horizons US Dollar Currency ETF
ON
No
No
No
Horizons US Equity Managed Risk ETF
ON
No
No
No
Horn Petroleum Corporation
BC
No
No
No
Hornby Bay Mineral Exploration Ltd.
ON
No
No
No
Horton Technologies Ltd.
BC
No
Yes
No
Host International Holdings Inc.
BC
No
Yes
No
Hotline to HR Inc.
ON
No
Yes
No
Houston Lake Mining Inc.
ON
No
No
No
How To Web TV Inc.
ON
No
Yes
Yes
Hpil Resources Ltd.
BC
No
Yes
No
Hpy Industries Ltd.
BC
No
Yes
No
HR Cafe, Ltd.
BC
No
Yes
No
Hrc Investments (VCC) Ltd.
BC
No
Yes
No
HRT Participações em Petróleo S.A.
AB
No
No
No
HSBC AsiaPacific Fund
BC
No
No
No
HSBC Bank Canada
BC
No
No
No
HSBC BRIC Equity Fund
BC
No
No
No
HSBC Canada Asset Trust
BC
No
No
No
HSBC Canadian Balanced Fund
BC
No
No
No
HSBC Canadian Bond Fund
BC
No
No
No
HSBC Canadian Bond Pooled Fund
BC
No
No
No
HSBC Canadian Dividend Pooled Fund
BC
No
No
No
HSBC Canadian Equity Pooled Fund
BC
No
No
No
HSBC Canadian Money Market Fund
BC
No
No
No
HSBC Canadian Money Market Pooled Fund
BC
No
No
No
HSBC Canadian Small Cap Equity Pooled
Fund
BC
No
No
No
HSBC Chinese Equity Fund
BC
No
No
No
HSBC Dividend Fund
BC
No
No
No
HSBC Emerging Markets Debt Fund
BC
No
No
No
HSBC Emerging Markets Debt Pooled Fund
BC
No
No
No
Page 121 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
HSBC Emerging Markets Fund
BC
No
No
No
HSBC Emerging Markets Pooled Fund
BC
No
No
No
HSBC Equity Fund
BC
No
No
No
HSBC European Fund
BC
No
No
No
HSBC Global Equity Fund
BC
No
No
No
HSBC Global High Yield Bond Pooled Fund
BC
No
No
No
HSBC Global Inflation Linked Bond Pooled
Fund
BC
No
No
No
HSBC Global Real Estate Equity Fund
BC
No
No
No
HSBC Global Real Estate Equity Pooled Fund
BC
No
No
No
HSBC Indian Equity Fund
BC
No
No
No
HSBC International Equity Pooled Fund
BC
No
No
No
HSBC Monthly Income Fund
BC
No
No
No
HSBC Mortgage Fund
BC
No
No
No
HSBC Mortgage Pooled Fund
BC
No
No
No
HSBC MultiAlpha Canadian Equity Pooled
Fund
BC
No
No
No
HSBC MultiAlpha International Equity Pooled
Fund
BC
No
No
No
HSBC MultiAlpha U.S. Equity Pooled Fund
BC
No
No
No
HSBC MultiAlpha U.S. Small/Mid Cap Equity
Pooled Fund
BC
No
No
No
HSBC Small Cap Growth Fund
BC
No
No
No
HSBC U.S. Dollar Money Market Fund
BC
No
No
No
HSBC U.S. Dollar Monthly Income Fund
BC
No
No
No
HSBC U.S. Equity Fund
BC
No
No
No
HSBC U.S.Equity Pooled Fund
BC
No
No
No
HSBC World Selection Diversified Aggressive
Growth Fund
BC
No
No
No
HSBC World Selection Diversified Balanced
Fund
BC
No
No
No
HSBC World Selection Diversified Conservative
BC
Fund
No
No
No
HSBC World Selection Diversified Growth Fund BC
No
No
No
HSBC World Selection Diversified Moderate
Conservative Fund
BC
No
No
No
HTC Purenergy Inc.
SK
No
No
No
HTI Ventures Corp.
BC
No
No
No
HTN Inc.
ON
No
No
No
Huaxing Machinery Corp.
BC
Yes
No
No
Hubbard Holding Inc.
QC
No
Yes
No
Hucamp Mines Limited
ON
No
Yes
No
Page 122 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
HudBay Minerals Inc.
ON
No
No
No
Hudson Bay Diecasting Limited
BC
No
Yes
No
Hudson Resources Inc.
BC
No
No
No
Hudson River Minerals Ltd.
ON
No
No
No
Hudson's Bay Company
ON
No
No
No
Huldra Silver Inc.
BC
No
No
No
Humantics (B.C.) Ltd.
BC
No
Yes
No
Humboldt Capital Corporation
AB
No
No
No
Humet-PBC North America, Inc.
BC
No
Yes
No
Hunt Mining Corp.
BC
No
No
No
Hunter Bay Minerals plc
BC
No
No
No
Huntington Exploration Inc.
AB
No
No
No
Husky Energy Inc.
AB
No
No
No
Hy-Lab Industries Ltd.
BC
No
Yes
No
Hy-Pro Products Inc.
BC
No
Yes
No
Hyatt Financial Corporation Ltd.
AB
No
Yes
No
Hyberlab Teknologies Corp.
ON
No
Yes
No
Hybrid Paytech World Inc.
QC
No
No
No
HydraLogic Systems Inc.
ON
No
Yes
No
Hydro One Inc.
ON
No
No
No
Hydrogenics Corporation
ON
No
No
No
Hydromet Environmental Recovery Ltd.
ON
No
Yes
No
Hyduke Energy Services Inc.
AB
No
No
No
Hymex Diamond Corp.
BC
No
Yes
No
Hypower Fuel Inc.
BC
No
Yes
No
Hystar Aerospace Corporation
BC
No
Yes
No
Hytec Flow Systems Inc.
AB
No
Yes
No
i-minerals Inc.
BC
No
No
No
I.C.E. Ice Factory, Inc.
BC
No
Yes
No
I.M. Technologies Inc.
BC
No
Yes
No
IA Clarington Bond Fund
QC
No
No
No
IA Clarington Canadian Balanced Class
QC
No
No
No
IA Clarington Canadian Balanced Fund
QC
No
No
No
IA Clarington Canadian Conservative Equity
Class
QC
No
No
No
IA Clarington Canadian Conservative Equity
Fund
QC
No
No
No
IA Clarington Canadian Dividend Fund
QC
No
No
No
IA Clarington Canadian Growth Class
QC
No
No
No
IA Clarington Canadian Leaders Class
QC
No
No
No
Page 123 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Default
CTO
Management
CTO
IA Clarington Canadian Mid Cap Dividend Fund QC
No
No
No
IA Clarington Canadian Small Cap Class
QC
No
No
No
IA Clarington Canadian Small Cap Fund
QC
No
No
No
IA Clarington Core Plus Bond Fund
QC
No
No
No
IA Clarington Dividend Growth Class
QC
No
No
No
IA Clarington Floating Rate Income Fund
QC
No
No
No
IA Clarington Focused Balanced Class
QC
No
No
No
IA Clarington Focused Balanced Fund
QC
No
No
No
IA Clarington Focused Canadian Equity Class
QC
No
No
No
IA Clarington Focused U.S. Equity Class
QC
No
No
No
IA Clarington Global Equity Fund
QC
No
No
No
IA Clarington Global Growth & Income Fund
QC
No
No
No
IA Clarington Global Opportunities Class
QC
No
No
No
IA Clarington Global Opportunities Fund
QC
No
No
No
IA Clarington Global Tactical Income Class
QC
No
No
No
IA Clarington Global Tactical Income Fund
QC
No
No
No
IA Clarington Global Value Fund
QC
No
No
No
IA Clarington Growth & Income Fund
QC
No
No
No
IA Clarington Inhance Balanced SRI Portfolio
QC
No
No
No
IA Clarington Inhance Canadian Equity SRI
Class
QC
No
No
No
IA Clarington Inhance Conservative SRI
Portfolio
QC
No
No
No
IA Clarington Inhance Global Equity SRI Class
QC
No
No
No
IA Clarington Inhance Growth SRI Portfolio
QC
No
No
No
IA Clarington Inhance Monthly Income SRI
Fund
QC
No
No
No
IA Clarington Money Market Fund
QC
No
No
No
IA Clarington Monthly Income Balanced Fund
QC
No
No
No
IA Clarington North American Opportunities
Class
QC
No
No
No
IA Clarington Real Return Bond Fund
QC
No
No
No
IA Clarington Sarbit Activist Opportunities Class QC
No
No
No
IA Clarington Sarbit U.S. Equity Class
(Unhedged)
QC
No
No
No
IA Clarington Sarbit U.S. Equity Fund
QC
No
No
No
IA Clarington Short-Term Bond Fund
QC
No
No
No
IA Clarington Short-Term Income Class
QC
No
No
No
IA Clarington Strategic Corporate Bond Class
QC
No
No
No
IA Clarington Strategic Corporate Bond Fund
QC
No
No
No
IA Clarington Strategic Equity Income Class
QC
No
No
No
Issuer name
Principal
Page 124 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
IA Clarington Strategic Equity Income Fund
QC
No
No
No
IA Clarington Strategic Income Class
QC
No
No
No
IA Clarington Strategic Income Fund
QC
No
No
No
IA Clarington Strategic U.S. Growth & Income
Fund
QC
No
No
No
IA Clarington Tactical Bond Class
QC
No
No
No
IA Clarington Tactical Bond Fund
QC
No
No
No
IA Clarington Tactical Income Class
QC
No
No
No
IA Clarington Tactical Income Fund
QC
No
No
No
IA Clarington Target Click 2015 Fund
QC
No
No
No
IA Clarington Target Click 2025 Fund
QC
No
No
No
IA Clarington Target Click 2030 Fund
QC
No
No
No
IA Clarington U.S. Dividend Growth Fund
QC
No
No
No
IA Clarinton Target Click 2020 Fund
QC
No
No
No
Ialta Industries Ltd.
BC
No
Yes
No
IAMGold Corporation
ON
No
No
No
IAS Energy, Inc.
BC
No
Yes
No
IATRA Life Sciences Corporation
ON
No
Yes
No
IBC Advanced Alloys Corp.
BC
No
No
No
Iberian Minerals Ltd.
AB
No
No
No
Ibex Technologies Inc.
QC
No
No
No
IBI Corporation
ON
No
Yes
No
IBI Group Inc.
ON
No
No
No
Ibs Technologies Ltd.
BC
No
Yes
No
IC Potash Corp
ON
No
No
No
ICCI Integrated Credit and Commerce Inc.
BC
No
Yes
No
Ice Drilling Enterprises Inc.
AB
No
Yes
No
Icefloe Technologies Inc.
ON
No
Yes
No
iCo Therapeutics Inc.
BC
No
No
No
Icon Exploration Inc.
BC
No
No
No
Icon Laser Eye Centers, Inc.
ON
No
Yes
No
Iconic Minerals Ltd.
BC
No
No
No
ICP Solar Technologies Inc.
BC
No
Yes
No
ICTV Brands, Inc.
ON
No
No
No
ID Watchdog, Inc.
BC
No
No
No
Idaho Natural Resources Corp.
AB
No
Yes
No
Idg Holdings Inc.
BC
No
No
No
IDGlobal Corp.
BC
No
Yes
No
IDM Mining Ltd.
BC
No
No
No
IDS Intelligent Detection Systems Inc.
ON
No
Yes
No
Page 125 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
IDYIA Innovations Inc.
MB
No
Yes
No
IEMR Resources Inc.
BC
No
No
No
If You Could See What I Hear
BC
No
Yes
No
iFabric Corp.
BC
No
No
No
Iforum Financial Network Inc.
QC
No
Yes
No
IG AGF Canadian Balanced Fund
MB
No
No
No
IG AGF Canadian Diversified Growth Class
MB
No
No
No
IG AGF Canadian Diversified Growth Fund
MB
No
No
No
IG AGF Canadian Growth Class
MB
No
No
No
IG AGF Canadian Growth Fund
MB
No
No
No
IG AGF Global Equity Class
MB
No
No
No
IG AGF Global Equity Fund
MB
No
No
No
IG AGF U.S. Growth Class
MB
No
No
No
IG AGF U.S. Growth Fund
MB
No
No
No
Ig Beutel Goodman Canadian Balanced Fund
MB
No
No
No
IG Beutel Goodman Canadian Equity Class
MB
No
No
No
Ig Beutel Goodman Canadian Equity Fund
MB
No
No
No
IG Beutel Goodman Canadian Small Cap Fund MB
No
No
No
IG FI Canadian Allocation Fund
MB
No
No
No
IG FI Canadian Equity Class
MB
No
No
No
IG FI Canadian Equity Fund
MB
No
No
No
IG FI U.S. Large Cap Equity Class
MB
No
No
No
IG FI U.S. Large Cap Equity Fund
MB
No
No
No
IG Franklin Bissett Canadian Equity Class
MB
No
No
No
IG Franklin Bissett Canadian Equity Fund
MB
No
No
No
IG Mackenzie Canadian Equity Growth Class
MB
No
No
No
IG Mackenzie Canadian Equity Growth Fund
MB
No
No
No
IG Mackenzie Cundill Global Value Class
MB
No
No
No
IG Mackenzie Cundill Global Value Fund
MB
No
No
No
IG Mackenzie Dividend Growth Fund
MB
No
No
No
IG Mackenzie Emerging Markets Class
MB
No
No
No
IG Mackenzie Floating Rate Income Fund
MB
No
No
No
IG Mackenzie Global Precious Metals Class
MB
No
No
No
IG Mackenzie Income Fund
MB
No
No
No
IG Mackenzie Ivy European Class
MB
No
No
No
IG Mackenzie Ivy European Fund
MB
No
No
No
IG Mackenzie Ivy Foreign Equity Class
MB
No
No
No
IG Mackenzie Strategic Income Fund
MB
No
No
No
IG Putnam Emerging Markets Income Fund
MB
No
No
No
IG Putnam Low Volatility U.S. Equity Class
MB
No
No
No
Page 126 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
IG Putnam Low Volatility U.S. Equity Fund
MB
No
No
No
IG Putnam U.S. Growth Class
MB
No
No
No
IG Putnam U.S. Growth Fund
MB
No
No
No
IG Putnam U.S. High Yield Income Fund
MB
No
No
No
IG Templeton International Equity Class
MB
No
No
No
IG Templeton International Equity Fund
MB
No
No
No
IGC Resources Inc.
BC
No
No
No
Igen Networks Corp.
BC
No
No
No
IGM Financial Inc.
MB
No
No
No
Ikkuma Resources Corp.
AB
No
No
No
Ikona Gear International, Inc.
BC
No
Yes
No
Iledor Exploration Corporation
QC
No
Yes
No
Illusion Systems Inc.
BC
No
Yes
No
ILOOKABOUT Corp.
ON
No
No
No
ILoveTV Entertainment Inc.
BC
No
Yes
No
Ilustrato Pictures International Inc.
BC
No
Yes
No
Imaflex Inc.
QC
No
No
No
Image Data International Corporation
BC
No
Yes
No
Image Power Inc.
BC
No
Yes
No
Image Sculpting International Inc.
AB
No
Yes
No
Image West Entertainment Corporation
BC
No
Yes
No
Imaging Dynamics Company Ltd.
AB
No
No
No
iMarketing Solutions Group Inc.
ON
Yes
No
No
Imasight Corp.
ON
No
Yes
No
Imax Corporation
ON
No
No
No
imaxx Canadian Bond Fund
ON
No
No
No
imaxx Canadian Dividend Fund
ON
No
No
No
imaxx Canadian Equity Growth Fund
ON
No
No
No
imaxx Canadian Fixed Pay Fund
ON
No
No
No
imaxx Global Equity Growth Fund
ON
No
No
No
imaxx Money Market Fund
ON
No
No
No
Immunall Science Inc.
AB
No
No
No
Immune Network Ltd.
BC
No
Yes
No
ImmunoClin Corporation
BC
No
Yes
No
Immunotec Inc.
QC
No
No
No
ImmunoVaccine Inc.
NS
No
No
No
Imogo Mobile Technologies Corp.
BC
No
Yes
No
IMPACT Silver Corp.
BC
Yes
No
No
Impala Mineral Exploration Corp.
BC
No
Yes
No
Impax Energy Services Income Trust
AB
No
Yes
No
Page 127 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Imperial Canadian Bond Pool
ON
No
No
No
Imperial Canadian Diversified Income Pool
ON
No
No
No
Imperial Canadian Dividend Income Pool
ON
No
No
No
Imperial Canadian Equity Pool
ON
No
No
No
Imperial Emerging Economies Pool
ON
No
No
No
Imperial Equities Inc.
AB
No
No
No
Imperial Equity High Income Pool
ON
No
No
No
Imperial Ginseng Products Ltd.
BC
No
No
No
Imperial Global Equity Income Pool
ON
No
No
No
Imperial International Bond Pool
ON
No
No
No
Imperial International Equity Pool
ON
No
No
No
Imperial Metals Corporation
BC
No
No
No
Imperial Money Market Pool
ON
No
No
No
Imperial Oil Limited
AB
No
No
No
Imperial Overseas Equity Pool
ON
No
No
No
Imperial Short-Term Bond Pool
ON
No
No
No
Imperial U.S. Equity Pool
ON
No
No
No
Imperus Technologies Corp.
ON
No
No
No
Impression Plan
ON
No
No
No
IMRIS Inc.
ON
No
No
No
Imt Mobile Medical Technologies Ltd.
BC
No
Yes
No
Imtrex Industries & Recycling Inc.
BC
No
Yes
No
Imvescor Restaurant Group Inc.
NB
No
No
No
IMX Resources Limited
ON
No
No
No
In-Touch Survey Systems Ltd.
ON
No
No
No
Inca One Gold Corp.
BC
No
No
No
Income 100 Fund
ON
No
No
No
Income 20/80 Fund
ON
No
No
No
Income 30/70 Fund
ON
No
No
No
Income 40/60 Fund
ON
No
No
No
Income Financial Trust
ON
No
No
No
Income Plus Fund (London Capital)
ON
No
No
No
Income Trustco Corporation
BC
No
Yes
No
Independence Energy Corp.
BC
No
Yes
No
Independence Gold Corp.
BC
No
No
No
Independence Petroleum Inc.
BC
No
Yes
No
Independent Growth Finders Inc.
BC
No
Yes
No
INDEXPLUS INCOME FUND
AB
No
No
No
Indico Resources Ltd.
BC
No
No
No
IndieMV Media Group, Inc.
BC
No
Yes
No
Page 128 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Indigo Books & Music Inc.
ON
No
No
No
Indigo Exploration Inc.
BC
No
No
No
Indo Global Exchange(s) Pte. Ltd.
BC
No
Yes
No
Indo Pacific Resources Ltd.
AB
No
Yes
No
Industrial Alliance Insurance and Financial
Services Inc.
QC
No
No
No
Industrial Dominion, Inc.
BC
No
Yes
No
Industrialex Manufacturing Corp.
BC
No
Yes
No
Inexco Mining Corp.
BC
No
No
No
Infinite Resources Inc.
BC
No
Yes
No
Infinito Gold Ltd.
AB
No
No
No
Infinity 1997 Limited Partnership
ON
No
No
No
Infisy Systems Inc.
BC
No
Yes
No
Infocorp Computer Solutions Ltd
MB
No
Yes
No
InfoLinx Communications Ltd.
BC
No
Yes
No
Inform Resources Corp.
BC
No
No
No
Information Services Corporation
SK
No
No
No
Informatrix 2000 Inc.
BC
No
Yes
No
Infowave Software Inc.
BC
No
Yes
No
Infrastructure Materials Corp.
AB
No
No
No
ING Diversified Floating Rate Senior Loan Fund ON
No
No
No
ING Floating Rate Senior Loan Fund
ON
No
No
No
ING High Income Floating Rate Fund
ON
No
No
No
Initial Developers Limited
BC
No
Yes
No
Inmax Publishing Limited
BC
No
Yes
No
InMed Pharmaceuticals Inc.
BC
No
No
No
Innergex Renewable Energy Inc.
QC
No
No
No
InNexus Biotechnology Inc.
BC
No
Yes
No
Innovative Composites International Inc.
ON
No
Yes
No
Innovative Environmental Services Ltd.
BC
No
Yes
No
Innovative Properties Inc.
BC
No
No
No
Innovative Wireline Solutions Inc.
AB
No
Yes
No
Innovente Inc.
QC
No
Yes
No
Innovis Corporation
BC
No
Yes
No
Innovium Media Properties Corp.
QC
No
Yes
No
Innovotech Inc.
AB
No
No
No
InnVest Real Estate Investment Trust
ON
No
No
No
Inova Optics Inc.
BC
No
Yes
No
Inovalis Real Estate Investment Trust
ON
No
No
No
Inovent Capital Inc.
BC
No
No
No
Page 129 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Inovio Pharmaceuticals, Inc.
BC
No
No
No
Input Capital Corp.
SK
No
No
No
Inscape Corporation
ON
No
No
No
Insecta Research Corp. (1986) Inc.
BC
No
Yes
No
Inspiration Mining Corporation
ON
No
No
No
Instafax Exchange Centres Inc.
BC
No
Yes
No
Instar Energy Corp.
BC
No
Yes
No
Insurcom Financial Corporation
AB
No
Yes
No
Int'l Maple Leaf Springs Ltd
BC
No
Yes
No
Intact Financial Corporation
ON
No
No
No
Integra Balanced Fund
ON
No
No
No
Integra Bond Fund
ON
No
No
No
Integra Canadian Value Growth Fund
ON
No
No
No
Integra Equity Fund
ON
No
No
No
Integra Gold Corp.
BC
No
No
No
Integra International Equity Fund
ON
No
No
No
Integra Newton Global Equity Fund
ON
No
No
No
Integra Short Term Investment Fund
ON
No
No
No
Integra Systems Inc.
BC
No
Yes
No
Integra U.S. Value Growth Fund
ON
No
No
No
Integrated Asset Management Corp.
ON
No
No
No
Integrated Communications Industries Inc.
BC
No
Yes
No
IntelGenx Technologies Corp.
QC
No
No
No
Intellectual Capital Group Ltd.
ON
No
Yes
No
Intelligent Web Technologies Inc.
ON
No
Yes
No
INTELLIPHARMACEUTICS INTERNATIONAL
ON
INC.
No
No
No
Intema Solutions Inc.
QC
No
No
No
Inter Cable Communications Inc.
BC
No
Yes
No
Inter Canadian Development Corp.
BC
No
Yes
No
Inter Mountain Development Inc.
BC
No
Yes
No
Inter Pipeline Ltd.
AB
No
No
No
Inter-Asia Equities Inc.
BC
No
Yes
No
Inter-Globe Resources Ltd.
BC
No
Yes
No
Inter-Rock Minerals Inc.
ON
No
No
No
Interactive Capital Partners Corporation
ON
No
Yes
No
Interactive Telesis Inc.
BC
No
Yes
No
Intercable ICH inc.
QC
No
Yes
No
Intercept Energy Services Inc.
AB
No
No
No
Interchem (N.A.) Industries Inc.
BC
No
Yes
No
Page 130 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Intercon Petroleum Inc.
BC
No
Yes
No
Interconnect Ventures Corporation
BC
No
No
No
Intercontinental Data Control Corporation Ltd.
BC
No
Yes
No
Intercontinental Ventures Ltd.
BC
No
Yes
No
Interex Minerals Ltd.
BC
No
Yes
No
Interfac Mining Inc.
BC
No
Yes
No
Interfor Corporation
BC
No
No
No
Intergulf Resources Corp.
BC
No
Yes
No
Interlearn Holdings Ltd.
BC
No
Yes
No
Intermap Technologies Corporation
AB
No
No
No
International Antarex Metals Ltd.
AB
No
Yes
No
International Arlo Resources Ltd.
BC
No
Yes
No
International Autovalve Industries Ltd.
BC
No
Yes
No
International Avalon Aircraft Inc.
BC
No
Yes
No
International Avanti Productions Inc.
BC
No
Yes
No
International Barrier Technology Inc.
BC
No
No
No
International Bellevue Ventures Ltd.
BC
No
Yes
No
International Bethlehem Mining Corp.
BC
No
No
No
International Bigsky Resources Corp.
BC
No
Yes
No
International Black Gold Resources Inc.
BC
No
Yes
No
International Burgers Now Ltd.
BC
No
Yes
No
International Business Machines Corporation
ON
No
No
No
International Captain Industries Corp.
BC
No
Yes
No
International Coast Minerals Corporation
BC
No
Yes
No
International Containers Limited Partnership
BC
No
Yes
No
International Cotton Clothing Inc
BC
No
Yes
No
International Daleco Technologies Corporation BC
No
Yes
No
International Data Service Corporation
BC
No
Yes
No
International Datacasting Corporation
ON
No
No
No
International Display Corporation
BC
No
Yes
No
International Domesticated Furs Limited
BC
No
Yes
No
International Equity Alpha Corporate Class
ON
No
No
No
International Equity Class (Putnam)
ON
No
No
No
International Equity Growth Corporate Class
ON
No
No
No
International Equity Growth Pool
ON
No
No
No
International Equity Value Corporate Class
ON
No
No
No
International Equity Value Currency Hedged
Corporate Class
ON
No
No
No
International Equity Value Pool
ON
No
No
No
International Fairhaven Resources Ltd.
BC
No
Yes
No
Page 131 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
International Falcon Resources Inc.
MB
No
Yes
No
International Forestech Systems Ltd.
BC
No
Yes
No
International Frontier Resources Corporation
AB
No
No
No
International Geographics Ltd.
BC
No
Yes
No
International Gold Corporation
BC
No
No
No
International Growth Fund
BC
No
Yes
No
International Health & Beauty Inc.
BC
No
Yes
No
International Hi-Tech Industries Inc.
BC
No
Yes
No
International Ionarc Inc.
BC
No
Yes
No
International Isotopes Inc.
ON
No
No
No
International Kaaba Gold Corporation
BC
No
Yes
No
International Laser Tech Inc.
BC
No
Yes
No
International Lithium Corp.
BC
No
No
No
International Majestic Holdings Ltd.
BC
No
Yes
No
International Medical Imaging Specialists Inc.
BC
No
Yes
No
International Millennium Mining Corp.
BC
No
No
No
International Mining & Infrastructure
Corporation plc
BC
No
No
No
International Montoro Resources Inc.
BC
No
No
No
International Movie Group Inc.
BC
No
Yes
No
International Nesmont Industrial Corporation
BC
No
Yes
No
International Nutrition Technologies Inc.
BC
No
Yes
No
International Pacific Cypress Minerals Ltd.
BC
No
Yes
No
International Parkside Products Inc.
BC
No
No
No
International Player Enterprises Inc.
BC
No
Yes
No
International Plc Autopark Inc.
BC
No
Yes
No
International Praxis Resource Corp.
BC
No
Yes
No
International Prime Technologies Inc.
BC
No
Yes
No
International Ranger Corp.
BC
No
Yes
No
International Road Dynamics Inc.
SK
No
No
No
International Roraima Gold Corporation
BC
No
Yes
No
International Samuel Exploration Corp.
BC
No
No
No
International Sigma Security Inc.
BC
No
Yes
No
International SoftRock Oil Company Limited
AB
No
No
No
International Star Resources Ltd.
BC
No
Yes
No
International Starteck Industries Ltd.
BC
No
Yes
No
International Sterling Holdings Inc.
BC
No
Yes
No
International Submarine Safaris (Canada) Ltd.
BC
No
Yes
No
International Sunatco Industries Inc.
BC
No
Yes
No
International Technologies Corporation
BC
No
Yes
No
Page 132 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
International Texcan Technology Corp.
BC
No
Yes
No
International Tower Hill Mines Ltd.
BC
No
No
No
International Tungsten Inc.
BC
No
No
No
International Turbomist Inc.
BC
No
Yes
No
International Utility Structures Inc.
AB
No
Yes
No
International Wallcoverings Inc.
ON
No
Yes
No
International Werner Technologies Inc.
BC
No
Yes
No
InternetStudios.com, Inc.
BC
No
Yes
No
InterOil Corporation
AB
No
No
No
Interquest Incorporated
ON
No
Yes
No
Interquest Resources Corporation
BC
No
Yes
No
InterRent Real Estate Investment Trust
ON
No
No
No
Interstrat Resources Inc.
BC
No
Yes
No
Intertainment Media Inc.
ON
No
No
No
Intertape Polymer Group Inc.
QC
No
No
No
Intigold Mines Ltd.
BC
No
No
No
Intracoastal System Engineering Corporation
BC
No
Yes
No
Intrepid Mines Limited
ON
No
No
No
Intrex, The International Real Estate Exchange
BC
Corp.
No
Yes
No
Intrinsyc Technologies Corporation
BC
No
No
No
INV Metals Inc.
ON
No
No
No
Invenio Resources Corp.
BC
No
No
No
Inventronics Limited
MB
No
No
No
Invesco Allocation Fund
ON
No
No
No
Invesco Canada Money Market Fund
ON
No
No
No
Invesco Canadian Balanced Fund
ON
No
No
No
Invesco Canadian Equity Growth Class
ON
No
No
No
Invesco Canadian Premier Growth Class
ON
No
No
No
Invesco Canadian Premier Growth Fund
ON
No
No
No
Invesco Core Canadian Balanced Class
ON
No
No
No
Invesco Emerging Markets Debt Fund
ON
No
No
No
Invesco European Growth Class
ON
No
No
No
Invesco Global Growth Class
ON
No
No
No
INVESCO Global Real Estate Fund
ON
No
No
No
Invesco Indo-Pacific Fund
ON
No
No
No
Invesco Intactive 2023 Portfolio
ON
No
No
No
Invesco Intactive 2028 Portfolio
ON
No
No
No
Invesco Intactive 2033 Portfolio
ON
No
No
No
Invesco Intactive 2038 Portfolio
ON
No
No
No
Page 133 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Invesco Intactive Balanced Growth Portfolio
ON
No
No
No
Invesco Intactive Balanced Growth Portfolio
Class
ON
No
No
No
Invesco Intactive Balanced Income Portfolio
ON
No
No
No
Invesco Intactive Balanced Income Portfolio
Class
ON
No
No
No
Invesco Intactive Diversified Income Portfolio
ON
No
No
No
Invesco Intactive Diversified Income Portfolio
Class
ON
No
No
No
Invesco Intactive Growth Portfolio
ON
No
No
No
Invesco Intactive Growth Portfolio Class
ON
No
No
No
Invesco Intactive Maximum Growth Portfolio
ON
No
No
No
Invesco Intactive Maximum Growth Portfolio
Class
ON
No
No
No
Invesco Intactive Strategic Capital Yield
Portfolio Class
ON
No
No
No
Invesco Intactive Strategic Yield Portfolio
ON
No
No
No
Invesco International Growth Class
ON
No
No
No
Invesco International Growth Fund
ON
No
No
No
Invesco Pure Canadian Equity Class
ON
No
No
No
Invesco Pure Canadian Equity Fund
ON
No
No
No
Invesco Select Canadian Equity Class
ON
No
No
No
Invesco Select Canadian Equity Fund
ON
No
No
No
Invesco Short-Term Income Class
ON
No
No
No
Investissements TSPL Inc.
QC
No
Yes
No
Investment Grade Infrastructure Bond Fund
QC
No
No
No
Investors Canadian Balanced Fund
MB
No
No
No
Investors Canadian Bond Fund
MB
No
No
No
Investors Canadian Corporate Bond Fund
MB
No
No
No
Investors Canadian Equity Class
MB
No
No
No
Investors Canadian Equity Fund
MB
No
No
No
Investors Canadian Equity Income Fund
MB
No
No
No
Investors Canadian Growth Class
MB
No
No
No
Investors Canadian Growth Fund
MB
No
No
No
Investors Canadian High Yield Income Fund
MB
No
No
No
Investors Canadian Large Cap Value Class
MB
No
No
No
Investors Canadian Large Cap Value Fund
MB
No
No
No
Investors Canadian Money Market Fund
MB
No
No
No
Investors Canadian Natural Resource Fund
MB
No
No
No
Investors Canadian Small Cap Class
MB
No
No
No
Investors Canadian Small Cap Fund
MB
No
No
No
Page 134 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Investors Canadian Small Cap Growth Class
MB
No
No
No
Investors Canadian Small Cap Growth Fund
MB
No
No
No
Investors Capital Yield Class
MB
No
No
No
Investors Core Canadian Equity Class
MB
No
No
No
Investors Core Canadian Equity Fund
MB
No
No
No
Investors Core U.S. Equity Class
MB
No
No
No
Investors Core U.S. Equity Fund
MB
No
No
No
Investors Cornerstone I Portfolio
MB
No
No
No
Investors Cornerstone II Portfolio
MB
No
No
No
Investors Cornerstone III Portfolio
MB
No
No
No
Investors Dividend Class
MB
No
No
No
Investors Dividend Fund
MB
No
No
No
Investors European Equity Class
MB
No
No
No
Investors European Equity Fund
MB
No
No
No
Investors European Mid-Cap Equity Class
MB
No
No
No
Investors European Mid-Cap Equity Fund
MB
No
No
No
Investors Fixed Income Flex Portfolio
MB
No
No
No
Investors Global Bond Fund
MB
No
No
No
Investors Global Class
MB
No
No
No
Investors Global Consumer Companies Class
MB
No
No
No
Investors Global Dividend Fund
MB
No
No
No
Investors Global Financial Services Class
MB
No
No
No
Investors Global Financial Services Fund
MB
No
No
No
Investors Global Fixed Income Flex Portfolio
MB
No
No
No
Investors Global Fund
MB
No
No
No
Investors Global Health Care Class
MB
No
No
No
Investors Global Infrastructure Class
MB
No
No
No
Investors Global Natural Resources Class
MB
No
No
No
Investors Global Real Estate Fund
MB
No
No
No
Investors Global Science & Technology Class
MB
No
No
No
Investors Global Science & Technology Fund
MB
No
No
No
Investors Greater China Class
MB
No
No
No
Investors Greater China Fund
MB
No
No
No
Investors Growth Plus Portfolio
MB
No
No
No
Investors Growth Portfolio
MB
No
No
No
Investors Income Plus Portfolio
MB
No
No
No
Investors International Equity Class
MB
No
No
No
Investors International Equity Fund
MB
No
No
No
Investors International Small Cap Class
MB
No
No
No
Investors Managed Yield Class
MB
No
No
No
Page 135 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Investors Mortgage and Short Term Income
Fund
MB
No
No
No
Investors Mutual Of Canada
MB
No
No
No
Investors North American Equity Class
MB
No
No
No
Investors North American Equity Fund
MB
No
No
No
Investors Pacific International Class
MB
No
No
No
Investors Pacific International Fund
MB
No
No
No
Investors Pan Asian Equity Class (formely
Investors Pan Asian Growth Class)
MB
No
No
No
Investors Pan Asian Equity Fund (formerly
Investors Pan Asian Growth Fund)
MB
No
No
No
Investors Premium Money Market Fund
MB
No
No
No
Investors Quebec Enterprise Class
MB
No
No
No
Investors Quebec Enterprise Fund
MB
No
No
No
Investors Real Property Fund
MB
No
No
No
Investors Retirement Growth Portfolio
MB
No
No
No
Investors Retirement Plus Portfolio
MB
No
No
No
Investors Short Term Capital Yield Class
MB
No
No
No
Investors Summa SRI Class
MB
No
No
No
Investors Summa SRI Fund
MB
No
No
No
Investors Syndicate Limited
MB
No
No
No
Investors U.S. Dividend Growth Fund
MB
No
No
No
Investors U.S. Dividend Registered Fund
MB
No
No
No
Investors U.S. Large Cap Value Class
MB
No
No
No
Investors U.S. Large Cap Value Fund
MB
No
No
No
Investors U.S. Money Market Fund
MB
No
No
No
Investors U.S. Opportunities Class
MB
No
No
No
Investors U.S. Opportunities Fund
MB
No
No
No
Investors U.S. Small Cap Class
MB
No
No
No
Invictus Financial Inc.
BC
No
No
No
Invictus MD Strategies Corp.
BC
No
No
No
Inviro Medical Inc.
BC
No
Yes
No
InZinc Mining Ltd.
BC
No
No
No
Iona Energy Inc.
AB
No
No
No
IOU Financial Inc.
QC
No
No
No
Ipackets International Inc.
BC
No
Yes
No
Iplayco Corporation Ltd.
BC
No
No
No
iProfile Canadian Equity Class
MB
No
No
No
iProfile Canadian Equity Pool
MB
No
No
No
iProfile Emerging Markets Class
MB
No
No
No
iProfile Emerging Markets Pool
MB
No
No
No
Page 136 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
iProfile Fixed Income Pool
MB
No
No
No
iProfile International Equity Class
MB
No
No
No
iProfile International Equity Pool
MB
No
No
No
iProfile Money Market Pool
MB
No
No
No
iProfile U.S. Equity Class
MB
No
No
No
iProfile U.S. Equity Pool
MB
No
No
No
IRI Separation Technologies Inc.
BC
No
Yes
No
Iron Horse Resources Corp.
BC
No
Yes
No
Iron South Mining Corp.
BC
No
No
No
Iron Tank Resources Corp.
AB
No
No
No
Ironhorse Oil & Gas Inc.
AB
No
No
No
Ironwood Gold Corp.
BC
No
Yes
No
Irvco Resources Ltd
BC
No
Yes
No
iScope Inc.
ON
No
Yes
Yes
ISE Limited
ON
No
Yes
No
ISee3D Inc.
BC
No
Yes
No
iShares Balanced Income CorePortfolio Fund
ON
No
No
No
iShares 1-10 Year Laddered Corporate Bond
Index Fund
ON
No
No
No
iShares 1-10 Year Laddered Government Bond
ON
Index Fund
No
No
No
iShares 1-5 Year Laddered Corporate Bond
Index Fund
ON
No
No
No
iShares 1-5 Year Laddered Government Bond
index Fund
ON
No
No
No
iShares Advantaged Convertible Bond Index
Fund
ON
No
No
No
iShares Advantaged Short Duration High
Income ETF (CAD-Hedged)
ON
No
No
No
iShares Advantaged U.S. High Yield Bond
Index Fund (CAD-Hedged)
ON
No
No
No
iShares Alternatives Completion Portfolio
Builder Fund
ON
No
No
No
iShares Balanced Growth CorePortfolioTM
Fund
ON
No
No
No
iShares BRIC Index Fund
ON
No
No
No
iShares Broad Commodity Index ETF (CADHedged)
ON
No
No
No
iShares Broad Emerging Markets Fund
ON
No
No
No
iShares Canadian Corporate Bond Index ETF
ON
No
No
No
iShares Canadian Financial Monthly Income
ETF
ON
No
No
No
iShares Canadian Fundamental Index Fund
ON
No
No
No
Page 137 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
iShares Canadian Government Bond Index
ETF
ON
No
No
No
iShares Canadian Growth Index ETF
ON
No
No
No
iShares Canadian HYBrid Corporate Bond
Index ETF
ON
No
No
No
iShares Canadian Real Return Bond Index ETF ON
No
No
No
iShares Canadian Select Dividend Index ETF
ON
No
No
No
iShares Canadian Short Term Bond Index ETF ON
No
No
No
iShares Canadian Universe Bond Index ETF
ON
No
No
No
iShares Canadian Value Index ETF
ON
No
No
No
iShares China All-Cap Index Fund
ON
No
No
No
iShares China Index ETF
ON
No
No
No
iShares Conservative Core Portfolio Builder
Fund
ON
No
No
No
iShares Core Canadian Long Term Bond Index
ETF (formerly iShares Canadian Long Term
ON
Bond Fund Index ETF)
No
No
No
iShares Core Canadian Short Term Corporate
+ Maple Bond Index ETF (formerly iShares
ON
Canadian Short Term Corporate + Maple Bond
Index ETF)
No
No
No
iShares Core High Quality Canadian Bond
Index ETF (formerly iShares High Quality
Canadian Bond Index ETF)
ON
No
No
No
iShares Core MSCI All Country World ex
Canada Index ETF
ON
No
No
No
iShares Core MSCI EAFE IMI Index ETF (CADON
Hedged)
No
No
No
iShares Core MSCI EAFE IMI Index ETF
(formerly iShares MSCI EAFE IMI Index ETF)
ON
No
No
No
iShares Core MSCI Emerging Markets IMI
Index ETF (formerly iShares MSCI Emerging
Markets IMI Index ETF)
ON
No
No
No
iShares Core S&P 500 Index ETF (CADHedged) (formerly iShares S&P 500 Index ETF ON
(CAD-Hedged))
No
No
No
iShares Core S&P 500 Index ETF (formerly
iShares S&P 500 Index ETF)
ON
No
No
No
iShares Core S&P U.S. Total Market Index ETF ON
No
No
No
iShares Core S&P U.S. Total Market Index ETF
ON
(CAD-Hedged)
No
No
No
iShares Core S&P/TSX Capped Composite
Index ETF (formerly iShares S&P/TSX Capped ON
Composite Index ETF)
No
No
No
Page 138 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Default
CTO
Management
CTO
iShares Core S&P/TSX Composite High
Dividend Index ETF (formerly iShares S&P/TSX ON
Equity Income Index ETF)
No
No
No
iShares Core Short Term High Quality
Canadian Bond Index ETF
ON
No
No
No
iShares Diversified Monthly Income ETF
ON
No
No
No
iShares Equal Weight Banc & Lifeco ETF
ON
No
No
No
iShares Floating Rate Index ETF
ON
No
No
No
iShares Global Agriculture Index Fund
ON
No
No
No
iShares Global Completion Portfolio Builder
Fund
ON
No
No
No
iShares Global Healthcare Index ETF (CADHedged)
ON
No
No
No
iShares Global Infrastructure Index Fund
ON
No
No
No
iShares Global Monthly Advantaged Dividend
Index Fund
ON
No
No
No
iShares Global Real Estate Index Fund
ON
No
No
No
iShares Gold Bullion Fund
ON
No
No
No
iShares Growth Core Portfolio Builder Fund
ON
No
No
No
iShares India Index ETF
ON
No
No
No
iShares International Fundamental Index Fund
ON
No
No
No
iShares J.P. Morgan USD Emerging Markets
Bond Index ETF (CAD-Hedged)
ON
No
No
No
iShares Jantzi Social Index ETF
ON
No
No
No
iShares Japan Fundamental Index Fund (CADON
Hedged)
No
No
No
iShares Latin America Index ETF
ON
No
No
No
iShares MSCI All Country World Minimum
Volatility Index ETF
ON
No
No
No
iShares MSCI Brazil Index ETF
Issuer name
Principal
ON
No
No
No
iShares MSCI Canada Minimum Volatility Index
ON
ETF
No
No
No
iShares MSCI EAFE Minimum Volatility Index
ETF
ON
No
No
No
iShares MSCI EAFE® Index ETF (CADHedged))
ON
No
No
No
iShares MSCI Emerging Markets Index ETF
ON
No
No
No
iShares MSCI Emerging Markets Minimum
Volatility Index ETF
ON
No
No
No
iShares MSCI Europe IMI Index ETF
ON
No
No
No
iShares MSCI Europe IMI Index ETF (CADHedged)
ON
No
No
No
iShares MSCI USA Minimum Volatility Index
ETF
ON
No
No
No
Page 139 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
iShares MSCI World Index ETF
ON
No
No
No
iShares NASDAQ 100 Index ETF (CADHedged)
ON
No
No
No
iShares Oil Sands Index Fund
ON
No
No
No
iShares Premium Money Market ETF
ON
No
No
No
iShares S&P Global Consumer Discretionary
Index ETF (CAD-Hedged)
ON
No
No
No
iShares S&P Global Industrials Index ETF
(CAD-Hedged
ON
No
No
No
iShares S&P Global Water Index Fund
ON
No
No
No
iShares S&P US Dividend Growers Index Fund
ON
(CAD-Hedged)
No
No
No
iShares S&P/TSX 60 Index ETF
ON
No
No
No
iShares S&P/TSX Canadian Dividend
Aristocrats Index Fund
ON
No
No
No
iShares S&P/TSX Canadian Preferred Share
Index Fund
ON
No
No
No
iShares S&P/TSX Capped Consumer Staples
Index ETF
ON
No
No
No
iShares S&P/TSX Capped Energy Index ETF
ON
No
No
No
iShares S&P/TSX Capped Financials Index
ETF
ON
No
No
No
iShares S&P/TSX Capped Information
Technology Index ETF
ON
No
No
No
iShares S&P/TSX Capped Materials Index ETF ON
No
No
No
iShares S&P/TSX Capped REIT Index ETF
ON
No
No
No
iShares S&P/TSX Capped Utilities Index ETF
ON
No
No
No
iShares S&P/TSX Completion Index ETF
ON
No
No
No
iShares S&P/TSX Global Base Metals Index
ETF
ON
No
No
No
iShares S&P/TSX Global Gold Index ETF
ON
No
No
No
iShares S&P/TSX Global Mining Index Fund
ON
No
No
No
iShares S&P/TSX North American Preferred
Stock Index ETF (CAD-Hedged)
ON
No
No
No
iShares S&P/TSX SmallCap Index ETF
ON
No
No
No
iShares S&P/TSX Venture Index ETF
ON
No
No
No
iShares Short Term Strategic Fixed Income
ETF
ON
No
No
No
iShares Silver Bullion Fund
ON
No
No
No
iShares U.S. High Dividend Equity Index ETF
ON
No
No
No
iShares U.S. High Dividend Equity Index ETF
(CAD-Hedged)
ON
No
No
No
iShares U.S. High Yield Bond Index ETF (CADON
Hedged)
No
No
No
Page 140 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
iShares U.S. IG Corporate Bond Index ETF
(CAD-Hedged)
ON
No
No
No
iShares U.S. Small Cap Index ETF (CADHedged)
ON
No
No
No
iShares US Fundamental Index Fund
ON
No
No
No
iSign Media Solutions Inc.
ON
No
No
No
Island Mining And Explorations Co.Ltd.
BC
No
Yes
No
Island Star Resource Corp.
BC
No
Yes
No
ISP Limited
BC
No
Yes
No
ITC International Trading Corp.
BC
No
Yes
No
itemus inc.
BC
No
Yes
No
Ithaca Energy Inc.
AB
No
No
No
ITOK Capital Corp.
ON
No
Yes
No
Itokk, Inc.
BC
No
Yes
No
iTV Games, Inc.
BC
No
Yes
No
Ivaco Inc.
QC
No
Yes
No
Ivanhoe Energy Inc.
BC
No
No
No
Ivanhoe Mines Ltd.
BC
No
No
No
Ivernia Inc.
ON
No
No
No
IVG Enterprises Ltd.
AB
No
Yes
No
IVRnet Inc.
AB
No
No
No
IVS Intelligent Vehicle Systems Inc.
BC
No
Yes
No
IWG Technologies Inc.
BC
No
No
No
Ixora Communication Systems Inc.
BC
No
Yes
No
Izone International Ltd.
BC
No
Yes
No
J.C. International Petroleum Ltd.
BC
No
Yes
No
J.D.S. Investments Limited
BC
No
Yes
No
J.R. Energy Ltd.
BC
No
Yes
No
Jackal Energy Inc.
AB
No
Yes
No
Jackson Hole Holdings Corp.
BC
No
Yes
No
Jade International Industrial Group Ltd.
BC
No
Yes
No
Jadela Oil Corp.
AB
No
No
No
Jagercor Energy Corp.
BC
No
No
No
Jaguar Financial Corporation
ON
No
No
No
Jaguar Mining Inc.
ON
No
No
No
Jaguar Resources Inc.
AB
No
No
No
James Bay Resources Limited
ON
No
No
No
James Monroe Capital Corporation
BC
No
Yes
No
Jamie Frontier Resources Inc.
BC
No
Yes
No
Jammin Java Corp.
BC
No
Yes
No
Page 141 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Jarislowsky Fraser Select Balanced Fund
QC
No
No
No
Jarislowsky Fraser Select Canadian Equity
Fund
QC
No
No
No
Jarislowsky Fraser Select Income Fund
QC
No
No
No
Jarvis Mutual Partnership
BC
No
Yes
No
Jasper Mining Corporation
AB
No
No
No
Java Joe's International Corporation
QC
No
Yes
No
Javelin Energy Inc.
AB
No
Yes
No
Javelle Capital Corp.
BC
No
No
No
Jaxon Minerals Inc.
BC
No
No
No
Jayden Resources Inc.
BC
No
No
No
Jazz Resources Inc.
BC
No
No
No
JDS Uniphase Corporation
BC
No
No
No
Jean Pierre Cosmetiques Inc.
BC
No
Yes
No
Jefjen Capital Corporation
BC
No
Yes
No
Jemi Fibre Corp.
BC
No
No
No
Jemtec Inc.
BC
No
No
No
Jennifer Petroleums Ltd.
BC
No
Yes
No
Jentan Resources Ltd.
BC
No
Yes
No
JER Envirotech International Corp.
BC
No
Yes
No
Jerez Energy International Inc.
AB
No
Yes
No
Jericho Oil Corporation
BC
No
No
No
Jerico Explorations Inc.
BC
No
Yes
No
Jet Gold Corp.
BC
No
No
No
Jet Metal Corp.
BC
No
No
No
Jet Pacific Investments Ltd.
AB
No
Yes
No
Jetcom Inc.
ON
No
No
No
Jewett-Cameron Trading Company Ltd.
BC
No
No
No
JFT Strategies Fund
ON
No
No
No
JG Wealth Management Corporation
BC
No
No
No
Jiminex Inc.
ON
No
Yes
No
JINHUA CAPITAL CORPORATION
AB
No
No
No
Jiulian Resources Inc.
BC
No
No
No
JM Capital II Corp.
ON
No
No
No
Job Industries Ltd.
BC
No
Yes
No
John Deere Canada Funding Inc.
ON
No
No
No
John Deere Financial Inc.
ON
No
No
No
Johnston & Frye Securities Ltd.
BC
No
Yes
No
JONPOL RARE EARTHS INC.
BC
No
No
No
Josephine Mining Corp.
BC
No
No
No
Page 142 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Jourdan Resources Inc.
ON
No
No
No
Journey Energy Inc.
AB
No
No
No
Journey's End 1986 Offering
BC
No
Yes
No
Jov Hahn Conservative ETF Portfolio
ON
No
No
No
Jov Hahn Growth ETF Portfolio
ON
No
No
No
Jov Hahn Income & Growth ETF Portfolio
ON
No
No
No
Jov Leon Frazer Bond Fund
ON
No
No
No
JOV Leon Frazer Dividend Fund
ON
No
No
No
Jov Leon Frazer Preferred Equity Fund
ON
No
No
No
Jov Prosperity Canadian Equity Fund
ON
No
No
No
Jov Prosperity Canadian Fixed Income Fund
ON
No
No
No
Jov Prosperity International Equity Fund
ON
No
No
No
Jov Prosperity U.S. Equity Fund
ON
No
No
No
JOV Talisman Fund
ON
No
No
No
Jpy Holdings Ltd.
BC
No
Yes
No
Jubilee Gold Exploration Ltd.
ON
No
No
No
Jumbo Petroleum Corporation
ON
No
Yes
No
Junex Inc.
QC
No
No
No
Juniper Income Fund
ON
Yes
No
No
Jura Energy Corporation
AB
No
No
No
Just Energy Group Inc.
ON
No
No
No
K-Bro Linen Inc.
AB
No
No
No
Kafus Industries Ltd.
BC
No
Yes
No
Kairos Capital Corporation
AB
No
No
No
Kaiyue International Inc.
AB
No
No
No
Kaizen Capital Corp.
BC
No
No
No
Kaizen Discovery Inc.
BC
No
No
No
Kala Canada Ltd.
BC
No
Yes
No
Kaleidoscope Venture Capital Inc.
BC
No
Yes
No
Kali Venture Corporation
BC
No
Yes
No
Kalimantan Gold Corporation Limited
BC
No
No
No
Kam Creed Mines Ltd.
BC
No
Yes
No
Kaminak Gold Corporation
BC
No
No
No
Kamloops Cablenet Limited
BC
No
Yes
No
Kamplite International Industries Inc.
BC
No
Yes
No
Kancana Ventures Limited
BC
No
Yes
No
Kane Biotech Inc.
MB
No
No
No
Kaneh Bosm BioTechnology Inc.
BC
No
No
No
Kansai Mining Corporation
BC
No
Yes
No
Kap Resources Ltd.
BC
No
Yes
No
Page 143 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Kapuskasing Gold Corp.
BC
No
No
No
Kariana Resources Inc.
BC
No
No
No
Karmin Exploration Inc.
ON
No
No
No
Karnalyte Resources Inc.
AB
No
No
No
Karoo Exploration Corp.
BC
No
No
No
Karsten Energy Corp.
BC
No
No
No
Kast Telecom Europe S.A.
BC
No
Yes
No
Katanga Mining Limited
ON
No
No
No
Kaymus Resources Inc.
AB
No
No
No
Kazax Minerals Inc.
BC
No
No
No
Kazz Industries Inc.
AB
No
Yes
No
KBL CAPITAL CORP.
BC
No
Yes
No
KDR Industrials Ltd.
BC
No
Yes
No
Kedem Pharmaceuticals Inc.
BC
No
Yes
No
Keefer Resources Inc.
BC
No
Yes
No
KEEK Inc.
ON
No
No
No
Kelso Technologies Inc.
BC
No
No
No
Kelt Exploration Ltd.
AB
No
No
No
Kenieba Goldfields Ltd.
BC
No
No
No
Kenna Resources Corp.
BC
No
No
No
Kennady Diamonds Inc.
ON
No
No
No
Kennedy River Gold Inc.
BC
No
Yes
No
Kenting Energy Services Inc.
BC
No
Yes
No
Kenting-Lynx Acquisition Corporation
BC
No
Yes
No
Kermode Resources Ltd.
BC
No
No
No
Kerr Mines Inc.
ON
No
No
No
Kerrisdale Resources Ltd.
BC
No
Yes
No
Kesselrun Resources Ltd.
BC
No
No
No
Kestrel Gold Inc.
AB
No
No
No
Kettle River Resources Ltd.
BC
No
No
No
Keyera Corp.
AB
No
No
No
Keywest Resources Ltd.
BC
No
Yes
No
KFG Resources Ltd.
BC
No
No
No
Khalkos Exploration Inc.
QC
No
No
No
Khan Resources Inc.
ON
No
No
No
Kicking Horse Energy Inc.
AB
No
No
No
Kiddo Technologies Inc.
AB
No
Yes
No
Kilkenny Capital Corporation
QC
No
No
No
Killam Properties Inc.
NS
No
No
No
Killdeer Minerals Inc.
BC
No
No
No
Page 144 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Killick Gold Company Ltd.
BC
No
Yes
No
KILO Goldmines Ltd.
ON
No
No
No
Kimpex International Inc.
QC
No
Yes
No
Kinai Technologies Inc.
BC
No
Yes
No
Kinaxis Inc.
ON
No
No
No
Kinburn Technology Corporation
BC
No
Yes
No
Kincora Copper Limited
BC
No
No
No
Kinetex Resources Corporation
BC
No
Yes
Yes
King Communications International Limited
BC
No
Yes
No
King George Financial Corporation
BC
No
No
No
King Street Estates Phase I Limited Partnership MB
No
Yes
No
King's Bay Gold Corporation
MB
No
No
No
Kingscross Communities Incorporated
ON
No
Yes
No
Kingsland Energy Corp.
SK
No
No
No
Kingsway Arms Retirement Residences Inc.
ON
No
No
No
Kingsway Financial Services Inc.
ON
No
No
No
Kingsway Linked Return of Capital Trust
ON
No
No
No
Kingtron International Inc.
BC
No
Yes
No
Kinross Gold Corporation
ON
No
No
No
Kintana Resources Ltd.
BC
No
Yes
No
Kipp & Zonen Inc.
SK
No
Yes
No
Kirin International Holding, Inc.
BC
No
Yes
No
Kirkcaldy Capital Corp.
BC
No
No
No
Kirkland Lake Gold Inc.
ON
No
No
No
Kirkland Precious Metals Corp.
BC
No
No
No
Kirrin Resources Inc.
AB
No
Yes
No
Kiska Metals Corporation
BC
No
No
No
Kitrinor Metals Inc.
ON
No
No
No
Kivalliq Energy Corporation
BC
No
No
No
Kleena Kleene Gold Mines Ltd.
BC
No
Yes
No
Klondex Mines Ltd.
BC
No
No
No
Klondike Gold Corp.
BC
No
No
No
Klondike Silver Corp.
BC
No
No
No
KMT-Hansa Corp.
BC
No
No
No
Knick Exploration Inc.
QC
No
No
No
Knight Therapeutics Inc.
QC
No
No
No
Knight's Oil And Gas Exploration And
Company,limited Partnership
BC
No
Yes
No
Knighthawk Inc.
BC
No
No
No
Knightscove Media Corp.
ON
No
Yes
No
Page 145 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Knightswood Financial Corp.
BC
No
No
No
Knol Resources Corp.
BC
No
No
No
Knowledge House Inc.
NS
No
Yes
No
Knowledge Plus Multimedia Publishing Ltd.
BC
No
Yes
No
Knowledgemax, Inc.
BC
No
Yes
No
Knowlton Capital Inc.
QC
No
No
No
Koba Capital Corp.
BC
No
Yes
No
Kobex Minerals Inc.
BC
No
No
No
Kodiak Energy Services Ltd.
AB
No
Yes
No
Kodiak Energy, Inc.
AB
No
Yes
No
KoKo Petroleum, Inc.
BC
No
Yes
No
Kola Mining Corp.
BC
No
No
No
KOLOMBO TECHNOLOGIES LTD.
QC
No
Yes
No
Kombat Copper Inc.
ON
No
No
No
Komet Resources Inc.
QC
Yes
No
No
Komodo, Inc.
BC
No
Yes
No
Konexus Technologies Limited
ON
No
Yes
No
Kootenay Silver Inc.
BC
No
No
No
Kosa Resources Ltd.
BC
No
Yes
No
Kowkash Gold Corp.
BC
No
Yes
No
KP Tissue Inc.
ON
No
No
No
KR Investment Ltd.
BC
No
No
No
Kramer Capital Corp.
BC
No
No
No
Kree Tech International Corporation
QC
No
Yes
No
Krifter Holdings Inc.
BC
No
Yes
No
Krigold Resources Ltd.
BC
No
Yes
No
Krystal Bond Inc.
ON
No
Yes
No
Kumix Resources Corporation
BC
No
Yes
No
Kunekt Corporation
BC
No
Yes
No
KWG Resources Inc.
QC
No
No
No
L.R.C. Resources Inc.
BC
No
Yes
No
La Fosse Platinum Group Inc.
BC
No
Yes
No
La Imperial Resources Inc.
BC
No
No
No
La Quinta Resources Corporation
BC
No
No
No
La Tour 1990 II Limited Partnership
BC
No
Yes
No
LAB Research Inc.
QC
No
Yes
No
Labrador Iron Mines Holdings Limited
ON
No
No
No
Labrador Iron Ore Royalty Corporation
ON
No
No
No
Labrador Technologies Inc.
AB
No
No
No
Lachlan Star Limited
BC
No
No
No
Page 146 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Lago Dourado Minerals Ltd.
ON
No
No
No
Laja Capital Corporation
AB
No
No
No
Lake Louise Limited Partnership
MB
No
No
No
Lake Shore Gold Corp.
ON
No
No
No
Lake Ventures Ltd.
BC
No
Yes
No
Lake Victoria Mining Company, Inc.
BC
No
No
No
Lakeland Resources Inc.
BC
No
No
No
Lakeland Royalty & Petroleum Corporation
BC
No
Yes
No
Lakeside Minerals Inc
AB
No
No
No
Lakeview Hotel Investment Corp.
MB
No
No
No
Lakewood Forest Products Ltd.
BC
No
Yes
No
Lambus Enterprises Inc.
AB
No
Yes
No
Lamêlée Iron Ore Ltd.
QC
No
No
No
Landdrill International Inc.
NB
No
Yes
No
Landmark Global Financial Corporation
ON
No
Yes
No
Landmark Oil & Gas Corp.
AB
No
Yes
No
Lands End Resources Ltd.
AB
No
Yes
No
Landstar Properties Inc.
BC
No
Yes
No
Lanesborough Real Estate Investment Trust
MB
No
No
No
Lanpar Technologies Inc.
BC
No
Yes
No
Lara Exploration Ltd.
BC
No
No
No
Laramide Resources Ltd.
ON
No
No
No
Laredo Resources Corp.
BC
No
Yes
No
Laredo Resources Inc
BC
No
Yes
No
Largo Resources Ltd.
ON
No
No
No
Lariat Energy Ltd.
BC
No
No
No
Las Vegas From Home.com Entertainment Inc. BC
No
No
No
Laser Magic International Inc.
BC
No
Yes
No
Laser Publishing Inc.
BC
No
Yes
No
Lasik Vision Corporation
BC
No
Yes
No
LATelco International Inc.
BC
No
Yes
No
Lateral Gold Corp.
BC
No
No
No
Latin American Gold Ltd.
BC
No
Yes
No
Latin American Minerals Inc.
BC
No
No
No
Launch Resources Inc.
AB
No
Yes
No
Laurentian Bank of Canada
QC
No
No
No
Laurion Mineral Exploration Inc.
ON
No
No
No
Lava Systems Inc.
ON
No
Yes
No
Lavalin Industries
BC
No
Yes
No
Lawrence Mining Corporation
BC
No
Yes
No
Page 147 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Lawrence Park Strategic Income Fund
ON
No
No
No
Lazard Emerging Markets Multi Asset Fund
ON
No
No
No
Lazard Global Balanced Income Fund
ON
No
No
No
Lazard Global Equity Income Fund
ON
No
No
No
Lazer Maze Industries Inc.
BC
No
Yes
No
LCTI Low Carbon Technologies International
Inc.
BC
No
Yes
No
LDIC North American Energy Infrastructure
Fund
ON
No
No
No
Le Chateau Inc.
QC
No
No
No
Le Groupe Opus Communications Inc.
BC
No
Yes
No
Leader Energy Services Ltd.
AB
No
No
No
Leader Mining International Inc.
AB
No
Yes
No
Leaders Equity Corp.
BC
No
Yes
No
Leading Brands, Inc.
BC
No
No
No
Learnco International Inc.
ON
No
Yes
No
LED Medical Diagnostics Inc.
BC
No
No
No
Leeta Gold Corp.
BC
No
No
No
Leeward Capital Corp
AB
No
Yes
No
Leeward Group Holdings Inc.
BC
No
Yes
No
Legacy Oil + Gas Inc.
AB
No
No
No
Legend Gold Corp.
BC
No
No
No
Legend Power Systems Inc.
BC
No
No
No
Legumex Walker Inc.
MB
No
No
No
Lehman Trikes Inc.
AB
No
Yes
No
Lehndorff Canadian Properties
ON
No
Yes
No
Leis Industries Limited
AB
No
No
No
Leisureworld Senior Care Corporation
ON
No
No
No
Leitak Enterprises Ltd.
BC
No
Yes
No
Leith Wheeler Balanced Fund
BC
No
No
No
Leith Wheeler Canadian Dividend Fund
BC
No
No
No
Leith Wheeler Canadian Equity Fund
BC
No
No
No
Leith Wheeler Corporate Fixed Income Fund
BC
No
No
No
Leith Wheeler Fixed Income Fund
BC
No
No
No
Leith Wheeler Income Advantage Fund
BC
No
No
No
Leith Wheeler International Equity Plus Fund
BC
No
No
No
Leith Wheeler Money Market Fund
BC
No
No
No
Leith Wheeler U.S. Equity Fund
BC
No
No
No
Lenox Polymers Limited
ON
No
Yes
No
Leo Acquisitions Corp.
ON
No
No
No
Page 148 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Leo Resources Inc.
ON
No
No
No
LeoNovus Inc.
ON
No
No
No
Les Mines J.A.G. Ltée
QC
No
No
No
Les Technologies Corp.
BC
No
Yes
No
Less Mess Storage Inc.
BC
No
No
No
Lessonware Ltd.
BC
No
Yes
No
Letho Resources Corp.
BC
No
No
No
LEUCADIA FINANCE PARTNERS INC.
BC
No
No
No
Leucrotta Exploration Inc.
AB
No
No
No
Lev Scientific Industries Ltd.
BC
No
Yes
No
Levon Resources Ltd.
BC
No
No
No
Levtech Medical Technologies Ltd.
BC
No
Yes
No
Lexam VG Gold Inc.
ON
No
No
No
Lexaria Corp.
BC
No
No
No
Lexicon Building Systems Ltd.
BC
No
Yes
No
LGC Skyrota Wind Energy Corp.
BC
No
Yes
No
LGX Oil + Gas Inc.
AB
No
No
No
Libra Industries Inc.
BC
No
Yes
No
Life & Banc Split Corp.
ON
No
No
No
Life Medical Corporation
AB
No
Yes
No
Lifetime Ventures Ltd.
BC
No
Yes
No
Lifetrends Behavioral Systems Inc.
BC
No
Yes
No
Lightstream Resources Ltd.
AB
No
No
No
Lignol Energy Corporation
BC
No
Yes
No
Limerick Mines Ltd.
ON
No
Yes
No
Limited Duration Investment Grade Preferred
Securities Fund
ON
No
No
No
Limtech Lithium Industries Inc.
QC
No
Yes
No
Linamar Corporation
ON
No
No
No
Lincluden Balanced Fund
ON
No
No
No
Lincoln Mining Corporation
BC
Yes
No
No
Lingo Media Corporation
ON
No
No
No
Lingxian Capital Inc.
BC
No
No
No
Link Mineral Ventures Ltd.
ON
No
Yes
No
Linqster Technologies Inc.
BC
No
No
No
Linux Gold Corp.
BC
No
Yes
No
Lion One Metals Limited
BC
No
No
No
Lions Bay Capital Inc.
BC
No
No
No
Lions Gate Energy Inc.
BC
No
No
No
Lions Gate Entertainment Corp.
BC
No
No
No
Page 149 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Lions Gate Metals Inc.
BC
No
No
No
Lions Petroleum Inc.
BC
No
Yes
No
Liquid Entertainment Ltd.
BC
No
No
No
Liquid Nutrition Group Inc.
ON
No
No
No
Liquor Stores N.A. Ltd.
AB
No
No
No
Litewave Corp.
BC
No
Yes
No
Lithium Americas Corp.
ON
No
No
No
Liuyang Fireworks Limited
BC
No
No
No
Live Current Media, Inc.
BC
No
Yes
No
Livent Inc.
ON
No
Yes
No
LL CAPITAL CORP.
ON
No
No
No
Loadmaster Systems, Inc.
BC
No
Yes
No
Loblaw Companies Limited
ON
No
No
No
Lochaird Energy Inc.
AB
No
Yes
No
Locke Rich Minerals Ltd.
BC
No
Yes
No
Logan Copper Inc.
BC
No
Yes
No
Logan International Inc.
AB
No
No
No
Logan Resources Ltd.
BC
No
No
No
Logicon Products Ltd.
BC
No
Yes
No
Logistec Corporation
QC
No
No
No
Logo Resources Ltd.
BC
No
Yes
No
Loh's Sinfully Good Ice Cream & Cookies Inc.
BC
No
Yes
No
LoJack Corporation
QC
No
No
No
Lollipop Daycare Ltd.
BC
No
Yes
No
Loma Oil & Gas Ltd.
AB
No
Yes
No
Loma Vista Capital Inc.
ON
No
No
No
Lomiko Metals Inc.
BC
No
No
No
Loncor Resources Inc.
ON
No
No
No
London Silver Corporation
BC
No
Yes
No
Lonestar West Inc.
AB
No
No
No
Long Duration Bond Fund
ON
No
No
No
Long Duration Credit Bond Fund
ON
No
No
No
Long Harbour Exploration Corp.
BC
No
No
No
Long Run Exploration Ltd.
AB
No
No
No
Longacre Resources Inc.
BC
No
No
No
Longboat Resources Inc.
BC
No
Yes
No
Longreach Resources Ltd.
BC
No
Yes
No
Lonsdale Apartment Project
ON
No
Yes
No
Loon Energy Corporation
AB
No
No
No
Lord Tech Inc
BC
No
Yes
No
Page 150 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Lorne Park Capital Partners Inc.
ON
No
No
No
Lornex Capital Inc.
BC
No
No
No
Lornex Mining Corporation Ltd.
BC
No
Yes
No
Lorraine Copper Corp.
BC
No
No
No
Los Andes Copper Ltd.
BC
No
No
No
Lotus Ventures Inc.
BC
No
No
No
Louisiana Mining Corporation
BC
No
Yes
No
Lounor Exploration Inc.
QC
No
Yes
No
Louvicourt Gold Mines Inc.
BC
No
Yes
No
Lovitt Resources Inc.
BC
No
No
No
Low Volatility Canadian Equities Income Fund
ON
No
No
No
Low Volatility U.S. Equity Income Fund
ON
No
No
No
Lowell Copper Ltd.
BC
No
No
No
Lowrider Resources Ltd.
BC
No
Yes
No
Loyalist Group Limited
ON
No
No
No
LPBP Inc.
ON
No
No
No
Lrg Restaurant Group, Inc.
BC
No
Yes
No
Lucara Diamond Corp.
BC
No
No
No
Lucky Break Gold Inc.
BC
No
Yes
No
Lucky Minerals Inc.
BC
No
No
No
Lucky Strike Resources Ltd.
BC
No
No
No
lululemon athletica inc.
BC
No
No
No
Lumenpulse Inc.
QC
No
No
No
Luminex Corporation
ON
No
No
No
Luna Gold Corp.
BC
No
No
No
Luna Technologies International, Inc.
BC
No
Yes
No
Lunar Resources Ltd.
BC
No
Yes
No
Lund Enterprises Corp.
BC
No
No
No
Lundin Gold Inc.
BC
No
No
No
Lundin Mining Corporation
ON
No
No
No
Lupaka Gold Corp.
BC
No
No
No
Luxor Industrial Corporation
BC
No
No
No
LWT Services Inc
AB
No
Yes
No
Lydia Diamond Exploration of Canada Ltd.
ON
No
Yes
No
Lydian International Limited
ON
No
No
No
Lynden Energy Corp.
BC
No
No
No
Lynnfield Resource Corp.
BC
No
Yes
No
Lynngold Resources Inc.
BC
No
Yes
No
Lynx Geosystems Inc.
BC
No
Yes
No
Lynx Security Incorporated
BC
No
Yes
No
Page 151 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Lyon Lake Mines Ltd.
QC
No
Yes
No
Lyrtech Inc.
QC
No
Yes
No
Lysander Balanced Fund
ON
No
No
No
Lysander Bond Fund
ON
No
No
No
Lysander Corporate Value Bond Fund
ON
No
No
No
Lysander Equity Fund
ON
No
No
No
Lysander Short Term and Floating Rate Fund
ON
No
No
No
Lysander U.S. Credit Fund
ON
No
No
No
Lysander-18 Asset Management Canadian
Equity Fund
ON
No
No
No
Lysander-Crusader Equity Income Fund
ON
No
No
No
Lysander-Seamark Balanced Fund
ON
No
No
No
Lysander-Seamark Total Equity Fund
ON
No
No
No
Lysander-Slater Preferred Share Dividend Fund ON
No
No
No
M Pharmaceutical Inc.
BC
No
No
No
M Split Corp.
ON
No
No
No
M.C. Beverages, Ltd.
BC
No
Yes
No
M.I.T. Ventures Corp.
BC
No
Yes
No
M.L. Cass Petroleum Corporation
AB
No
Yes
No
M.S.A. Surf City Water Park Limited
Partnership
BC
No
Yes
No
M8 Entertainment Inc.
QC
No
Yes
No
Macarthur Minerals Limited
BC
No
No
No
MacDonald Mines Exploration Ltd.
ON
No
No
No
MacDonald Oil Exploration Ltd.
ON
No
Yes
No
MacDonald, Dettwiler and Associates Ltd.
BC
No
No
No
Macdougall Development Corp.
BC
No
Yes
No
Mackenzie All Cap Dividend Class
ON
No
No
No
Mackenzie Asian Bond Fund
ON
No
No
No
Mackenzie Canadian All Cap Balanced Class
ON
No
No
No
Mackenzie Canadian All Cap Balanced Fund
ON
No
No
No
Mackenzie Canadian All Cap Dividend Class
ON
No
No
No
Mackenzie Canadian All Cap Dividend Fund
ON
No
No
No
Mackenzie Canadian All Cap Value Class
ON
No
No
No
Mackenzie Canadian All Cap Value Fund
ON
No
No
No
Mackenzie Canadian Bond Fund
ON
No
No
No
Mackenzie Canadian Concentrated Equity
Fund
ON
No
No
No
Mackenzie Canadian Growth Balanced Fund
ON
No
No
No
Mackenzie Canadian Growth Fund
ON
No
No
No
Page 152 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Mackenzie Canadian Large Cap Balanced
Fund
ON
No
No
No
Mackenzie Canadian Large Cap Dividend &
Growth Fund
ON
No
No
No
Mackenzie Canadian Large Cap Dividend Class ON
No
No
No
Mackenzie Canadian Large Cap Dividend Fund ON
No
No
No
Mackenzie Canadian Large Cap Growth Fund
ON
No
No
No
Mackenzie Canadian Money Market Class
ON
No
No
No
Mackenzie Canadian Money Market Fund
ON
No
No
No
Mackenzie Canadian Resource Class
ON
No
No
No
Mackenzie Canadian Resource Fund
ON
No
No
No
Mackenzie Canadian Short Term Income Fund ON
No
No
No
Mackenzie Canadian Small Cap Value Class
ON
No
No
No
Mackenzie Canadian Small Cap Value Fund
ON
No
No
No
Mackenzie Corporate Bond Fund
ON
No
No
No
Mackenzie Cundill Canadian Balanced Fund
ON
No
No
No
Mackenzie Cundill Canadian Security Class
ON
No
No
No
Mackenzie Cundill Canadian Security Fund
ON
No
No
No
Mackenzie Cundill Recovery Class
ON
No
No
No
Mackenzie Cundill Recovery Fund
ON
No
No
No
Mackenzie Cundill US Class
ON
No
No
No
Mackenzie Cundill Value Class
ON
No
No
No
Mackenzie Cundill Value Fund
ON
No
No
No
Mackenzie Diversified Equity Fund
ON
No
No
No
Mackenzie Emerging Markets Class
ON
No
No
No
Mackenzie Emerging Markets Opportunities
Class
ON
No
No
No
Mackenzie Floating Rate Income Fund
ON
No
No
No
Mackenzie Global Asset Strategy Fund
ON
No
No
No
Mackenzie Global Bond Fund
ON
No
No
No
Mackenzie Global Concentrated Equity Class
ON
No
No
No
Mackenzie Global Concentrated Equity Fund
ON
No
No
No
Mackenzie Global Diversified Balanced Fund
ON
No
No
No
Mackenzie Global Diversified Equity Class
ON
No
No
No
Mackenzie Global Dividend Fund
ON
No
No
No
Mackenzie Global Equity Income Fund
ON
No
No
No
Mackenzie Global Growth Class
ON
No
No
No
Mackenzie Global Resource Class
ON
No
No
No
Mackenzie Global Small Cap Growth Class
ON
No
No
No
Mackenzie Global Small Cap Growth Fund
ON
No
No
No
Mackenzie Global Strategic Income Fund
ON
No
No
No
Page 153 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Mackenzie Global Tactical Bond Fund
ON
No
No
No
Mackenzie Gold Bullion Class
ON
No
No
No
Mackenzie Growth Fund
ON
No
No
No
Mackenzie Income Fund
ON
No
No
No
Mackenzie International Growth Class
ON
No
No
No
Mackenzie International Growth Fund
ON
No
No
No
Mackenzie Investment Grade Floating Rate
Fund
ON
No
No
No
Mackenzie Ivy Canadian Balanced Fund
ON
No
No
No
Mackenzie Ivy Canadian Fund
ON
No
No
No
Mackenzie Ivy European Class
ON
No
No
No
Mackenzie Ivy Foreign Equity Class
ON
No
No
No
Mackenzie Ivy Foreign Equity Currency Neutral
ON
Class
No
No
No
Mackenzie Ivy Foreign Equity Fund
ON
No
No
No
Mackenzie Ivy Global Balanced Fund
ON
No
No
No
Mackenzie Master Limited Partnership
ON
No
No
No
Mackenzie Monthly Income Balanced Portfolio
ON
No
No
No
Mackenzie Monthly Income Conservative
Portfolio
ON
No
No
No
Mackenzie North American Corporate Bond
Class
ON
No
No
No
Mackenzie North American Corporate Bond
Fund
ON
No
No
No
Mackenzie Precious Metals Class
ON
No
No
No
Mackenzie Real Return Bond Fund
ON
No
No
No
Mackenzie Sovereign Bond Fund
ON
No
No
No
Mackenzie Strategic Bond Fund
ON
No
No
No
Mackenzie Strategic Income Class
ON
No
No
No
Mackenzie Strategic Income Fund
ON
No
No
No
Mackenzie Unconstrained Fixed Income Fund
ON
No
No
No
Mackenzie US Dividend Fund
ON
No
No
No
Mackenzie US Dividend Registered Fund
ON
No
No
No
Mackenzie US Growth Class
ON
No
No
No
Mackenzie US Large Cap Class
ON
No
No
No
Mackenzie US Large Cap Growth Fund
ON
No
No
No
Mackenzie US Low Volatility Fund
ON
No
No
No
Mackenzie US Mid Cap Growth Class
ON
No
No
No
Mackenzie US Mid Cap Growth Currency
Neutral Class
ON
No
No
No
Maclos Capital Inc.
ON
No
No
No
Page 154 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
MacMillan Minerals Inc.
ON
No
No
No
Macquarie Emerging Markets Infrastructure
Income Fund
ON
No
No
No
Macquarie Global Infrastructure Income Fund
ON
No
No
No
Macro Enterprises Inc.
BC
No
No
No
Macusani Yellowcake Inc.
ON
No
No
No
Mad Catz Interactive, Inc.
ON
No
No
No
Madalena Energy Inc.
AB
No
No
No
Madeira Minerals Ltd.
BC
No
No
No
Madison Companies Limited, The
AB
No
Yes
No
Madison Explorations Inc.
BC
No
No
No
Madison Pacific Properties Inc.
BC
No
No
No
Madonna Educational Group Of Canada Ltd.
BC
No
Yes
No
Madrona Mining Limited
AB
No
Yes
No
Madrona Resources Inc.
BC
No
Yes
No
Maesa Gaming Management Inc.
BC
No
Yes
No
Maestro Capital Corporation
ON
No
No
No
Mag Silver Corp.
BC
No
No
No
Magellan Aerospace Corporation
ON
No
No
No
Magellan Minerals Ltd.
BC
Yes
No
No
Magellan Real Estate Investment Fund Limited
BC
Partnership
No
Yes
No
Magenta Development Corporation
BC
No
Yes
No
Maghemite Inc.
BC
No
Yes
No
MagiCorp Entertainment Inc.
ON
No
Yes
No
MagIndustries Corp.
ON
No
No
No
Magna International Inc.
ON
No
No
No
Magnum Energy Inc.
AB
No
Yes
No
Magnum Goldcorp Inc.
BC
No
No
No
Magnum Hunter Resources Corporation
AB
No
No
No
Magnum Resources Ltd.
BC
No
Yes
No
Magnus International Resources Inc.
BC
No
Yes
No
Magor Corporation
ON
No
No
No
MailBoxCity Corporation
AB
No
Yes
No
Main Place Land Corporation
BC
No
Yes
No
Mainfort Marine International Corporation
BC
No
Yes
No
Mainland Resources Inc.
BC
No
Yes
No
Mainstream Minerals Corporation
MB
No
No
No
Mainstreet Equity Corp.
AB
No
No
No
Majescor Resources Inc.
QC
No
No
No
Page 155 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Majestic Gold Corp.
BC
No
No
No
Majesty Resources Limited
BC
No
Yes
No
Major Drilling Group International Inc.
NB
No
No
No
Makena Resources Inc.
BC
No
No
No
Makus Resources Inc.
BC
No
Yes
No
Malaga Inc.
QC
No
Yes
No
Malaysia Pro-Guardians Security Management
BC
Corporation
No
Yes
No
Malbex Resources Inc.
ON
No
No
No
Malette Industries Inc.
QC
No
Yes
No
Mammoth Resources Corp.
BC
No
No
No
Manac Inc.
QC
No
No
No
Manado Gold Corp.
BC
No
No
No
Manar Canada Inc.
BC
No
Yes
No
Mandalay Resources Corporation
ON
No
No
No
Mandalla Resources Ltd
BC
No
Yes
No
Mandate National Mortgage Corporation
BC
No
No
No
Manera Capital Corp.
BC
No
No
No
Manfrey Capital Corporation
BC
No
Yes
No
Mangazeya Mining Ltd.
ON
No
No
No
Manitex Capital Inc.
QC
No
No
No
Manitoba Telecom Services Inc.
MB
No
No
No
Manitok Energy Inc.
AB
No
No
No
Manitou Gold Inc.
ON
No
No
No
Manson Creek Resources Ltd.
AB
No
No
No
Mantra Venture Group Ltd.
BC
No
No
No
Manulife Asia Equity Class
ON
No
No
No
Manulife Asia Total Return Bond Fund
ON
No
No
No
Manulife Balanced Equity Private Pool
ON
No
No
No
Manulife Balanced Income Private Trust
ON
No
No
No
Manulife Bond Fund
ON
No
No
No
Manulife Canadian Balanced Fund
ON
No
No
No
Manulife Canadian Balanced Private Pool
ON
No
No
No
Manulife Canadian Bond Fund
ON
No
No
No
Manulife Canadian Bond Plus Fund
ON
No
No
No
Manulife Canadian Conservative Balanced
Fund
ON
No
No
No
Manulife Canadian Equity Balanced Class
ON
No
No
No
Manulife Canadian Equity Index Fund
ON
No
No
No
Manulife Canadian Equity Private Pool
ON
No
No
No
Page 156 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Manulife Canadian Fixed Income Private Trust
ON
No
No
No
Manulife Canadian Focused Class
ON
No
No
No
Manulife Canadian Focused Fund
ON
No
No
No
Manulife Canadian Growth Stock Fund
ON
No
No
No
Manulife Canadian Investment Class
ON
No
No
No
Manulife Canadian Investment Fund
ON
No
No
No
Manulife Canadian Opportunities Balanced
Class
ON
No
No
No
Manulife Canadian Opportunities Balanced
Fund
ON
No
No
No
Manulife Canadian Opportunities Class
ON
No
No
No
Manulife Canadian Opportunities Fund
ON
No
No
No
Manulife Canadian Stock Class
ON
No
No
No
Manulife Canadian Stock Fund
ON
No
No
No
Manulife Canadian Universe Bond Fund
ON
No
No
No
Manulife China Class
ON
No
No
No
Manulife Corporate Bond Fund
ON
No
No
No
Manulife Corporate Fixed Income Private Trust ON
No
No
No
Manulife Diversified Income Portfolio
ON
No
No
No
Manulife Diversified Investment Fund
ON
No
No
No
Manulife Diversified Strategies Fund
ON
No
No
No
Manulife Dividend Income Class
ON
No
No
No
Manulife Dividend Income Fund
ON
No
No
No
Manulife Dividend Income Private Pool
ON
No
No
No
Manulife Dollar-Cost Averaging Fund
ON
No
No
No
Manulife Emerging Markets Debt Fund
ON
No
No
No
Manulife Finance (Delaware), L.P.
ON
No
No
No
Manulife Financial Capital Trust II
ON
No
No
No
Manulife Financial Corporation
ON
No
No
No
Manulife Floating Rate Income Fund
ON
No
No
No
Manulife Floating Rate Senior Loan Fund
ON
No
No
No
Manulife Global All Cap Focused Fund
ON
No
No
No
Manulife Global Balanced Fund
ON
No
No
No
Manulife Global Balanced Private Trust
ON
No
No
No
Manulife Global Dividend Class
ON
No
No
No
Manulife Global Dividend Fund
ON
No
No
No
Manulife Global Equity Class
ON
No
No
No
Manulife Global Equity Private Pool
ON
No
No
No
Manulife Global Fixed Income Private Trust
ON
No
No
No
Manulife Global Focused Balanced Fund
ON
No
No
No
Page 157 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Manulife Global Focused Class
ON
No
No
No
Manulife Global Focused Fund
ON
No
No
No
Manulife Global Infrastructure Class
ON
No
No
No
Manulife Global Infrastructure Fund
ON
No
No
No
Manulife Global Managed Volatility Portfolio
ON
No
No
No
Manulife Global Real Estate Class
ON
No
No
No
Manulife Global Real Estate Fund
ON
No
No
No
Manulife Global Small Cap Balanced Fund
ON
No
No
No
Manulife Global Small Cap Fund
ON
No
No
No
Manulife Global Strategic Balanced Yield Fund ON
No
No
No
Manulife Global Tactical Credit Fund
ON
No
No
No
Manulife Growth Opportunities Class
ON
No
No
No
Manulife Growth Opportunities Fund
ON
No
No
No
Manulife High Yield Bond Fund
ON
No
No
No
Manulife International Equity Index Fund
ON
No
No
No
Manulife International Focused Fund
ON
No
No
No
Manulife International Value Equity Fund
ON
No
No
No
Manulife Leaders Balanced Growth Portfolio
ON
No
No
No
Manulife Leaders Balanced Income Portfolio
ON
No
No
No
Manulife Leaders Opportunities Portfolio
ON
No
No
No
Manulife Money Fund
ON
No
No
No
Manulife Money Market Private Trust
ON
No
No
No
Manulife Monthly High Income Class
ON
No
No
No
Manulife Monthly High Income Fund
ON
No
No
No
Manulife Preferred Income Class
ON
No
No
No
Manulife Short Term Bond Fund
ON
No
No
No
Manulife Short Term Yield Class
ON
No
No
No
Manulife Simplicity Balanced Portfolio
ON
No
No
No
Manulife Simplicity Conservative Portfolio
ON
No
No
No
Manulife Simplicity Global Balanced Portfolio
ON
No
No
No
Manulife Simplicity Growth Portfolio
ON
No
No
No
Manulife Simplicity Moderate Portfolio
ON
No
No
No
Manulife Small Cap Value Fund
ON
No
No
No
Manulife Special Opportunities Class
ON
No
No
No
Manulife Strategic Balanced Yield Fund
ON
No
No
No
Manulife Strategic Income Fund
ON
No
No
No
Manulife Tax-Managed Growth Fund
ON
No
No
No
Manulife U.S. All Cap Equity Class
ON
No
No
No
Manulife U.S. All Cap Equity Fund
ON
No
No
No
Manulife U.S. Balanced Private Trust
ON
No
No
No
Page 158 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Manulife U.S. Diversified Growth Fund
ON
No
No
No
Manulife U.S. Dividend Class
ON
No
No
No
Manulife U.S. Dividend Registered Fund
ON
No
No
No
Manulife U.S. Dollar Floating Rate Income
Fund
ON
No
No
No
Manulife U.S. Dollar Strategic Balanced Yield
Fund
ON
No
No
No
Manulife U.S. Dollar U.S. All Cap Equity Fund
ON
No
No
No
Manulife U.S. Equity Fund
ON
No
No
No
Manulife U.S. Equity Index Fund
ON
No
No
No
Manulife U.S. Equity Private Pool
ON
No
No
No
Manulife U.S. Fixed Income Private Trust
ON
No
No
No
Manulife U.S. Large Cap Equity Class
ON
No
No
No
Manulife U.S. Large Cap Equity Fund
ON
No
No
No
Manulife U.S. Monthly High Income Fund
ON
No
No
No
Manulife U.S. Opportunities Class
ON
No
No
No
Manulife U.S. Opportunities Fund
ON
No
No
No
Manulife U.S. Regional Bank Trust
ON
No
No
No
Manulife U.S. Tactical Credit Fund
ON
No
No
No
Manulife Value Balanced Class
ON
No
No
No
Manulife Value Balanced Fund
ON
No
No
No
Manulife Value Fund
ON
No
No
No
Manulife World Investment Class
ON
No
No
No
Manulife World Investment Fund
ON
No
No
No
Manulife Yield Opportunities Fund
ON
No
No
No
Mapan Energy Ltd.
AB
No
No
No
Maple Leaf 2011 Energy Income Limited
Partnership
BC
No
No
No
Maple Leaf 2012 Energy Income Limited
Partnership
BC
No
No
No
Maple Leaf 2012-II Energy Income Limited
Partnership
BC
No
No
No
Maple Leaf 2013 Oil & Gas Income Limited
Partnership
BC
No
No
No
Maple Leaf 2014 Oil & Gas Royalties/FlowThrough Limited Partnership - National CEE FT BC
Class
No
No
No
Maple Leaf 2014 Oil & Gas Royalties/FlowThrough Limited Partnership - Quebec CEE FT BC
Class
No
No
No
Maple Leaf Foods Inc.
ON
No
No
No
Maple Leaf Green World Inc.
AB
No
No
No
Maple Leaf Income Class
BC
No
No
No
Page 159 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Maple Leaf Resource Class
BC
No
No
No
Maple Leaf Royalties Corp.
BC
No
No
No
Maple Leaf Short Duration 2014 Flow-Through
BC
Limited Partnership - National Class
No
No
No
Maple Leaf Short Duration 2014 Flow-Through
BC
Limited Partnership - Quebec Class
No
No
No
Maple Peak Investments Inc.
BC
No
No
No
Maple Power Capital Corporation
ON
No
No
No
Maplewood International Real Estate
Investment Trust
ON
No
No
No
Marapharm Ventures Inc.
BC
No
No
No
Marathon Foods Inc.
BC
No
Yes
No
Marathon Gold Corporation
ON
No
No
No
Marathon Minerals Inc.
BC
No
Yes
No
Marathon Oil Corporation
AB
No
No
No
Marathon Telecom Corporation
BC
No
Yes
No
Marauder Resources East Coast Inc.
AB
No
Yes
No
Marching Moose Capital Corp.
BC
No
No
No
Marchwell Ventures Ltd.
BC
No
No
No
Marengo Mining Limited
ON
No
No
No
Margaret Lake Diamonds Inc.
BC
No
No
No
Margaux Red Capital Inc.
BC
No
No
No
Margaux Resources Ltd.
AB
No
No
No
Mariah Energy Corp.
AB
No
Yes
No
Mariah Resources Ltd.
BC
No
Yes
No
Mariana Resources Limited
BC
No
No
No
Marifil Mines Limited
BC
No
No
No
Marilyn Resources Inc.
BC
No
Yes
No
MarilynJean Interactive Inc.
BC
No
No
No
Maritime Resources Corp.
BC
No
No
No
Mark One Global Industries, Inc.
BC
No
Yes
No
Marketfax Infoservices Ltd.
BC
No
Yes
No
Marksmen Energy Inc.
AB
No
No
No
Marlboro Petroleum Inc.
AB
No
Yes
No
Marlborough Productions Ltd.
BC
No
Yes
No
Marley Mines Ltd.
BC
No
Yes
No
Marlin Gold Mining Ltd.
BC
No
No
No
Marquee Energy Ltd.
AB
No
No
No
Marquest American Dividend Growth Fund
ON
No
No
No
Marquest American Dividend Growth Fund
(Corporate Class)
ON
No
No
No
Page 160 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Default
CTO
Management
CTO
Marquest Canadian Balanced Fund ( Corporate
ON
Class)
No
No
No
Marquest Canadian Bond Fund
ON
No
No
No
Marquest Canadian Equity Income Fund
ON
No
No
No
Marquest Canadian Fixed Income Fund
ON
No
No
No
Marquest Canadian Resource Fund
Issuer name
Principal
ON
No
No
No
Marquest Canadian Resource Fund (Corporate
ON
Class)
No
No
No
Marquest Covered Call Canadian Banks Plus
Fund
ON
No
No
No
Marquest Covered Call Canadian Banks Plus
Fund (Corporate Class)
ON
No
No
No
Marquest Dow Jones Canada High Dividend 50
ON
Fund (Corporate Class)
No
No
No
Marquest Global Balanced Fund
ON
No
No
No
Marquest International Income Balanced Fund
ON
No
No
No
Marquest Money Market Fund
ON
No
No
No
Marquest Monthly Pay Fund
ON
No
No
No
Marquest Monthly Pay Fund (Corporate Class) ON
No
No
No
Marquest Mutual Funds Inc. - Canadian Flex
Series Fund
ON
No
No
No
Marquest Mutual Funds Inc. - Energy Series
Fund
ON
No
No
No
Marquest Mutual Funds Inc. - Explorer Series
Fund
ON
No
No
No
Marquest Mutual Funds Inc. - Flex Dividend
and Income Growth Series Fund
ON
No
No
No
Marquest Mutual Funds Inc. - Resource Flex
Series Fund
ON
No
No
No
Marquest S&P/TSX Canadian Dividend
Aristocrats Fund (Corporate Class
ON
No
No
No
Marquest Short Term Income Fund (Corporate
ON
Class)
No
No
No
Marquest Small Companies Fund
ON
No
No
No
Marquis Balanced Class Portfolio
ON
No
No
No
Marquis Balanced Growth Class Portfolio
ON
No
No
No
Marquis Balanced Growth Portfolio
ON
No
No
No
Marquis Balanced Income Portfolio
ON
No
No
No
Marquis Balanced Portfolio
ON
No
No
No
Marquis Equity Portfolio
ON
No
No
No
Marquis Growth Portfolio
ON
No
No
No
Marquis Institutional Balanced Growth Portfolio ON
No
No
No
Marquis Institutional Balanced Portfolio
No
No
No
ON
Page 161 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Marquis Institutional Bond Portfolio
ON
No
No
No
Marquis Institutional Canadian Equity Portfolio
ON
No
No
No
Marquis Institutional Equity Portfolio
ON
No
No
No
Marquis Institutional Global Equity Portfolio
ON
No
No
No
Marquis Institutional Growth Portfolio
ON
No
No
No
Marquis Resource Corporation
BC
No
Yes
No
Marquis Ventures Inc.
BC
No
No
No
Marret High Yield Bond Fund
ON
No
No
No
Marret High Yield Strategies Fund
ON
No
No
No
Marret Investment Grade Bond Fund
ON
No
No
No
Marret Multi-Strategy Income Fund
ON
No
No
No
Marret Resource Corp.
ON
No
No
No
Marret Short Duration High Yield Fund
ON
No
No
No
Marret Strategic Yield Fund
ON
No
No
No
Marsa Energy Inc.
AB
No
No
No
Mart Resources, Inc.
AB
No
No
No
Martin Health Group Inc.
ON
No
Yes
No
Martina Minerals Corp.
ON
No
No
No
Martinrea International Inc.
ON
No
No
No
Masev Communications International Inc.
BC
No
Yes
No
Maskal Energy Ltd.
AB
No
Yes
No
Mason Graphite Inc.
QC
No
No
No
Massive Resources Limited
BC
No
Yes
No
Master Credit Card Trust II
ON
No
No
No
Master Mutual Limited Partnership
BC
No
Yes
No
Master Resources & Developments Ltd.
BC
No
Yes
No
Masuparia Gold Corporation
BC
No
No
No
Matachewan Consolidated Mines, Limited
ON
No
No
No
Matamec Explorations Inc.
QC
No
No
No
Match Capital Resources Corporation
ON
No
No
No
Matco Balanced Fund
AB
No
No
No
Matco Canadian Equity Income Fund
AB
No
No
No
Matco Energy Equity Fund
AB
No
No
No
Matco Small Cap Fund
AB
No
No
No
Materials Protection Technologies Inc.
ON
No
Yes
No
Matica Enterprises Inc.
ON
No
No
No
Matrix 2013 Short Duration National Class
ON
Yes
No
No
Matrix 2013 Short Duration Québec Class
ON
Yes
No
No
Matrix Asset Management Inc.
BC
No
No
No
MATRRIX Energy Technologies Inc.
AB
No
No
No
Page 162 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Mattel, Inc.
ON
No
No
No
Maudore Minerals Ltd.
QC
No
No
No
Maverick Energy, Inc.
BC
No
Yes
No
Maverick Tube Corporation
ON
No
No
No
Mawer Balanced Fund
AB
No
No
No
Mawer Canadian Bond Fund
AB
No
No
No
Mawer Canadian Equity Fund
AB
No
No
No
Mawer Canadian Money Market Fund
AB
No
No
No
Mawer Global Balanced Fund
AB
No
No
No
Mawer Global Equity Fund
AB
No
No
No
Mawer Global Small Cap Fund
AB
No
No
No
Mawer International Equity Fund
AB
No
No
No
Mawer New Canada Fund
AB
No
No
No
Mawer Tax Effective Balanced Fund
AB
No
No
No
Mawer U.S. Equity Fund
AB
No
No
No
Mawson Resources Limited
BC
No
No
No
Mawson West Ltd.
ON
No
No
No
Max Minerals Inc.
BC
No
Yes
No
MAX Resource Corp.
BC
No
No
No
Maxcard Systems International Inc.
BC
No
Yes
No
Maxim Atlantic Corporation
ON
No
Yes
No
Maxim Development Ltd.
BC
No
Yes
No
Maxim Power Corp.
AB
No
No
No
Maxim Resources Inc.
BC
No
No
No
Maximus Resources Inc.
BC
No
Yes
No
MaxTech Ventures Inc.
BC
No
No
No
Maxwell Communications Finance Canada
Limited
BC
No
Yes
No
Maxxcapp Corporation
BC
No
Yes
No
MAYA GOLD & SILVER INC.
QC
No
No
No
Mazarin Inc.
QC
No
No
No
Mazaruni Minerals Inc.
AB
No
Yes
No
MBAC Fertilizer Corp.
ON
No
No
No
MBMI Resources Inc.
BC
No
Yes
No
MBN Corporation
AB
No
No
No
Mbs Software Inc.
BC
No
Yes
No
MCAN Mortgage Corporation
ON
No
No
No
MCB Investments Corp.
BC
No
Yes
No
McCarney Technologies Inc.
BC
No
Yes
No
McCarthy Corporation Plc
AB
No
Yes
No
Page 163 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
McChip Resources Inc
ON
No
No
No
McCoy Global Inc.
AB
No
No
No
McEwen Mining Inc.
ON
No
No
No
Mcfinley Red Lake Mines Limited
BC
No
Yes
No
Mcgarry Gold Corporation
BC
No
Yes
No
Mclaughlin Explorations Ltd.
BC
No
Yes
No
MCP Exchangeco Inc.
ON
No
No
No
MCW Energy Group Limited
ON
No
No
No
MD American Growth Fund
ON
No
No
No
MD American Value Fund
ON
No
No
No
Md Balanced Fund
ON
No
No
No
Md Bond Fund
ON
No
No
No
Md Dividend Growth Fund
ON
No
No
No
MD Dividend Income Fund
ON
No
No
No
MD Equity Fund
ON
No
No
No
MD Growth Investments Limited
ON
No
No
No
MD International Growth Fund
ON
No
No
No
MD International Value Fund
ON
No
No
No
MD Money Fund
ON
No
No
No
MD Multimedia Inc.
QC
No
Yes
No
MD Precision Balanced Growth Portfolio
ON
No
No
No
MD Precision Balanced Income Portfolio
ON
No
No
No
MD Precision Conservative Portfolio
ON
No
No
No
MD Precision Maximum Growth Portfolio
ON
No
No
No
MD Precision Moderate Balanced Portfolio
ON
No
No
No
MD Precision Moderate Growth Portfolio
ON
No
No
No
Md Select Fund
ON
No
No
No
Md Short-Term Bond Fund
ON
No
No
No
MD Strategic Opportunities Fund
ON
No
No
No
MD Strategic Yield Fund
ON
No
No
No
Mdc Financial Inc.
BC
No
Yes
No
MDC Partners Inc.
ON
No
No
No
MDPIM Canadian Bond Pool
ON
No
No
No
MDPIM Canadian Equity Pool
ON
No
No
No
MDPIM Canadian Long Term Bond Pool
ON
No
No
No
MDPIM Dividend Pool
ON
No
No
No
MDPIM Emerging Markets Equity Pool
ON
No
No
No
MDPIM International Equity Pool
ON
No
No
No
MDPIM Strategic Opportunities Pool
ON
No
No
No
MDPIM Strategic Yield Pool
ON
No
No
No
Page 164 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
MDPIM US Equity Pool
ON
No
No
No
ME Resource Corp.
BC
No
No
No
Meadow Bay Gold Corporation
BC
No
No
No
Meadowbrook Apartments
ON
No
Yes
No
Meadowvale Court
BC
No
Yes
No
Meadowvale Gardens Apartment Project Phase II
BC
No
Yes
No
Med BioGene Inc.
BC
No
No
No
Med-Chem Health Care Limited
ON
No
Yes
No
Med-Tech Systems Inc.
BC
No
Yes
No
Medallion Books Limited
BC
No
Yes
No
Medallion Resources Ltd.
BC
No
No
No
MedcomSoft Inc.
ON
No
Yes
No
Medgold Resources Corp.
BC
No
No
No
Mediagrif Interactive Technologies Inc.
QC
No
No
No
Medianet Communications Corp.
AB
No
Yes
No
MediaValet Inc.
BC
No
No
No
Medical Facilities Corporation
ON
No
No
No
Medical Intelligence Technologies Inc.
QC
No
Yes
No
Medical Pathways International Inc.
ON
No
Yes
No
Medican Enterprises, Inc.
BC
No
No
No
Medicure Inc.
MB
No
No
No
Medifocus Inc.
ON
No
No
No
Medilase Industries Inc.
BC
No
Yes
No
Medipure Holdings Inc.
BC
No
No
No
Mediterranean Resources Ltd.
BC
No
No
No
Medius Communications Inc.
ON
No
Yes
No
MedMira Inc.
NS
No
No
No
Medsana Medical Systems Inc.
BC
No
Yes
No
Medwell Capital Corp.
AB
No
No
No
Medworxx Solutions Inc.
ON
No
No
No
MedX Health Corp.
ON
No
No
No
Meekom Natural Resources Ltd.
BC
No
Yes
No
MEG Energy Corp.
AB
No
No
No
Mega Copper Ltd.
BC
No
No
No
Mega Gold Resources Ltd.
BC
No
Yes
No
Mega Precious Metals Inc.
ON
No
No
No
Mega Uranium Ltd.
ON
No
No
No
Mega View Digital Entertainment Corp.
BC
No
No
No
Megastar Development Corp.
BC
No
No
No
Page 165 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Megawheels Technologies Inc.
AB
No
Yes
No
Melanesian Minerals Corporation
ON
No
Yes
No
Melcor Real Estate Investment Trust
AB
No
No
No
Melior Resources Inc.
ON
No
No
No
Melkior Resources Inc.
QC
No
No
No
Melodia Aggressive Growth Portfolio
QC
No
No
No
Melodia Balanced Growth Portfolio
QC
No
No
No
Melodia Conservative Income Portfolio
QC
No
No
No
Melodia Diversified Growth Portfolio
QC
No
No
No
Melodia Diversified Income Portfolio
QC
No
No
No
Melodia Maximum Growth Portfolio
QC
No
No
No
Melodia Moderate Growth Portfolio
QC
No
No
No
Melodia Moderate Income Portfolio
QC
No
No
No
Melodia Very Conservative Income Portfolio
QC
No
No
No
Melrose Resources Ltd.
BC
No
Yes
No
MENA Hydrocarbons Inc.
AB
No
No
No
Menika Mining Ltd.
BC
No
No
No
Mercana Industries Ltd.
BC
No
Yes
No
Mercantile Gold Corp.
BC
No
Yes
No
Mercator Minerals Ltd.
BC
No
Yes
No
Mercator Transport Group Corporation
QC
No
Yes
No
Mercer International Inc.
BC
No
No
No
Merch Performance Inc.
AB
No
Yes
No
Merchant Capital Group Incorporated
ON
No
Yes
No
Meridian Co. Ltd.
BC
No
Yes
No
Merit Energy Ltd.
AB
No
Yes
No
Meritage American Equity Portfolio
QC
No
No
No
Meritage Balanced Income Portfolio
QC
No
No
No
Meritage Balanced Portfolio
QC
No
No
No
Meritage Canadian Equity Class Portfolio
QC
No
No
No
Meritage Canadian Equity Portfolio
QC
No
No
No
Meritage Conservative Income Portfolio
QC
No
No
No
Meritage Conservative Portfolio
QC
No
No
No
Meritage Diversified Fixed Income Portfolio
QC
No
No
No
Meritage Equity Class Portfolio
QC
No
No
No
Meritage Equity Income Portfolio
QC
No
No
No
Meritage Equity Portfolio
QC
No
No
No
Meritage Global Equity Class Portfolio
QC
No
No
No
Meritage Global Equity Portfolio
QC
No
No
No
Meritage Global Income and Growth Portfolio
QC
No
No
No
Page 166 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Meritage Growth Class Portfolio
QC
No
No
No
Meritage Growth Income Portfolio
QC
No
No
No
Meritage Growth Portfolio
QC
No
No
No
Meritage International Equity Portfolio
QC
No
No
No
Meritage Moderate Income Portfolio
QC
No
No
No
Meritage Moderate Portfolio
QC
No
No
No
Meritas Balanced Portfolio
BC
No
No
No
Meritas Canadian Bond Fund
BC
No
No
No
Meritas Growth & Income Portfolio
BC
No
No
No
Meritas Growth Portfolio
BC
No
No
No
Meritas Income & Growth Portfolio
BC
No
No
No
Meritas Income Portfolio
BC
No
No
No
Meritas International Equity Fund
BC
No
No
No
Meritas Jantzi Social Index Fund
BC
No
No
No
Meritas Maximum Growth Portfolio
BC
No
No
No
Meritas Monthly Dividend and Income Fund
BC
No
No
No
Meritas Strategic Income Fund
BC
No
No
No
Meritas U.S. Equity Fund
BC
No
No
No
Meritus Minerals Ltd.
BC
No
Yes
No
Merlin Resources Inc.
BC
No
Yes
No
Merrex Gold Inc.
BC
No
No
No
Merrill Lynch Financial Assets Inc.
ON
No
No
No
Merrill Lynch Healthcare Fund, Inc
BC
No
Yes
No
Merus Labs International Inc.
ON
No
No
No
Meryllion Resources Corporation
BC
No
No
No
Mesa Builders, Inc.
BC
No
Yes
No
Mesa Exploration Corp.
BC
No
No
No
MetalCORP Limited
ON
No
No
No
Metalex Ventures Ltd.
BC
No
No
No
Metallis Resources Inc.
BC
No
No
No
Metallum Resources Inc.
ON
No
No
No
Metals Creek Resources Corp.
ON
No
No
No
Metals Plus Income Corp.
ON
No
No
No
Metanor Resources Inc.
QC
No
No
No
Metaxa Resources Ltd.
BC
No
Yes
No
Meteor Creek Resources Inc.
ON
No
Yes
No
Methanex Corporation
BC
No
No
No
Metro Energy Ltd.
BC
No
Yes
No
Metro Inc.
QC
No
No
No
Metro Industrial Corporation
BC
No
Yes
No
Page 167 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Metro Vancouver Properties Corp.
BC
No
No
No
Metron Capital Corp.
BC
No
Yes
No
Metropolitan Energy Corp.
BC
No
No
No
Mettrum Health Corp.
ON
No
No
No
Mexigold Corp.
BC
No
No
No
Mexivada Mining Corp.
BC
No
Yes
Yes
Mezzi Holdings Inc.
BC
No
No
No
Mezzotin Minerals Inc.
ON
No
No
No
MFC Industrial Ltd.
BC
No
No
No
MGM Resources Corp.
BC
No
Yes
No
MGN Technologies Inc.
BC
No
Yes
No
MGX Minerals Inc.
BC
No
No
No
mHealth Capital Corp.
AB
No
Yes
No
Mi Software Corporation
BC
No
Yes
No
Mianach Resource Acquisition Corp.
BC
No
No
No
Michael Resources Ltd.
BC
No
Yes
No
Michele Gold Mines Limited
BC
No
Yes
No
Micrex Development Corp.
AB
No
No
No
Micro Concepts Inc.
BC
No
Yes
No
Micro Mining Technologies Ltd.
AB
No
Yes
No
Microbix Biosystems Inc.
ON
No
No
No
MicroCoal Technologies Inc.
BC
No
No
No
Microcomp 83 R & D Program Limited
Partnership
BC
No
Yes
No
Microelectronics Technology Company
BC
No
Yes
No
Microkey Communication Systems, Inc.
BC
No
Yes
No
Microplanet Technology Corp.
AB
No
No
No
Micropost Corporation
BC
No
Yes
No
Mid-Canada Gold & Copper Mines Limited
BC
No
Yes
No
Midas Gold Corp.
BC
No
No
No
Midasco Capital Corp.
BC
No
No
No
Midd Financial Corp.
BC
No
Yes
No
Middle Age Crazy
BC
No
Yes
No
Middlefield Can-Global REIT Income Fund
AB
No
No
No
Middlefield Canadian Dividend Growth Class
AB
No
No
No
Middlefield Global Agriculture Class
AB
No
No
No
Middlefield Global Dividend Growers Class
AB
No
No
No
Middlefield Global Infrastructure Fund
AB
No
No
No
Middlefield Groppe Tactical Energy Class
AB
No
No
No
Middlefield High Yield Class
AB
No
No
No
Page 168 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Middlefield Income Plus Class
AB
No
No
No
Middlefield Real Estate Class
AB
No
No
No
Middlefield Resource Class
AB
No
No
No
Middlefield Short-Term Income Class
AB
No
No
No
Middlefield US Dividend Growth Class
AB
No
No
No
Midland Exploration Inc.
QC
No
No
No
Midlands Minerals Corporation
ON
No
No
No
Midnapore (1979) Resources Inc.
BC
No
Yes
No
Midnet, Inc.
BC
No
Yes
No
Midnight Sun Mining Corp.
BC
No
No
No
Midpoint Holdings Ltd.
ON
No
No
No
Midway Gold Corp.
BC
No
No
No
Migao Corporation
BC
No
No
No
Migent Software Corp.
BC
No
Yes
No
Milestone Apartments Real Estate Investment
Trust
ON
No
No
No
Military International Limited
AB
No
Yes
No
Mill City Gold Corp.
AB
No
No
No
Millenium Biologix Corporation
ON
Yes
No
No
MillenMin Ventures Inc.
ON
No
No
No
Millington Mining Inc.
BC
No
Yes
No
Millrock Resources Inc
BC
No
No
No
Millstream Mines Ltd.
ON
No
No
No
Milner Consolidated Silver Mines Ltd.
ON
No
No
No
Minaean International Corp.
BC
No
No
No
Minaurum Gold Inc.
BC
No
No
No
Minco Base Metals Corporation
BC
No
No
No
Minco Gold Corporation
BC
No
No
No
Minco Plc
NS
No
No
No
Minco Silver Corporation
BC
No
No
No
Mincom Capital Inc.
ON
No
No
No
Mindoro Resources Ltd.
AB
No
No
No
Mindready Solutions Inc.
QC
No
Yes
No
Minecorp Energy Ltd.
BC
No
No
No
Minefund Development Corporation
BC
No
Yes
No
Minera Alamos Inc.
ON
No
No
No
Minera IRL Limited
ON
No
No
No
Mineral Hill Industries Ltd.
BC
No
No
No
Mineral Mountain Resources Ltd.
BC
No
No
No
Mines Management, Inc.
ON
No
No
No
Page 169 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Minewest Silver and Gold Inc.
BC
No
Yes
No
Minfocus Exploration Corp.
ON
No
No
No
Ming Mines Limited
BC
No
Yes
No
Mink International Resources Corp.
BC
No
Yes
No
Minnova Corp.
ON
No
No
No
MINT Income Fund
AB
No
No
No
Minterra Resource Corp.
BC
No
Yes
No
Minto Resources Ltd.
BC
No
Yes
No
Miocene Resources Limited
ON
No
No
No
Mira IV Acquisition Corp.
ON
No
No
No
Mira Resources Corp.
BC
No
No
No
Mira VI Acquisition Corp.
ON
No
No
No
Mirabela Nickel Limited
BC
No
No
No
Miraculins Inc.
MB
No
No
No
Miramare Capital Inc.
BC
No
Yes
No
Miranda Gold Corp.
BC
No
No
No
Mirasol Resources Ltd.
BC
No
No
No
Mirati Therapeutics, Inc.
QC
No
No
No
Mis International, Inc.
BC
No
Yes
No
Mispec Resources Inc.
ON
No
Yes
No
Mission Ready Services Inc.
BC
No
No
No
Mistango River Resources Inc.
ON
No
No
No
Mistral Resources Ltd.
BC
No
Yes
No
Mistral Ventures Inc.
BC
No
Yes
No
Mitec Technologies Inc.
ON
No
No
No
Mitel Networks Corporation
ON
No
No
No
MitoPharm Corporation
BC
No
Yes
No
MIV Therapeutics, Inc.
BC
No
Yes
No
Mkango Resources Ltd.
AB
No
No
No
Mmf Dividend Fund
BC
No
Yes
No
Mmf Growth Fund
BC
No
Yes
No
Mmf Income Fund
BC
No
Yes
No
Mmf Money Market Fund
BC
No
Yes
No
Mmf Resource Fund
BC
No
Yes
No
Mmf Worldwide Fund
BC
No
Yes
No
Mmt Resources Ltd.
BC
No
Yes
No
MNP Petroleum Corporation
BC
No
Yes
No
MOAG Copper Gold Resources Inc.
ON
No
No
No
Mobetize Corp.
BC
No
No
No
Mobilift Inc.
AB
No
Yes
No
Page 170 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Mobilized Entertainment Inc.
BC
No
Yes
No
Mobio Technologies Inc.
BC
No
No
No
Mobius Resources Inc.
AB
No
No
No
Moche Resources Inc.
BC
No
Yes
No
Mode Products Inc.
BC
No
Yes
No
Moderate Folio Fund
ON
No
No
No
Modern Records, Inc.
BC
No
Yes
No
Mohave Gold Inc.
BC
No
Yes
No
Moli Energy Limited
BC
No
Yes
No
Mollie Gibson Mines Inc.
BC
No
Yes
No
Molson Coors Brewing Company
QC
No
No
No
Molson Coors Canada Inc.
ON
No
No
No
Molson Coors Capital Finance ULC
NS
No
No
No
Moly Mines Limited
ON
No
No
No
Molycorp, Inc.
ON
No
No
No
Molystar Resources Inc.
BC
No
Yes
No
Monarch Media & Entertainment Group Inc
BC
No
Yes
No
Monarch Resources Limited
ON
No
Yes
No
Monarques Gold Corporation
QC
No
No
No
Mondana Ventures Inc.
BC
No
Yes
No
Mondev Senior Living Inc.
AB
No
Yes
No
Moneda LatAm Corporate Bond Fund
ON
No
No
No
Moneda LatAm Fixed Income Fund
ON
No
No
No
Moneda LatAm Growth Fund
ON
No
No
No
Money Market Fund
ON
No
No
No
Money Market Fund
ON
No
No
No
Moneysworth & Best Shoe Care Inc.
ON
No
Yes
No
Mongolia Growth Group Ltd.
ON
No
No
No
MonoGen, Inc.
QC
No
Yes
No
Monogram Oil & Gas, Inc.
BC
No
Yes
No
Monster Mining Corp.
BC
No
No
No
Monster Uranium Corp.
BC
No
No
No
Montan Capital Corp.
BC
No
No
No
Montana Exploration Corp.
AB
No
No
No
Monte Cristo Capital Inc.
BC
No
Yes
No
Montego Resources Inc.
BC
No
No
No
Montello Resources Ltd.
AB
No
Yes
Yes
Montero Mining and Exploration Ltd.
ON
No
No
No
Monthly Income Fund (London Capital)
ON
No
No
No
Montreux Capital Corp.
BC
No
No
No
Page 171 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Montreux Development Corp.
BC
No
Yes
No
Monument Mining Limited
BC
No
No
No
Mood Media Corporation
ON
No
No
No
Mooncor Oil & Gas Corp.
ON
No
No
No
Moongold Resources Inc.
BC
No
Yes
No
Morengo Resources Inc.
BC
No
Yes
No
Morgan Resources Corp.
ON
No
No
No
Morguard Corporation
ON
No
No
No
Morguard North American Residential Real
Estate Investment Trust
ON
No
No
No
Morguard Real Estate Investment Trust
ON
No
No
No
Morien Resources Corp.
NS
No
No
No
Morneau Shepell Inc.
ON
No
No
No
Morro Bay Resources Ltd.
AB
No
No
No
Morumbi Resources Inc.
AB
No
No
No
Mosaic Capital Corporation
AB
No
No
No
Mosaic Oil N.L.
BC
No
Yes
No
Mosaic Technologies Corporation
BC
No
Yes
No
Most Home Corp.
BC
No
Yes
No
Mothers Restaurants Limited
BC
No
Yes
No
Motion Works Group Limited
ON
No
Yes
No
Mount Dakota Energy Corp.
BC
No
No
No
Mount Real Corporation
QC
Yes
No
No
Mount Street Holdings Inc.
BC
No
Yes
No
Mountain Boy Minerals Ltd.
BC
No
No
No
Mountain China Resorts (Holding) Limited
BC
No
No
No
Mountain Lake Minerals Inc.
BC
No
No
No
Mountain Province Diamonds Inc.
ON
No
No
No
Mountain World Entertainment Ltd
BC
No
Yes
No
MountainStar Gold Inc.
BC
No
Yes
No
Mountainview Energy Ltd.
AB
No
No
No
Movarie Capital Ltd.
BC
No
No
No
Moventis Capital Inc.
BC
No
Yes
No
MPAC Industries Corp.
BC
No
Yes
No
MPH Ventures Corp.
BC
No
No
No
Mpi Holdings Inc.
BC
No
Yes
No
MPL Communications Inc.
ON
No
Yes
No
MRF 2013 Resource Limited Partnership
AB
No
No
No
MRF 2014 Resource Limited Partnership
AB
No
No
No
Page 172 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Default
CTO
Management
CTO
MRF 2015 Resource Limited Partnership - CDE
AB
Units
No
No
No
MRF 2015 Resource Limited Partnership - CEE
AB
Units
No
No
No
MRRM Inc.
QC
No
No
No
MTI Investments Ltd.
BC
No
Yes
No
MTW Solutions Online Inc.
ON
No
Yes
No
MTY Food Group Inc.
BC
No
No
No
Mukuba Resources Limited
ON
No
No
No
Mullen Group Ltd.
AB
No
No
No
Multi-Corp International Inc.
BC
No
No
No
Multi-Step Industries Inc.
BC
No
Yes
No
Multimedia Nova Corporation
ON
No
Yes
No
Multiplex Technologies Inc.
BC
No
Yes
No
Multivision Communications Corp.
BC
No
No
No
Mundoro Capital Inc.
BC
No
No
No
Murchison Minerals Ltd.
ON
No
No
No
Murgor Resources Inc.
ON
No
No
No
Musgrove Minerals Corp.
BC
No
No
No
Muskrat Minerals Incorporated
ON
No
No
No
Mustang Minerals Corp.
ON
No
No
No
My Marijuana Canada Inc.
BC
No
No
No
Mylan Ventures Ltd.
BC
No
Yes
No
Myriad Concepts, Ltd.
BC
No
Yes
No
Mystery Mountain Minerals Ltd.
BC
No
Yes
No
N-Tone International Ltd.
BC
No
Yes
No
N.B. Cook Corporation Ltd.
BC
No
Yes
No
Naikun Wind Energy Group Inc.
BC
No
No
No
Naked Brand Group Inc.
BC
No
No
No
NAME Inc.
ON
No
Yes
No
Namex Explorations Inc.
QC
No
Yes
No
Namibia Rare Earths Inc.
NS
No
No
No
Namibian Minerals Corporation
ON
No
Yes
No
Nanoforce, Inc
BC
No
Yes
No
Nanogen, Inc.
BC
No
Yes
No
NanoStruck Technologies Inc.
BC
Yes
No
Yes
Nanotech Security Corp.
BC
No
No
No
Nanton Nickel Corp.
BC
No
No
No
Napa/Carneros Winegrowers Limited
Partnership
BC
No
Yes
No
NAPEC Inc.
QC
No
No
No
Issuer name
Principal
Page 173 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Napier Ventures Inc.
BC
No
No
No
Nass Valley Gateway Ltd.
BC
No
No
No
Natan Resources Ltd.
BC
No
No
No
Natcore Technology Inc.
BC
No
No
No
Nation Energy Inc.
BC
No
No
No
National Bank AltaFund Investment Corp.
QC
No
No
No
National Bank Asia Pacific Fund
QC
No
No
No
National Bank Asset Allocation Fund
QC
No
No
No
National Bank Balanced Diversified Fund
QC
No
No
No
National Bank Bond Fund
QC
No
No
No
National Bank Canadian All Cap Equity Fund
QC
No
No
No
National Bank Canadian Equity Fund
QC
No
No
No
National Bank Canadian Equity Growth Fund
QC
No
No
No
National Bank Canadian Index Fund
QC
No
No
No
National Bank Consensus American Equity
Fund
QC
No
No
No
National Bank Consensus International Equity
Fund
QC
No
No
No
National Bank Conservative Diversified Fund
QC
No
No
No
National Bank Corporate Bond Fund
QC
No
No
No
National Bank Corporate Cash Management
Fund
QC
No
No
No
National Bank Dividend Fund
QC
No
No
No
National Bank Dividend Income Fund Inc.
QC
No
No
No
National Bank Energy Fund
QC
No
No
No
National Bank European Equity Fund
QC
No
No
No
National Bank Floating Rate Income Fund
QC
No
No
No
National Bank Global Bond Fund
QC
No
No
No
National Bank Global Diversified Equity Fund
QC
No
No
No
National Bank Global Equity Fund
QC
No
No
No
National Bank Global Small Cap Fund
QC
No
No
No
National Bank Global Tactical Bond Fund
QC
No
No
No
National Bank Growth Diversified Fund
QC
No
No
No
National Bank Health Sciences Fund
QC
No
No
No
National Bank High Dividend Fund
QC
No
No
No
National Bank High Yield Bond Fund
QC
No
No
No
National Bank Income Fund
QC
No
No
No
National Bank International Currency Neutral
Index Fund
QC
No
No
No
National Bank International Index Fund
QC
No
No
No
National Bank Japanese Equity Fund
QC
No
No
No
Page 174 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
National Bank Long Term Bond Fund
QC
No
No
No
National Bank Moderate Diversified Fund
QC
No
No
No
National Bank Money Market Fund
QC
No
No
No
National Bank Monthly Balanced Income Fund
QC
No
No
No
National Bank Monthly Conservative Income
Fund
QC
No
No
No
National Bank Monthly Equity Income Fund
QC
No
No
No
National Bank Monthly Growth Income Fund
QC
No
No
No
National Bank Monthly Moderate Income Fund QC
No
No
No
National Bank Monthly Secure Income Fund
QC
No
No
No
National Bank Mortgage Fund
QC
No
No
No
National Bank Of Canada
QC
No
No
No
National Bank Precious Metals Fund
QC
No
No
No
National Bank Preferred Equity Fund
QC
No
No
No
National Bank Preferred Equity Income Fund
QC
No
No
No
National Bank Quebec Growth Fund
QC
No
No
No
National Bank Resource Fund
QC
No
No
No
National Bank Science and Technology Fund
QC
No
No
No
National Bank Secure Diversified Fund
QC
No
No
No
National Bank Short Term Canadian Income
Fund
QC
No
No
No
National Bank Short Term Yield Class
QC
No
No
No
National Bank Small Capitalization Fund
QC
No
No
No
National Bank Treasury Management Fund
QC
No
No
No
National Bank U.S. Currency Neutral Index
Fund
QC
No
No
No
National Bank U.S. Equity Fund
QC
No
No
No
National Bank U.S. Index Fund
QC
No
No
No
National Bank U.S. Money Market Fund
QC
No
No
No
National Bank US Dividend Fund
QC
No
No
No
National Electronic Technologies Corp.
ON
No
Yes
No
National Fibretech Inc.
BC
No
Yes
No
National Gold & Nickel Resources Inc.
BC
No
Yes
No
National Health Stores Inc.
ON
No
Yes
No
National Healthcare Manufacturing Corporation BC
No
Yes
No
National Nova Marketing Inc.
BC
No
Yes
No
National Scientific Products Corporation
BC
No
Yes
No
National Telcom Solutions Inc.
BC
No
Yes
No
National Training Rinks Corp.
BC
No
Yes
No
Nationwide Utilities Corp.
BC
No
Yes
No
Natural Springs Canada Inc.
AB
No
Yes
No
Page 175 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Naturally Splendid Enterprises Ltd.
BC
No
No
No
Nautilus Minerals Inc.
BC
No
No
No
Nautilus, Inc.
ON
Yes
No
No
Nautor Progressive Corporation
AB
No
No
No
NAV CANADA
ON
No
No
No
Navasota Resources Inc.
BC
No
No
No
Navy Resources Corp.
BC
No
No
No
NBC Asset Trust
QC
No
No
No
NBC Capital Trust
QC
No
No
No
Nca Minerals Corporation
BC
No
Yes
No
NCE Diversified Flow-Through (13) Limited
Partnership
ON
No
No
No
NCE Diversified Flow-Through (14) Limited
Partnership
ON
No
No
No
NCE Diversified Flow-Through (15) Limited
Partnership
ON
No
No
No
Ncn Exploration & Development Corp.
BC
No
Yes
No
NDX Growth & Income Fund
ON
No
No
No
Nebo Capital Corp.
BC
No
No
No
Nebu Resources Inc.
ON
No
No
No
NEI Canadian Bond Fund
ON
No
No
No
NEI Ethical American Multi-Strategy Fund
ON
No
No
No
NEI Ethical Balanced Fund
ON
No
No
No
NEI Ethical Canadian Equity Fund
ON
No
No
No
NEI Ethical Global Dividend Fund
ON
No
No
No
NEI Ethical Global Equity Fund
ON
No
No
No
NEI Ethical Select Balanced Portfolio
ON
No
No
No
NEI Ethical Select Conservative Portfolio
ON
No
No
No
NEI Ethical Select Growth Portfolio
ON
No
No
No
NEI Ethical Select Income Portfolio
ON
No
No
No
NEI Ethical Special Equity Fund
ON
No
No
No
NEI Global Strategic Yield Fund
ON
No
No
No
NEI Global Total Return Bond Fund
ON
No
No
No
NEI Income Fund
ON
No
No
No
NEI Money Market Fund
ON
No
No
No
NEI Northwest Canadian Dividend Corporate
Class
ON
No
No
No
NEI Northwest Canadian Dividend Fund
ON
No
No
No
NEI Northwest Canadian Equity Corporate
Class
ON
No
No
No
NEI Northwest Canadian Equity Fund
ON
No
No
No
Page 176 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
NEI Northwest Emerging Markets Corporate
Class
ON
No
No
No
NEI Northwest Emerging Markets Fund
ON
No
No
No
NEI Northwest Enhanced Yield Equity
Corporate Class
ON
No
No
No
NEI Northwest Global Equity Corporate Class
ON
No
No
No
NEI Northwest Global Equity Fund
ON
No
No
No
NEI Northwest Growth and Income Corporate
Class
ON
No
No
No
NEI Northwest Growth and Income Fund
ON
No
No
No
NEI Northwest Macro Canadian Asset
Allocation Corporate Class
ON
No
No
No
NEI Northwest Macro Canadian Asset
Allocation Fund
ON
No
No
No
NEI Northwest Macro Canadian Equity
Corporate Class
ON
No
No
No
NEI Northwest Macro Canadian Equity Fund
ON
No
No
No
NEI Northwest Short Term Corporate Class
ON
No
No
No
NEI Northwest Specialty Equity Corporate
Class
ON
No
No
No
NEI Northwest Specialty Equity Fund
ON
No
No
No
NEI Northwest Specialty Global High Yield
Bond Fund
ON
No
No
No
NEI Northwest Specialty High Yield Bond Fund ON
No
No
No
NEI Northwest Tactical Yield Corporate Class
ON
No
No
No
NEI Northwest Tactical Yield Fund
ON
No
No
No
NEI Northwest U.S. Dividend Corporate Class
ON
No
No
No
NEI Northwest U.S. Dividend Fund
ON
No
No
No
NEI Select Balanced Corporate Class Portfolio ON
No
No
No
NEI Select Canadian Balanced Portfolio
ON
No
No
No
NEI Select Canadian Growth Portfolio
ON
No
No
No
NEI Select Conservative Corporate Class
Portfolio
ON
No
No
No
NEI Select Conservative Portfolio
ON
No
No
No
NEI Select Global Growth Portfolio
ON
No
No
No
NEI Select Global Maximum Growth Corporate
ON
Class Portfolio
No
No
No
NEI Select Global Maximum Growth Portfolio
ON
No
No
No
NEI Select Growth Corporate Class Portfolio
ON
No
No
No
Nemaska Lithium Inc.
QC
No
No
No
NEMI Northern Energy & Mining Inc.
BC
No
No
No
Neoteck Solutions Inc.
BC
No
No
No
Neovasc Inc.
BC
No
No
No
Page 177 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Nepheline Resources Ltd.
BC
No
Yes
No
Neptune Technologies & Bioressources Inc.
QC
No
No
No
Nesscap Energy Inc.
ON
No
No
No
Net Nanny Software International Inc.
BC
No
Yes
No
Neti Technologies Inc.
BC
No
Yes
No
NeTrue Communications Inc.
BC
No
Yes
No
Network Exploration Ltd.
BC
No
No
No
Network Media Group Inc.
BC
No
No
No
Network Oncology Inc.
BC
No
No
No
Network One Holdings Corp.
BC
No
Yes
No
Network Technology Professional Inc.
BC
No
Yes
No
NeuLion, Inc.
ON
No
No
No
Neurobiopharm inc.
QC
No
No
No
Neurokine Pharmaceuticals Inc.
BC
No
No
No
Nevada Bob's Golf Inc.
AB
No
Yes
No
Nevada Clean Magnesium Inc.
BC
No
No
No
Nevada Copper Corp.
BC
No
No
No
Nevada Exploration Inc.
BC
No
No
No
Nevada Sunrise Gold Corporation
BC
No
No
No
Nevado Resources Corporation
QC
No
No
No
Nevaro Capital Corporation
BC
No
No
No
Nevsun Resources Ltd.
BC
No
No
No
New Age Farm Inc.
BC
No
No
No
New America Energy Corp.
BC
No
Yes
No
New Arcadia Resources Ltd.
BC
No
Yes
No
New Beginnings Resources Inc.
BC
No
Yes
No
New Bridge Development Corp.
BC
No
Yes
No
New Canadians Capital (VCC) Corporation
BC
No
Yes
No
New Carolin Gold Corp.
BC
Yes
No
No
New Cinch Uranium Ltd. (Npl)
BC
No
Yes
No
New Commerce Split Fund
ON
No
No
No
New Destiny Mining Corp.
BC
No
No
No
New Dimension Resources Ltd.
BC
No
No
No
New Era Developments Limited
BC
No
Yes
No
New Era Minerals Inc.
BC
No
No
No
New Fibers International Ltd.
BC
No
Yes
No
New Flyer Industries Inc.
ON
No
No
No
New Gold Inc.
BC
No
No
No
New Goldbrae Developments Ltd.
BC
No
Yes
No
New Goldcore Ventures Ltd.
BC
No
Yes
No
Page 178 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
New Golden Sceptre Minerals Ltd.
ON
No
Yes
No
New Guinea Gold Corporation
BC
No
Yes
No
New Horizon Uranium Corporation
BC
No
Yes
No
New Island Resources Inc.
AB
No
Yes
No
New Klondike Exploration Ltd.
ON
No
No
No
New Look Eyewear Inc.
QC
No
No
No
New Media Technologies Ltd.
BC
No
Yes
No
New Millennium Iron Corp.
AB
No
No
No
New Minex Resources Ltd.
BC
No
Yes
No
New Nadina Explorations Limited
BC
No
No
No
New Nexus Petroleum Ltd.
BC
No
Yes
No
New Oroperu Resources Inc.
BC
No
No
No
New Pacific Metals Corp.
BC
No
No
No
New Pioneer Explorations Ltd.
BC
No
Yes
No
New Plymouth Ventures Inc.
BC
No
Yes
No
New Sage Energy Corp.
ON
No
Yes
No
New Spirit Research & Development Corp.
BC
No
Yes
No
New West Energy Services Inc.
AB
No
No
No
New World Resource Corp.
BC
No
No
No
New Zealand Energy Corp.
BC
No
No
No
Newalta Corporation
AB
No
No
No
Newbury International Ventures Inc.
BC
No
Yes
No
Newcastle Energy Corp.
BC
No
No
No
Newchild International Inc.
BC
No
Yes
No
Newco Bancorp Inc.
ON
No
No
No
Newfields Minerals Inc.
BC
No
Yes
No
Newfoundland Capital Corporation Limited
NS
No
No
No
Newfoundland Goldbar Resources Inc.
BC
No
Yes
No
Newfoundland Power Inc.
QC
No
No
No
Newgen Environmental Systems Inc.
BC
No
Yes
No
Newgrowth Corp.
ON
No
No
No
NewKidCo International Inc.
ON
No
Yes
No
Newline Development Corporation
BC
No
Yes
No
Newlook Industries Corp.
ON
No
Yes
No
Newlox Gold Ventures Corp.
BC
Yes
No
No
Newmac Resources Inc.
BC
No
No
No
Newmarket Gold Inc.
BC
No
No
No
Newmont Mining Corporation
ON
No
No
No
NewNorth Projects Ltd.
AB
No
No
No
Newnote Financial Corp.
BC
No
No
No
Page 179 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Newport Exploration Ltd.
BC
No
No
No
Newstrike Capital Inc.
BC
No
No
No
Newstrike Resources Ltd.
ON
No
No
No
Newtec Industries Ltd.
BC
No
Yes
No
Newton Energy Corporation
AB
No
No
No
Nexaira Wireless Inc.
BC
No
Yes
No
NexC Partners Corp.
ON
No
No
No
NexGen Canadian Bond Fund
ON
No
No
No
NexGen Canadian Bond Tax Managed Fund
ON
No
No
No
NexGen Canadian Cash Fund
ON
No
No
No
NexGen Canadian Cash Tax Managed Fund
ON
No
No
No
NexGen Canadian Diversified Income
Registered Fund
ON
No
No
No
NexGen Canadian Diversified Income Tax
Managed Fund
ON
No
No
No
NexGen Canadian Dividend Registered Fund
ON
No
No
No
NexGen Canadian Dividend Tax Managed
Fund
ON
No
No
No
NexGen Canadian Preferred Share Registered
ON
Fund
No
No
No
NexGen Canadian Preferred Share Tax
Managed Fund
ON
No
No
No
NexGen Corporate Bond Fund
ON
No
No
No
NexGen Corporate Bond Tax Managed Fund
ON
No
No
No
NexGen Energy Ltd.
BC
No
No
No
NexGen Global Equity Registered Fund
ON
No
No
No
NexGen Global Equity Tax Managed Fund
ON
No
No
No
NexGen Intrinsic Balanced Registered Fund
ON
No
No
No
NexGen Intrinsic Balanced Tax Managed Fund ON
No
No
No
NexGen Intrinsic Growth Registered Fund
ON
No
No
No
NexGen Intrinsic Growth Tax Managed Fund
ON
No
No
No
NexGen North American Large Cap Registered
ON
Fund
No
No
No
NexGen North American Large Cap Tax
Managed Fund
ON
No
No
No
NexGen Turtle Canadian Balanced Registered
ON
Fund
No
No
No
NexGen Turtle Canadian Balanced Tax
Managed Fund
ON
No
No
No
NexGen Turtle Canadian Equity Registered
Fund
ON
No
No
No
NexGen Turtle Canadian Equity Tax Managed
Fund
ON
No
No
No
Page 180 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
NexGen U.S. Dividend Plus Registered Fund
ON
No
No
No
NexGen U.S. Dividend Plus Tax Managed
Fund
ON
No
No
No
NexGen U.S. Growth Registered Fund
ON
No
No
No
NexGen U.S. Growth Tax Managed Fund
ON
No
No
No
NexgenRx Inc.
ON
No
No
No
Nexient Learning Inc.
NS
No
Yes
No
NexJ Systems Inc.
ON
No
No
No
Nexmedia Technologies Inc.
BC
No
Yes
No
Next Edge AHL Fund
ON
No
No
No
Next Edge Bio-Tech Plus Fund
ON
No
No
No
Next Edge Theta Yield Fund
ON
No
No
No
Next Gen Metals Inc.
BC
No
No
No
Nextraction Energy Corp.
AB
No
No
No
Nexus Gold Corp.
BC
No
No
No
NGEx Resources Inc.
BC
No
No
No
NHC Communications Inc.
QC
No
Yes
No
Ni-Cal Developments Ltd.
BC
No
Yes
No
Niagara Capital Corporation
BC
No
Yes
No
Niagara Ventures Corporation
ON
No
No
No
Nicer Canada Corp.
BC
No
Yes
No
Nickel North Exploration Corp.
BC
No
No
No
Nickel Petroleum Resources Ltd.
AB
No
Yes
No
Nickelodeon Industries Corp.
BC
No
Yes
No
Nighthawk Gold Corp.
ON
No
No
No
Nightingale Informatix Corporation
ON
No
No
No
Niko Resources Ltd.
AB
No
No
No
Nikos Explorations Ltd.
BC
No
No
No
Nilam Resources Inc.
BC
No
Yes
No
Nile Industries Ltd.
AB
No
Yes
No
Nim Resource - 1987 And Company, Limited
Partnership
BC
No
Yes
No
Niocan Inc.
QC
No
No
No
NioCorp Developments Ltd.
BC
No
No
No
Niogold Mining Corp.
BC
No
No
No
Nippon Dragon Resources
QC
No
No
No
Nippon Investments Corp.
BC
No
Yes
No
NIR Diagnostics Inc.
ON
No
Yes
No
Nitinat Minerals Corporation
ON
No
No
No
Nitro Resources Inc.
BC
No
Yes
No
Page 181 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Nix-O-Tine Pharmaceuticals Ltd.
BC
No
Yes
No
NMC Resource Corporation
BC
No
No
No
Nobel Real Estate Investment Trust
QC
No
No
No
Nobel REIT Limited Partnership
QC
No
No
No
Noble Consolidated Industries Corp.
BC
No
Yes
No
Noble Iron Inc.
ON
No
No
No
Noble Metal Group Incorporated
BC
No
No
No
Noble Mineral Exploration Inc.
ON
No
No
No
Nogal Energy, Inc.
BC
No
Yes
No
Noka Resources Inc.
BC
No
No
No
Nomad Ventures Inc.
BC
No
No
No
Noor Energy Corporation
BC
No
No
No
Nor-Con Exploration Ltd.
BC
No
Yes
No
Norad Resources Ltd .
BC
No
Yes
No
Noram Ventures Inc.
BC
No
No
No
Noranda Income Fund
ON
No
No
No
Norbord Inc.
ON
No
No
No
Norco Resources Ltd.
BC
No
Yes
No
Nord Resources Corporation
BC
No
Yes
No
Nordex Explosives Ltd.
ON
No
No
No
Nordic Oil and Gas Ltd.
MB
No
No
No
Normandie Resource Corporation
BC
No
Yes
No
Noron Tech Ltd.
BC
No
Yes
No
Noront Resources Ltd.
ON
No
No
No
Norrep All Cap Quant Class
AB
No
No
No
Norrep Energy Class
AB
No
No
No
Norrep Entrepreneurs Class of Norrep
Opportunities Corp.
AB
No
No
No
Norrep Fund
AB
No
No
No
Norrep Global Class
AB
No
No
No
Norrep Global Income Growth Class of Norrep
Opportunities Corp.
AB
No
No
No
Norrep High Yield Class of Norrep
Opportunities Corp.
AB
No
No
No
Norrep II Class of Norrep Opportunities Corp.
AB
No
No
No
Norrep Income Growth Class of Norrep
Opportunities Corp.
AB
No
No
No
Norrep Premium Balanced Income Class
AB
No
No
No
Norrep Premium Growth Class
AB
No
No
No
Norrep Short Duration 2014 Flow-Through
Limited Partnership
AB
No
No
No
Page 182 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Norrep Short Term Income Fund
AB
No
No
No
Norrep Tactical Opportunities Class
AB
No
No
No
Norrep US Dividend Plus Class
AB
No
No
No
Norsat International Inc.
BC
No
No
No
Nortec Minerals Corp.
BC
No
No
No
Nortech Geomatics International Inc.
AB
No
Yes
No
Nortel Networks Corporation/Corporation Nortel
ON
Networks
Yes
No
No
Nortel Networks Limited
ON
Yes
No
No
North American Advanced Materials Corp.
BC
No
Yes
No
North American Advantaged Convertibles Fund ON
No
No
No
North American Aero Dynamics Ltd.
BC
No
Yes
No
North American Detectors Inc.
ON
No
Yes
No
North American Energy Partners Inc.
AB
No
No
No
North American Equity Corporation
BC
No
Yes
No
North American Financials Capital Securities
Trust
ON
No
No
No
North American High Yield Bond Fund
(Putnam)
ON
No
No
No
North American Mid Cap Fund (GWLIM)
ON
No
No
No
North American Nickel Inc.
BC
No
No
No
North American Palladium Ltd.
ON
No
No
No
North American Platinum Ltd.
BC
No
Yes
No
North American Potash Developments Inc.
BC
No
No
No
North American Preferred Share Fund
ON
No
No
No
North American REIT Income Fund
ON
No
No
No
North American Specialty Class
ON
No
No
No
North American Systems Corporation
BC
No
Yes
No
North American Tire Recycling Ltd.
BC
No
Yes
No
North American Tungsten Corporation Ltd.
BC
No
No
No
North Arrow Minerals Inc.
BC
No
No
No
North Bluff Capital Corp.
BC
No
No
No
North Country Gold Corp.
AB
No
No
No
North Group Finance Limited
BC
No
No
No
North Growth Canadian Equity Fund
BC
No
No
No
North Growth U.S. Equity Advisor Fund
BC
No
No
No
North Pacific Industries Corporation
BC
No
Yes
No
North Sea Energy Inc.
ON
No
No
No
North Shore Mercantile Corp.
AB
No
Yes
No
North Sur Resources Inc.
AB
No
No
No
Northair Silver Corp.
BC
No
No
No
Page 183 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Northaven Resources Corp.
BC
No
Yes
No
Northcliff Resources Ltd.
BC
No
No
No
Northcore Resources Inc.
QC
No
No
No
Northcore Technologies Inc.
ON
No
Yes
No
Northern Abitibi Mining Corp.
AB
No
No
No
Northern Aspect Resources Ltd.
AB
No
No
No
Northern Blizzard Resources Inc.
AB
No
No
No
Northern Dancer Resources Ltd.
BC
No
Yes
No
Northern Dynasty Minerals Ltd.
BC
No
No
No
Northern Empire Resources Corp.
BC
No
No
No
Northern Freegold Resources Ltd.
BC
Yes
No
No
Northern Frontier Corp.
AB
No
No
No
Northern Gold Mining Inc.
ON
No
No
No
Northern Graphite Corporation
ON
No
No
No
Northern Greens Limited Partnership
BC
No
Yes
No
Northern Iron Corp.
BC
No
No
No
Northern Lights Big Game Corporation
BC
No
Yes
No
Northern Lights Resources Corp.
BC
No
Yes
No
Northern Lion Gold Corp.
BC
No
No
No
Northern Mountain Helicopters Group Inc.
BC
No
Yes
No
Northern Power Systems Corp.
BC
No
No
No
Northern Property Real Estate Investment Trust AB
No
No
No
Northern Shield Resources Inc.
ON
No
No
No
Northern Spirit Resources Inc.
AB
No
No
No
Northern Star Mining Corp.
QC
No
Yes
No
Northern Sun Mining Corp.
ON
No
No
No
Northern Superior Resources Inc.
ON
No
No
No
Northern Uranium Corp.
BC
No
No
No
Northern Vertex Mining Corp.
BC
No
No
No
Northfield Capital Corporation
ON
No
No
No
Northgate Limited Partnership
BC
No
Yes
No
NorthIsle Copper and Gold Inc.
BC
No
No
No
Northland Power Inc.
ON
No
No
No
Northland Resources SE
ON
No
No
No
Northland Systems Training Inc.
ON
No
Yes
No
Northquest Ltd.
ON
No
No
No
Northrich Pacific Ventures Inc.
BC
No
Yes
No
Northridge Energy Optimizer Corp.
BC
No
Yes
No
Northstar Aerospace, Inc.
ON
No
Yes
No
Northstar Electronics Inc.
BC
No
Yes
No
Page 184 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Northstar Healthcare Inc.
ON
No
No
No
Northstar-Outrider Acquisition Corporation
BC
No
Yes
No
NorthWest Healthcare Properties Real Estate
Investment Trust
ON
No
No
No
NorthWest International Healthcare Properties
Real Estate Investment Trust
ON
No
No
No
Northwest Select Global Balanced Portfolio
ON
No
No
No
Northwest Shroom Industries Ltd.
BC
No
Yes
No
Norvista Capital Corporation
BC
No
No
No
Norwood Resources Ltd.
BC
No
Yes
No
Norzan Enterprises Ltd.
BC
No
No
No
Nouveau Life Pharmaceuticals, Inc.
BC
No
Yes
No
Nouveau Monde Mining Enterprises Inc.
QC
No
No
No
NOVA Chemicals Corporation
AB
No
No
No
NOVA Gas Transmission Ltd.
AB
No
No
No
Nova Scotia Power Incorporated
NS
No
No
No
NovaBay Pharmaceuticals, Inc.
ON
No
No
No
NovaCopper Inc.
BC
No
No
No
Novadaq Technologies Inc.
ON
No
No
No
NovaDx Ventures Corp.
BC
No
Yes
No
NovaGold Resources Inc.
BC
No
No
No
Noveko International Inc.
QC
No
Yes
No
Novo Resources Corp.
BC
No
No
No
Novra Technologies Inc
BC
No
No
No
NOVX21 Inc.
QC
No
No
No
Noxe Resource Corporation
BC
No
Yes
No
NSGold Corporation
BC
No
No
No
NSI Global Inc.
QC
No
Yes
No
NSI Strategic Investments Ltd.
BC
No
No
No
NSP Pharma Corp.
ON
No
Yes
No
NSR Resources Inc.
QC
No
No
No
NSS Resources Inc.
BC
No
No
No
NSX Silver Inc.
BC
No
No
No
Ntex Incorporated
ON
No
Yes
No
NTG Clarity Networks Inc.
ON
No
No
No
Ntv Oil Services Industries Inc.
BC
No
Yes
No
Nu Crown Resources Inc.
BC
No
Yes
No
Nu-Lady Gold Mines Ltd.
BC
No
Yes
No
Nu-Life Corp.
ON
No
Yes
No
Nu-Start Resource Corporation
BC
No
Yes
No
Page 185 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
NU2U Resources Corp.
BC
No
No
No
Nubian Resources Ltd.
BC
No
No
No
Nucell Energy Canada Inc.
BC
No
Yes
No
Nucontex Corporation
ON
No
Yes
No
Nuinsco Resources Limited
ON
No
No
No
NuLegacy Gold Corporation
BC
No
No
No
Nunavik Nickel Mines Ltd.
QC
No
No
No
Nuspar Resources Ltd.
BC
No
Yes
No
Nutritional High International Inc.
ON
No
No
No
Nuvilex, Inc.
BC
No
Yes
No
NuVista Energy Ltd.
AB
No
No
No
Nuvo Research Inc.
ON
No
No
No
Nuvolt Corporation Inc
QC
No
No
No
NV Gold Corporation
BC
No
No
No
NWest Energy Corp.
AB
No
No
No
NWM Mining Corporation
ON
No
No
No
NWT Uranium Corp.
ON
No
No
No
NX Phase Capital Inc.
QC
No
No
No
NXA Inc.
ON
No
No
No
NXT Energy Solutions Inc.
AB
No
No
No
Nycal (Canada) Inc.
BC
No
Yes
No
NYX Gaming Group Limited
ON
No
No
No
O A Group Inc.
AB
No
Yes
No
O'hara Resources Ltd.
BC
No
Yes
No
O'Leary Bond Portfolio Trust
QC
No
No
No
O'Leary Canadian Balanced Income Fund
QC
No
No
No
O'Leary Canadian Bond Yield Fund
QC
No
No
No
O'Leary Canadian Diversified Income Fund
QC
No
No
No
O'Leary Canadian Dividend Fund
QC
No
No
No
O'Leary Canadian High Income Fund
QC
No
No
No
O'Leary Conservative Income Fund
QC
No
No
No
O'Leary Emerging Markets Income Fund
QC
No
No
No
O'Leary Floating Rate Income Fund
QC
No
No
No
O'Leary Global Bond Yield Advantaged Fund
QC
No
No
No
O'Leary Global Bond Yield Fund
QC
No
No
No
O'Leary Global Dividend Fund
QC
No
No
No
O'Leary Global Growth & Income Fund
QC
No
No
No
O'Leary Global Income Fund
QC
No
No
No
O'Leary Global Infrastructure Income Fund
QC
No
No
No
O'Leary Tactical Income Fund
QC
No
No
No
Page 186 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
O'Leary U.S. Strategic Yield Advantaged Fund
QC
No
No
No
O'Leary U.S. Strategic Yield Fund
QC
No
No
No
OAKHAM CAPITAL CORP.
BC
No
No
No
Oando Energy Resources Inc.
AB
No
No
No
Oban Mining Corporation
ON
No
No
No
Occidental Development Group Inc.
BC
No
Yes
No
Ocean Gold Sea Farms Ltd.
BC
No
Yes
No
Ocean Smart, Inc.
BC
No
Yes
No
OceanaGold Corporation
ON
No
No
No
Oceanic Iron Ore Corp.
BC
No
No
No
OceanLake Commerce Inc.
ON
No
Yes
No
OceanRock Balanced Portfolio
BC
No
No
No
OceanRock Canadian Equity Fund
BC
No
No
No
OceanRock Growth & Income Portfolio
BC
No
No
No
OceanRock Growth Portfolio
BC
No
No
No
OceanRock Income & Growth Portfolio
BC
No
No
No
OceanRock Income Portfolio
BC
No
No
No
OceanRock International Equity Fund
BC
No
No
No
OceanRock Maximum Growth Portfolio
BC
No
No
No
OceanRock U.S. Equity Fund
BC
No
No
No
Oceanside Capital Corp.
BC
No
No
No
Oceanus Resources Corporation
NS
No
No
No
OCP Credit Strategy Fund
ON
No
No
No
OCP Senior Credit Fund
ON
No
No
No
Ocs Technologies Corp.
BC
No
Yes
No
Octagon Industries Inc.
BC
No
Yes
No
Octant Energy Corp.
AB
No
No
No
Oculus Visiontech Inc.
BC
No
No
No
Ocutech Canada Inc.
BC
No
Yes
No
Odesia Group Inc.
QC
No
No
No
Odin Industries Ltd.
AB
No
Yes
No
Odin Mining And Exploration Ltd.
BC
No
No
No
Odyssey Energy Corporation
AB
No
Yes
No
Odyssey Resources Limited
ON
No
No
No
Odyssey Resources Ltd. (old)
BC
No
Yes
No
Offsetters Climate Solutions Inc.
BC
No
No
No
OG International Inc
BC
No
Yes
No
Ogopogo Industries Ltd.
BC
No
Yes
No
Oil Optimization Inc.
AB
No
No
No
Oil Sands Sector Fund
ON
No
No
No
Page 187 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Oilsands Quest Inc.
AB
No
Yes
No
Okak Bay Resources Ltd.
BC
No
Yes
No
Olds Industries Inc.
BC
No
Yes
No
Olie Inc.
BC
No
Yes
No
Olivut Resources Ltd.
AB
No
No
No
Olympia & York 240 Sparks Street Limited
BC
No
Yes
No
Olympia & York First Canadian Place Limited
BC
No
Yes
No
Olympia Financial Group Inc.
AB
No
No
No
Omineca Mining and Metals Ltd.
BC
No
No
No
Omni-Lite Industries Canada Inc.
AB
No
No
No
Omnibus Computer Graphics Inc
BC
No
Yes
No
Omnicity Corp.
BC
No
Yes
No
Omnitech Consultant Group Inc.
QC
No
Yes
No
Omoco Holdings Ltd.
BC
No
Yes
No
On Wah Investments Corp.
BC
No
Yes
No
On4 Communications Inc.
BC
No
Yes
No
OncoGenex Pharmaceuticals, Inc.
BC
No
No
No
Oncolytics Biotech Inc.
AB
No
No
No
Oncothyreon Inc.
AB
No
No
No
One Click Ventures Inc.
BC
No
Yes
No
ONE Financial All-Weather Profit Canada Fund ON
Yes
No
No
ONE Financial All-Weather Profit Commodities
ON
Fund
Yes
No
No
ONE Financial All-Weather Profit Conservative
ON
Growth 2022 Protected Portfolio
Yes
No
No
ONE Financial All-Weather Profit Emerging
Markets Fund
ON
Yes
No
No
ONE Financial All-Weather Profit Europe &
Asia Fund
ON
Yes
No
No
ONE Financial All-Weather Profit Global
Diversified Fund
ON
Yes
No
No
ONE Financial All-Weather Profit Global
Diversified Growth Fund
ON
Yes
No
No
ONE Financial All-Weather Profit Growth &
Income Balanced Fund
ON
Yes
No
No
ONE Financial All-Weather Profit Monthly ROC
ON
Income 2022 Protected Portfolio
Yes
No
No
ONE Financial All-Weather Profit Monthly TaxON
Efficient Bond Fund
Yes
No
No
ONE Financial All-Weather Profit Tax-Efficient
Short-term Savings Fund
ON
Yes
No
No
ONE Financial All-Weather Profit U.S. Fund
ON
Yes
No
No
Page 188 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
ONE Financial Real Property Development
Trust (2008-1)
ON
No
Yes
No
ONE Financial Real Property Income Fund
(2008-1)
ON
No
Yes
No
One World Investments Inc.
BC
No
No
No
OneCap Investment Corporation
QC
No
No
No
Oneida Resources Inc.
BC
No
Yes
No
ONEnergy Inc.
ON
No
No
No
OneRoof Energy Group, Inc.
ON
No
No
No
OneSoft Solutions Inc.
AB
No
No
No
Onex Corporation
ON
No
No
No
Online Direct Inc.
ON
No
Yes
No
OnSat.net Canada Inc.
AB
No
Yes
No
Ontario Power Generation Inc.
ON
No
No
No
Opal Energy Corp.
BC
No
No
No
Opawica Explorations Inc.
BC
No
No
No
Open Gold Corp.
BC
No
No
No
Open Source Health Inc.
ON
No
No
No
Open Text Corporation
ON
No
No
No
Ophir Copper Corp.
BC
No
Yes
No
Oppenheimer Holdings Inc.
ON
No
No
No
Opsens Inc.
QC
No
No
No
Opta Minerals Inc.
ON
No
No
No
Optimark Data Systems, Inc.
BC
No
Yes
No
Oracle Energy Corp.
BC
No
No
No
Oracle Mining Corp.
BC
No
No
No
Oragenics, Inc.
BC
No
No
No
Oramericas Corp.
BC
No
No
No
Orange
QC
No
No
No
Orbit Garant Drilling Inc.
QC
No
No
No
Orbite Aluminae Inc.
QC
No
No
No
Orbus Pharma Inc.
ON
No
Yes
No
Orca Exploration Group Inc.
AB
No
No
No
Orca Gold Inc.
BC
No
No
No
Orca Touchscreen Technologies Ltd.
BC
No
No
No
Orcana Resources Limited
BC
No
Yes
No
Orcatron Communications Ltd.
BC
No
Yes
No
Ord Mountain Resources Corp.
BC
No
No
No
Orefinders Resources Inc.
BC
No
No
No
Oremex Gold Inc.
ON
No
Yes
No
Page 189 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Oremex Silver Inc.
BC
No
Yes
Yes
Orestone Mining Corp.
BC
No
No
No
Orex Exploration Inc.
QC
No
No
No
Orex Minerals Inc.
BC
No
No
No
Orezone Gold Corporation
ON
No
No
No
Organic Potash Corporation
ON
No
No
No
OrganiGram Holdings Inc.
NB
No
No
No
Oriana Resources Corporation
ON
No
No
No
Original New York Seltzer Of Canada Ltd.
BC
No
Yes
No
Oriole Systems Inc.
BC
No
Yes
No
Orion Resource Corporation
AB
No
Yes
No
Orletto Capital Inc.
QC
No
No
No
Ormonde Mining Plc
BC
No
Yes
No
Oroco Resource Corp.
BC
No
No
No
Orocobre Limited
ON
No
No
No
Orofino Minerals Inc.
BC
No
No
No
Oronova Resource Corp.
BC
No
No
No
Orosur Mining Inc.
ON
No
No
No
Orsina Resources Ltd.
BC
No
Yes
No
Orsu Metals Corporation
ON
No
No
No
Orvana Minerals Corp.
ON
No
No
No
Oryx Petroleum Corporation Limited
AB
No
No
No
OSISKO GOLD ROYALTIES LTD
QC
No
No
No
Osprey Energy Ltd.
BC
No
Yes
No
Osta Biotechnologies Inc.
QC
No
Yes
No
Otis Gold Corp.
BC
No
No
No
Otterburn Resources Corp.
BC
No
No
No
Outback Resources Inc.
BC
No
Yes
No
OutdoorPartner Media Corporation
ON
No
No
No
Outlook Resources Inc.
ON
No
Yes
No
Outrider Energy Corp.
BC
No
No
No
Outrider Merchant Equities Inc.
AB
No
Yes
No
Overbridge Cattle Company Limited
BC
No
Yes
No
Ovid Capital Ventures Inc.
QC
No
No
No
Ovivo Inc.
QC
No
No
No
Owen Ventures Ltd.
BC
No
Yes
No
Oxford Resources Inc.
BC
No
No
No
Oxin Industries Ltd.
BC
No
Yes
No
Oyco Inc.
BC
No
Yes
No
Oyster Oil and Gas Ltd.
BC
No
No
No
Page 190 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
P&P Ventures Inc.
BC
No
No
No
P.M.C. Technologies Ltd.
BC
No
Yes
No
P.S.M. Technologies Inc.
BC
No
Yes
No
P.T.P. Resource Corp.
BC
No
Yes
No
P2 Solar, Inc.
BC
No
Yes
No
P2P Info Inc.
BC
No
No
No
Pacgen Life Science Corporation
BC
No
No
No
Pacific & Western Bank of Canada
ON
No
No
No
Pacific Arc Resources Ltd.
BC
No
No
No
Pacific Bay Minerals Ltd.
BC
No
No
No
Pacific Booker Minerals Inc.
BC
No
No
No
Pacific Cascade Minerals Inc.
BC
No
No
No
Pacific Coal Resources Ltd.
ON
No
No
No
Pacific Comox Resources Ltd.
BC
No
Yes
No
Pacific Consolidated Resources Corp.
BC
No
Yes
No
Pacific Copper Corp.
BC
No
Yes
No
Pacific E-Link Corporation
BC
No
Yes
No
Pacific Energy Resources Ltd.
AB
No
Yes
No
Pacific Engineered Materials Inc.
BC
No
Yes
No
Pacific Fashion Retailers Corporation
BC
No
Yes
No
Pacific GeoInfo Corp.
BC
No
No
No
Pacific Houston Resources, Inc.
BC
No
Yes
No
Pacific Imperial Mines Inc.
BC
No
No
No
Pacific Insight Electronics Corp.
BC
No
No
No
Pacific Iron Ore Corporation
AB
No
No
No
Pacific Kenridge Ventures Inc.
BC
No
Yes
No
Pacific Link Mining Corp.
BC
No
No
No
Pacific Lottery Corporation
AB
No
Yes
No
Pacific Minesearch Limited
BC
No
Yes
No
Pacific National Financial Corporation
BC
No
Yes
No
Pacific North West Capital Corp.
BC
No
No
No
Pacific Orient Capital Inc.
ON
No
Yes
No
Pacific Paradym Energy Inc.
BC
No
No
No
Pacific Potash Corporation
BC
No
No
No
Pacific Regent - La Jolla No.2 Limited
Partnership
BC
No
Yes
No
Pacific Ridge Exploration Ltd.
BC
No
No
No
Pacific Rim Container Sales Ltd.
BC
No
Yes
No
Pacific Rubiales Energy Corp.
ON
No
No
No
Pacific Safety Products Inc.
ON
No
No
No
Page 191 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Pacific Standard Properties Inc.
BC
No
Yes
No
Pacific Star Communications Corporation
BC
No
Yes
No
Pacific Therapeutics Ltd.
BC
No
No
No
Pacific Titan Resource Corp.
BC
No
Yes
No
Pacific Topaz Resources Ltd.
BC
No
No
No
Pacific Vector Holdings Inc.
ON
No
Yes
No
Pacific Video Vending Limited Partnership One BC
No
Yes
No
Pacific Vista Industries Inc.
BC
No
Yes
No
Pacific Wildcat Resources Corp.
BC
No
No
No
Pacific-Link Capital Inc.
BC
No
No
No
Pacrim International Capital Inc.
ON
No
Yes
No
PacRim Resources Ltd.
ON
No
Yes
No
Pacs Technologies Inc.
BC
No
Yes
No
PacWest Equities, Inc.
BC
No
Yes
No
Page Petroleum Ltd.
BC
No
Yes
No
Paget Minerals Corp.
BC
No
No
No
Paige Innovations Inc.
ON
No
Yes
No
Painted Pony Petroleum Ltd.
AB
No
No
No
Pak-Man Resources Inc.
BC
No
Yes
No
Palcan Power Systems Inc.
BC
No
Yes
No
Palisades Petroleum Corporation
BC
No
Yes
No
Palladon Ventures Ltd.
BC
No
No
No
Pallaum Minerals Ltd.
BC
No
Yes
No
Pallet Pallet Inc.
ON
No
Yes
No
Palliser Oil & Gas Corporation
AB
No
No
No
Palm Beach County Utilites Corporation
BC
No
Yes
No
Palo Duro Energy Inc.
BC
No
No
No
Paloma Resources Inc.
BC
No
No
No
Palos Equity Income Fund
QC
No
No
No
Pamlico Resources Ltd.
BC
No
Yes
No
Pan African Oil Ltd.
AB
No
No
No
Pan American Fertilizer Corp.
BC
No
Yes
No
Pan American Goldfields Ltd.
BC
No
Yes
No
Pan American Silver Corp.
BC
No
No
No
Pan Global Resources Inc.
BC
No
No
No
Pan Ocean Explorations Inc.
BC
No
Yes
No
Pan Orient Energy Corp.
AB
No
No
No
Pan Pacific Gold Corporation
BC
No
Yes
No
Pan Pacific Petroleum Inc.
BC
No
Yes
No
Pan Smak Pizza Inc.
BC
No
Yes
No
Page 192 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Pan-Asia Development Corporation
BC
No
Yes
No
Pan-National Media Group Limited
BC
No
Yes
No
Panasoni Energy Corp.
BC
No
Yes
No
Pancontinental Uranium Corporation
BC
No
No
No
Panda Capital Inc.
ON
No
No
No
Pangolin Diamonds Corp.
ON
No
No
No
Panorama Petroleum Inc.
BC
No
No
No
Panorama Resources N.L.
BC
No
Yes
No
Panoro Minerals Ltd.
BC
No
No
No
PanTerra Gold Limited
BC
No
No
No
Pantheon Ventures Ltd.
BC
No
No
No
Panther Mines Ltd.
BC
No
Yes
No
Papuan Precious Metals Corp.
BC
No
No
No
Para Resources Inc.
BC
No
No
No
Para-Tech Energy Services Inc.
AB
No
Yes
No
Paracomp Technologies Inc.
BC
No
Yes
No
Paradise Capital Inc.
AB
No
Yes
No
ParaFin Corporation
BC
No
Yes
No
Parallax Development Corporation
BC
No
Yes
No
Parallel Energy Trust
AB
No
No
No
Parallel Mining Corp.
BC
No
No
No
Paramount Gold and Silver Corp.
ON
No
No
No
Paramount Resources Ltd.
AB
No
No
No
Paramount Ventures And Finance Inc.
BC
No
Yes
No
Parex Resources Inc.
AB
No
No
No
Parisco Foods Limited
BC
No
Yes
No
Park Lawn Company Limited
ON
No
No
No
Park Lawn Corporation
ON
No
No
No
Park Place Energy Corp.
AB
No
No
No
Park Resources Ltd.
BC
No
Yes
No
Park Square Properties Limited Partnership
MB
No
Yes
No
Parkit Enterprise Inc.
BC
No
No
No
Parkland Energy Services Inc.
AB
No
Yes
No
Parkland Fuel Corporation
AB
No
No
No
Parkside Resources Corporation
BC
No
Yes
No
Parkwood Coast Capital Ltd.
BC
No
Yes
No
Parlane Resource Corp.
BC
No
No
No
Paron Resources Inc.
BC
No
Yes
No
Partner Jet Corp.
ON
No
No
No
Partners Oil & Minerals Ltd.
BC
No
Yes
No
Page 193 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Partners Real Estate Investment Trust
ON
No
No
No
Partners Value Fund Inc.
ON
No
No
No
Partners Value Split Corp.
ON
No
No
No
Parton Capital Inc.
AB
No
Yes
No
Partyco Holdings Ltd.
ON
No
Yes
No
Pasinex Resources Limited
BC
No
No
No
Pason Systems Inc.
AB
No
No
No
Passport Potash Inc.
BC
No
No
No
Patchgear.com Inc.
AB
No
Yes
No
Pathfinder Income Fund
AB
No
No
No
Pathtechnics Ltd.
BC
No
Yes
No
Pathway 2010 GORR Limited Partnership
ON
No
No
No
Patient Home Monitoring Corp.
BC
No
No
No
Patria Resources Ltd.
AB
No
Yes
No
Patriot Energy Corp.
BC
No
Yes
No
Patriot Gold Corp.
BC
No
Yes
No
Patriot Minefinders Inc.
BC
No
No
No
Patriot Petroleum Corp.
BC
No
No
No
Pattern Energy Group Inc.
ON
No
No
No
Pax Clean Energy, Inc.
BC
No
Yes
No
Pax Petroleum Ltd.
BC
No
Yes
No
Paxton International Resources Ltd.
BC
No
Yes
No
Pay Linx Financial Corporation
AB
No
Yes
No
PayChest, Inc.
BC
No
Yes
No
Payfair Industries Ltd.
BC
No
Yes
No
Pbb Venture Corporation
BC
No
Yes
No
PC Chips Corporation
ON
No
Yes
No
PC Gold Inc.
ON
No
No
No
Pc Ventures Ltd.
BC
No
Yes
No
Pch Post Career Habitat Inc.
BC
No
Yes
No
Pcp Plasma Computer Products Corporation
BC
No
Yes
No
PDC Biological Health Group Corporation
BC
No
No
No
Peace Arch Entertainment Group Inc.
ON
No
Yes
No
Peachtree Network Inc.
QC
No
Yes
No
Peak Brewing Group Inc.
BC
No
Yes
No
Peak Positioning Technologies Inc.
QC
No
No
No
Peaksoft Multinet Corp.
BC
No
Yes
No
Pearl River Holdings Limited
ON
No
No
No
Peat Resources Limited
ON
No
No
No
Pebble Creek Mining Ltd.
BC
No
Yes
No
Page 194 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Pediapharm Inc.
QC
No
No
No
Pedro Resources Ltd.
BC
No
No
No
Pegasus Gaming Corp.
BC
No
Yes
No
Pegasus Gold Inc.
BC
No
Yes
No
Pelangio Exploration Inc.
ON
No
No
No
Pele Mountain Resources Inc.
ON
No
No
No
Pelham Gold "N" Grain Inc.
BC
No
Yes
No
Pembina Pipeline Corporation
AB
No
No
No
Pencrude Resources Inc.
BC
No
Yes
No
Pender Balanced Fund
BC
No
No
No
Pender Canadian Equity Fund
BC
No
No
No
Pender Corporate Bond Fund
BC
No
No
No
Pender Growth Fund (VCC) Inc.
BC
No
No
No
Pender Small Cap Opportunities Fund
BC
No
No
No
Pender US All Cap Equity Fund.
BC
No
No
No
Pender Value Fund
BC
No
No
No
Pengrowth Energy Corporation
AB
No
No
No
Penn West Petroleum Ltd.
AB
No
No
No
Pennine Petroleum Corporation
AB
No
No
No
Pennington's Stores Limited
BC
No
Yes
No
People Corporation
ON
No
No
No
Peopleline Telecom Inc
BC
No
Yes
No
Peoples Jewellers Limited
BC
No
Yes
No
Pepcap Ventures Inc.
AB
No
No
No
Pepper Rock Resources Corp.
BC
No
Yes
No
Peptide Technologies, Inc.
BC
No
No
No
Peragis Inc.
SK
No
Yes
No
Peralto Resources Corp.
BC
No
Yes
No
Peregrine Diamonds Ltd.
BC
No
No
No
Peregrine Systems, Inc.
NS
No
Yes
No
Perennial Energy, Inc.
BC
No
Yes
No
Performance Minerals Of Canada Ltd.
BC
No
Yes
No
Performance Optician Software Corporation
QC
No
Yes
No
Performance Sports Group Ltd.
ON
No
No
No
Perisson Petroleum Corporation
QC
No
No
No
Peritronics Medical Ltd.
BC
No
Yes
No
Perlite Canada Inc.
QC
No
No
No
Perpetual Energy Inc.
AB
No
No
No
Perpetual Industries Inc.
AB
No
No
No
PERSEUS MINING LIMITED
BC
No
No
No
Page 195 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Pershimco Resources Inc.
QC
No
No
No
Pertacal Energy Inc.
AB
No
Yes
No
Peruvian Precious Metals Corp.
BC
No
No
No
PESA Corporation
ON
No
No
No
Pesava International Corp.
BC
No
Yes
No
Petaquilla Minerals Ltd.
BC
No
Yes
Yes
Petra Petroleum Inc.
BC
No
No
No
Petrichor Energy Inc.
BC
No
No
No
Petro Basin Energy Corp.
BC
No
No
No
Petro One Energy Corp.
BC
No
No
No
Petro River Oil Corp.
AB
No
No
No
PETRO VIKING ENERGY INC.
AB
No
No
No
Petro Vista Energy Corp.
BC
No
No
No
Petro-Victory Energy Corp.
AB
No
No
No
Petroamerica Oil Corp.
AB
No
No
No
Petrocel Industries Inc.
BC
No
Yes
No
PetroCorp Group Inc.
AB
No
No
No
Petrodorado Energy Ltd.
AB
No
No
No
Petroflow Energy Ltd.
AB
No
Yes
No
PetroFrontier Corp.
AB
No
No
No
PetroGlobe Inc.
AB
No
Yes
No
Petrol One Corp.
BC
No
Yes
No
Petrolex Energy Corporation
BC
No
Yes
Yes
Petrolia Inc.
QC
No
No
No
Petrolympic Ltd.
ON
No
No
No
Petromanas Energy Inc.
AB
No
No
No
PetroMaroc Corporation plc
AB
No
No
No
Petromin Resources Ltd
BC
No
No
No
PetroNova Inc.
AB
No
No
No
PetroQuest Energy, Inc.
BC
No
No
No
PetroReal Energy Inc.
AB
No
Yes
No
Petroshale Inc.
AB
No
No
No
Petrostar Petroleum Corporation
AB
No
No
No
Petrotech Inc
BC
No
Yes
No
Petrowest Corporation
AB
No
No
No
Petrox Energy And Minerals Corporation
BC
No
Yes
No
Petrox Resources Corp.
AB
No
No
No
Peyto Exploration & Development Corp.
AB
No
No
No
PFB Corporation
AB
No
No
No
PGE Resource Corporation
NB
No
Yes
No
Page 196 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Pharaoh Capital Corporation
BC
No
Yes
No
Pharlap Resources Ltd.
BC
No
Yes
No
Pharma Patch Plc
BC
No
Yes
No
PharmaCan Capital Corp.
ON
No
No
No
PharmaGap Inc.
ON
No
Yes
No
Pharmaglobe America Group, Inc.
BC
No
Yes
No
Pharmeng International Inc.
ON
No
Yes
No
Phasor International Communications Inc.
BC
No
Yes
No
Philip Services Corp.
ON
No
Yes
No
Philippine Metals Inc.
BC
No
No
No
Phillips, Hager & North $U.S. Money Market
Fund
ON
No
No
No
Phillips, Hager & North Balanced Fund
ON
No
No
No
Phillips, Hager & North Balanced Pension Trust ON
No
No
No
Phillips, Hager & North Bond Fund
ON
No
No
No
Phillips, Hager & North Canadian Equity Fund
ON
No
No
No
Phillips, Hager & North Canadian Equity
Pension Trust
ON
No
No
No
Phillips, Hager & North Canadian Equity Plus
Pension Trust
ON
No
No
No
Phillips, Hager & North Canadian Equity
Underlying Fund
ON
No
No
No
Phillips, Hager & North Canadian Equity
Underlying Fund II
ON
No
No
No
Phillips, Hager & North Canadian Equity Value
Class
ON
No
No
No
Phillips, Hager & North Canadian Equity Value
Fund
ON
No
No
No
Phillips, Hager & North Canadian Growth Fund ON
No
No
No
Phillips, Hager & North Canadian Income Fund ON
No
No
No
Phillips, Hager & North Canadian Money
Market Fund
ON
No
No
No
Phillips, Hager & North Community Values
Balanced Fund
ON
No
No
No
Phillips, Hager & North Community Values
Bond Fund
ON
No
No
No
Phillips, Hager & North Community Values
Canadian Equity Fund
ON
No
No
No
Phillips, Hager & North Community Values
Global Equity Fund
ON
No
No
No
Phillips, Hager & North Currency-Hedged
Overseas Equity Fund
ON
No
No
No
Phillips, Hager & North Currency-Hedged U.S.
Equity Fund
ON
No
No
No
Page 197 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Phillips, Hager & North Dividend Income Fund
ON
No
No
No
Phillips, Hager & North Global Equity Fund
ON
No
No
No
Phillips, Hager & North High Yield Bond Fund
ON
No
No
No
Phillips, Hager & North Inflation-Linked Bond
Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2015 Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2020 Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2025 Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2030 Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2035 Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2040 Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2045 Fund
ON
No
No
No
Phillips, Hager & North LifeTime 2050 Fund
ON
No
No
No
Phillips, Hager & North Long Inflation-linked
Bond Fund
ON
No
No
No
Phillips, Hager & North Monthly Income Class
ON
No
No
No
Phillips, Hager & North Monthly Income Fund
ON
No
No
No
Phillips, Hager & North Overseas Equity Class
ON
No
No
No
Phillips, Hager & North Overseas Equity Fund
ON
No
No
No
Phillips, Hager & North Overseas Equity
Pension Trust
ON
No
No
No
Phillips, Hager & North Short Inflation-linked
Bond Fund
ON
No
No
No
Phillips, Hager & North Short Term Bond &
Mortgage Fund
ON
No
No
No
Phillips, Hager & North Small Float Fund
ON
No
No
No
Phillips, Hager & North Total Return Bond Fund ON
No
No
No
Phillips, Hager & North U.S. Dividend Income
Fund
ON
No
No
No
Phillips, Hager & North U.S. Equity Fund
ON
No
No
No
Phillips, Hager & North U.S. Growth Fund
ON
No
No
No
Phillips, Hager & North U.S. Multi-Style All-Cap
ON
Equity Class
No
No
No
Phillips, Hager & North U.S. Multi-Style All-Cap
ON
Equity Fund
No
No
No
Phillips, Hager & North Vintage Fund
ON
No
No
No
Phoenix Canada Oil Company Limited
ON
No
No
No
Phoenix Capital Inc.
AB
No
Yes
No
Phoenix Capital Income Trust
BC
No
Yes
No
Phoenix Global Capital Inc.
BC
No
Yes
No
Phoenix Gold Resources Corp.
ON
No
No
No
Phoenix Health Group Inc.
ON
No
Yes
No
Page 198 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Phoenix Leisure Corporation
BC
No
Yes
No
Phoenix Metals Corporation
BC
No
No
No
Phoscan Chemical Corp.
ON
No
No
No
Photon Control Inc.
BC
No
No
No
PHX Energy Services Corp.
AB
No
No
No
Picosec Technology Ltd.
BC
No
Yes
No
Picton Mahoney Tactical Income Fund
ON
No
No
No
Pigboss Follow-up Growth Inc.
QC
No
Yes
No
Pih Pacific International Hardwoods Inc.
BC
No
Yes
No
Pii Photovision International, Inc.
BC
No
Yes
No
Pilgrim Holdings Ltd.
BC
No
Yes
No
Pilot Gold Inc.
BC
No
No
No
Pilot Peak Gold Inc.
BC
No
Yes
No
PIMCO Canadian Real Return Bond Fund
ON
No
No
No
PIMCO Canadian Short Term Bond Fund
ON
No
No
No
PIMCO Canadian Total Return Bond Fund
ON
No
No
No
PIMCO EqS Pathfinder Fund (Canada)
ON
No
No
No
PIMCO Global Advantage Strategy Bond Fund
ON
(Canada)
No
No
No
PIMCO Global Balanced Fund (Canada)
ON
No
No
No
PIMCO Global Income Opportunities Fund
ON
No
No
No
PIMCO Monthly Income Fund (Canada)
ON
No
No
No
PIMCO Unconstrained Bond Fund (Canada)
ON
No
No
No
Pine Cliff Energy Ltd.
AB
No
No
No
Pine Valley Mining Corporation
BC
No
Yes
No
PineBridge Investment Grade Preferred
Securities Fund
ON
No
No
No
Pinecrest Energy Inc.
AB
No
No
No
Pinecrest Resources Ltd.
BC
No
No
No
Pineridge Capital Group Inc.
BC
No
Yes
No
Pinestar Gold Inc.
BC
No
Yes
No
Pinetree Capital Ltd.
ON
No
No
No
Pinetree Software Canada Ltd.
BC
No
Yes
No
Pinewood Resources Ltd.
BC
No
Yes
No
Pingify International, Inc.
BC
No
Yes
No
Pink Pages Publications Inc.
BC
No
Yes
No
Pinnacle Balanced Portfolio
ON
No
No
No
Pinnacle Growth Portfolio
ON
No
No
No
Pinnacle Income Portfolio
ON
No
No
No
Pioneer Exploration Inc.
BC
No
Yes
No
Page 199 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Pioneer Pacific Finance Corp.
BC
No
No
No
Pioneering Technology Corp.
ON
No
No
No
Piper Resources Ltd.
QC
No
Yes
No
Pirates Gold Corporation
BC
No
Yes
No
Pistol Bay Mining Inc.
BC
Yes
No
No
Pistol Petroleum Incorporated
BC
No
Yes
No
Pitchblack Resources Ltd.
BC
No
No
No
Pivot Technology Solutions, Inc.
ON
No
No
No
Pivotal Therapeutics Inc.
ON
No
No
No
Pixman Nomadic Media Inc.
QC
No
Yes
No
Pizza Pizza Royalty Corp.
ON
No
No
No
PJX Resources Inc.
ON
No
No
No
Place Concorde East Limited Partnership
BC
No
Yes
No
Plaintree Systems Inc.
ON
No
No
No
Planet Health Corp.
AB
No
No
No
Planet Mining Exploration Inc.
BC
No
No
No
Plaser Light Corp.
BC
No
Yes
No
Plastic Engine Technology Corporation
BC
No
Yes
No
Plata Latina Minerals Corporation
BC
No
No
No
Plata Mining Limited
BC
No
Yes
No
Plate Resources Inc.
BC
No
No
No
Platinex Inc.
ON
No
No
No
Platinex Mining Corporation
BC
No
Yes
No
Platino Energy Corp.
AB
No
No
No
Platinova A/S
ON
No
Yes
No
Platinova Resources Ltd
ON
No
Yes
No
Platinum Communications Corporation
AB
No
No
No
Platinum Group Metals Ltd.
BC
No
No
No
Plato Gold Corp.
ON
No
No
No
Play LA Inc.
BC
No
No
No
Playa El Agua Hotel Limited Partnership
BC
No
Yes
No
Playbox (US) Inc.
BC
No
Yes
No
Playdigm Entertainment Corporation
BC
No
Yes
No
Playfair Mining Ltd.
BC
No
No
No
Plaza Retail REIT
NB
No
No
No
Plenus Investment Inc.
BC
No
No
No
Plicit Capital Corp.
BC
No
No
No
Plus International Corporation
BC
No
Yes
No
Plus8 Global Ventures, Ltd.
BC
No
No
No
Plymouth Realty Capital Corp.
ON
No
No
No
Page 200 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
PNG Gold Corporation
BC
No
No
No
PNO Resources Ltd.
BC
No
No
No
POCML 3 Inc.
ON
No
No
No
POET Technologies Inc.
ON
No
No
No
Point Resources Ltd.
BC
No
Yes
No
Points International Ltd.
ON
No
No
No
Pola Resources Ltd.
BC
No
Yes
No
Polar Resources Corporation
BC
No
No
No
Polaris Materials Corporation
BC
No
No
No
Polestar Exploration Inc.
BC
No
Yes
No
Pollard Banknote Limited
MB
No
No
No
PolyMet Mining Corp.
BC
No
No
No
Polyphalt Inc.
ON
No
Yes
No
Polysource Holdings Plc
BC
No
Yes
No
Ponderosa Fund
BC
No
Yes
No
Ponderosa Ventures Inc.
BC
No
Yes
No
Poplar Creek Resources Inc.
AB
No
Yes
No
Portacom Wireless Inc.
BC
No
Yes
No
Portex Minerals Inc.
ON
No
No
No
Portfolio Series Balanced Fund
ON
No
No
No
Portfolio Series Balanced Growth Fund
ON
No
No
No
Portfolio Series Conservative Balanced Fund
ON
No
No
No
Portfolio Series Conservative Fund
ON
No
No
No
Portfolio Series Growth Fund
ON
No
No
No
Portfolio Series Income Fund
ON
No
No
No
Portfolio Series Maximum Growth Fund
ON
No
No
No
Portia Exploration Ltd.
BC
No
Yes
No
Portland Advantage Fund
ON
No
No
No
Portland Canadian Balanced Fund
ON
No
No
No
Portland Canadian Focused Fund
ON
No
No
No
Portland Global Banks Fund
ON
No
No
No
Portland Global Dividend Fund
ON
No
No
No
Portland Global Income Fund
ON
No
No
No
Portlogic Systems Inc.
BC
No
No
No
Porto Energy Corp.
AB
No
Yes
No
Portofino Resources Inc.
BC
No
No
No
Portola Resources Inc.
BC
No
No
No
Portus Corporation
BC
No
No
No
Poseidon Concepts Corp.
AB
No
Yes
No
Posera-HDX Limited
ON
No
No
No
Page 201 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Position Inc.
AB
No
Yes
No
Postec Systems Inc.
AB
No
Yes
No
Postmedia Network Canada Corp.
ON
No
No
No
Potash Corporation of Saskatchewan Inc.
SK
No
No
No
Potash Ridge Corporation
ON
No
No
No
Pounder Venture Capital Corp.
ON
No
No
No
Powder Mountain Energy Ltd.
AB
No
No
No
Powder Mountain Inc.
AB
No
No
No
Power Air Corporation
BC
No
Yes
No
Power Corporation of Canada
QC
No
No
No
Power Financial Corporation
QC
No
No
No
Power Tech Corporation Inc.
QC
No
Yes
No
PowerNova Technologies Corporation
BC
No
Yes
No
PowerShares 1-3 Year Laddered Floating Rate
ON
Note Index ETF
No
No
No
PowerShares 1-5 Year Laddered Corporate
Bond Index Fund
ON
No
No
No
PowerShares 1-5 Year Laddered Investment
Grade Corporate Bond Index ETF
ON
No
No
No
PowerShares Canadian Dividend Index Class
ON
No
No
No
PowerShares Canadian Dividend Index ETF
ON
No
No
No
PowerShares Canadian Low Volatility Index
Class
ON
No
No
No
PowerShares Canadian Preferred Share Index
ON
Class
No
No
No
PowerShares Canadian Preferred Share Index
ON
ETF
No
No
No
PowerShares Diversified Yield Fund
ON
No
No
No
PowerShares FTSE RAFI Canadian
Fundamental Index ETF
ON
No
No
No
PowerShares FTSE RAFI US Fundamental
(CAD Hedged) Index ETF
ON
No
No
No
Powershares FTSE RAFI® Canadian
Fundamental Index Class
ON
No
No
No
PowerShares FTSE RAFI® Emerging Markets
Fundamental Class
ON
No
No
No
PowerShares FTSE RAFI® Global+
Fundamental Fund
ON
No
No
No
PowerShares FTSE RAFI® U.S. Fundamental
Fund
ON
No
No
No
PowerShares Fundamental High Yield
Corporate Bond (CAD Hedged) Index ETF
ON
No
No
No
PowerShares Global Agriculture Class
ON
No
No
No
Page 202 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
PowerShares Global Dividend Achievers Fund
ON
No
No
No
PowerShares High Yield Corporate Bond Index
ON
Fund
No
No
No
PowerShares LadderRite U.S. 0-5 Year
Corporate Bond Index ETF
ON
No
No
No
PowerShares QQQ (CAD Hedged) Index ETF
ON
No
No
No
PowerShares Real Return Bond Index Fund
ON
No
No
No
Powershares S&P 500 High Beta (CAD
Hedged) Index ETF
ON
No
No
No
PowerShares S&P 500 Low Volatility (CAD
Hedged) Index ETF
ON
No
No
No
PowerShares S&P Emerging Markets Low
Volatility Index ETF
ON
No
No
No
PowerShares S&P International Developed
Low Volatility Index ETF
ON
No
No
No
PowerShares S&P/TSX Composite High Beta
Index ETF
ON
No
No
No
PowerShares S&P/TSX Composite Low
Volatility Index ETF
ON
No
No
No
PowerShares Senior Loan (CAD-Hedged)
Index ETF
ON
No
No
No
PowerShares Tactical Bond Capital Yield Class ON
No
No
No
PowerShares Tactical Bond ETF
ON
No
No
No
PowerShares Tactical Bond Fund
ON
No
No
No
PowerShares Tactical Canadian Asset
Allocation Fund
ON
No
No
No
PowerShares U.S. Low Volatility Index Fund
ON
No
No
No
PowerShares Ultra Liquid Long Term
Government Bond Index ETF
ON
No
No
No
Poydras Gaming Finance Corp.
BC
No
No
No
Poynt Corporation
AB
No
Yes
No
PPC Capital Corp.
AB
No
Yes
No
PPF International Corporation
AB
No
Yes
No
PPOA Holdings, Inc.
AB
No
Yes
No
Practicar Industries Corp.
BC
No
Yes
No
PrairieSky Royalty Ltd.
AB
No
No
No
PRD Energy Inc.
AB
No
No
No
Precious Metals and Mining Trust
ON
No
No
No
Precious Metals Bullion Trust
ON
No
No
No
Precipitate Gold Corp.
BC
No
No
No
Precision Assessment Technology Corporation BC
No
Yes
No
Precision Drilling Corporation
AB
No
No
No
Prefco Enterprises Inc.
BC
No
Yes
No
Page 203 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Preferred Enterprises Ltd.
AB
No
Yes
No
Preferred Share Investment Trust
ON
No
No
No
Premier Diagnostic Health Services Inc.
BC
No
No
No
Premier Gold Mines Limited
ON
No
No
No
Premier Royalty Inc.
ON
No
No
No
Premium Brands Holdings Corporation
BC
No
No
No
Premium Exploration Inc.
BC
No
No
No
Premium Income Corporation
ON
No
No
No
Preo Software Inc.
AB
No
Yes
No
Presidential Forest Products Corporation
BC
No
Yes
No
Prestige Telecom Inc.
QC
No
Yes
No
Pretium Resources Inc.
BC
No
No
No
Pricam Explorations Inc.
BC
No
Yes
No
Pride Resources Ltd.
BC
No
Yes
No
Prima Diamond Corp.
BC
No
No
No
Primaria Capital (Canada) Ltd.
BC
No
No
No
Prime Air Inc.
BC
No
Yes
No
Prime City One Capital Corp.
ON
No
No
No
Prime Dividend Corp.
ON
No
No
No
Prime Meridian Resources Corp.
BC
No
No
No
Prime Petroleum Group Inc.
BC
No
Yes
No
Primeline Energy Holdings Inc.
BC
No
No
No
Primenet Communications Inc.
ON
No
Yes
Yes
Primerica Aggressive Growth Fund
ON
No
No
No
Primerica Canadian Money Market Fund
ON
No
No
No
Primerica Conservative Growth Fund
ON
No
No
No
Primerica Growth Fund
ON
No
No
No
Primerica Income Fund
ON
No
No
No
Primerica Moderate Growth Fund
ON
No
No
No
Primero Mining Corp.
ON
No
No
No
Primewest Mortgage Investment Corporation
SK
No
No
No
Primrose Technology Corporation
BC
No
Yes
No
Prince Resource Corporation
AB
No
No
No
Princess Resources Ltd.
BC
No
Yes
No
Printera Corporation
ON
No
Yes
No
Priority Ventures Ltd.
BC
No
Yes
No
Prism Medical Ltd.
ON
No
No
No
Prism Resources Inc.
BC
No
No
No
Priszm Income Fund
ON
No
Yes
No
Page 204 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Priviti Oil & Gas Opportunities Limited
Partnership 2013
AB
No
No
No
Prize Mining Corporation
AB
No
No
No
Pro FTSE NA Dividend Index Fund
ON
No
No
No
Pro FTSE RAFI Canadian Index Fund
ON
No
No
No
Pro FTSE RAFI Emerging Index Fund
ON
No
No
No
Pro FTSE RAFI Global Index Fund
ON
No
No
No
Pro FTSE RAFI Hong Kong China Index Fund
ON
No
No
No
Pro FTSE RAFI US Index Fund
ON
No
No
No
Pro Fundamental Balanced Index Fund
ON
No
No
No
Pro Fundamental Bond Index Fund
ON
No
No
No
Pro Minerals Inc.
BC
No
Yes
No
Pro Money Market Fund
ON
No
No
No
PRO Real Estate Investment Trust
QC
No
No
No
Pro-Tech Venture Corp.
BC
No
Yes
No
Pro-Trans Ventures Inc.
AB
No
Yes
No
ProAm Explorations Corporation
BC
No
No
No
Probe Exploration Inc.
AB
No
Yes
No
Probe Mines Limited
ON
No
No
No
Process Capital Corp.
ON
No
Yes
No
Procom Emerald Company Inc.
BC
No
Yes
No
Prodigital Film Studios Inc
BC
No
Yes
No
Production Enhancement Group, Inc.
AB
No
Yes
No
Proelium MMA Acquisition Corp.
BC
No
No
No
Profab Energy Services Ltd.
AB
No
Yes
No
Proflex Limited
BC
No
Yes
No
Progold Resources Ltd.
BC
No
Yes
No
Progressive Waste Solutions Ltd.
ON
No
No
No
Promax Communications Inc.
BC
No
Yes
No
Promax Energy Inc.
AB
No
Yes
No
Promethean Technologies Inc.
BC
No
Yes
No
ProMetic Life Sciences Inc.
QC
No
No
No
Prominent Resources Corporation
BC
No
Yes
No
Prominex Resource Corp.
BC
No
No
No
ProntoForms Corporation
ON
No
No
No
Prophecy Development Corp.
BC
No
No
No
Prophecy Entertainment Inc.
BC
No
Yes
No
Prophesy Developments Ltd.
BC
No
Yes
No
Prophet Resources Ltd.
BC
No
Yes
No
Prospect Park Capital Corp.
ON
No
No
No
Page 205 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Prospect Ventures, Inc.
BC
No
Yes
No
Prospector Resources Corp.
BC
No
No
No
Prospectors Airways Consolidated Ltd.
BC
No
Yes
No
Prosper Gold Corp.
BC
No
No
No
Prospero Silver Corp.
BC
No
No
No
Prosys Tech Corporation
QC
No
Yes
No
Protection Technology Inc.
BC
No
Yes
No
Proteo Technology Corporation
BC
No
Yes
No
Proteus Environmental Inc.
AB
No
Yes
No
ProtoKinetix Inc.
BC
No
Yes
No
Providence Resources Corp.
BC
No
No
No
PsiNaptic Inc.
AB
No
Yes
No
Pulse Seismic Inc.
AB
No
No
No
Puma Exploration Inc.
QC
No
No
No
Purden Lake Ski Development Ltd.
BC
No
Yes
No
Pure Energy Minerals Limited
BC
No
No
No
Pure Energy Visions Corporation
ON
No
Yes
No
Pure Gold Mining Inc.
BC
No
No
No
Pure Hospitality Solutions, Inc.
BC
No
Yes
No
Pure Industrial Real Estate Trust
BC
No
No
No
Pure Lean Incorporated
AB
No
Yes
No
Pure Multi-Family REIT LP
BC
No
No
No
Pure Nickel Inc.
ON
No
No
No
Pure Pioneer Ventures
BC
No
Yes
No
Pure Technologies Ltd.
AB
No
No
No
Purepoint Uranium Group Inc.
ON
No
No
No
Purichlor Technology Ltd.
BC
No
Yes
No
Purio Inc.
BC
No
Yes
No
Purpose Best Ideas Fund
ON
No
No
No
Purpose Core Dividend Fund
ON
No
No
No
Purpose Diversified Real Asset Fund
ON
No
No
No
Purpose Duration Hedged Real Estate Fund
ON
No
No
No
Purpose Enhanced U.S. Equity Fund
ON
No
No
No
Purpose High Interest Savings ETF
ON
No
No
No
Purpose International Dividend Fund
ON
No
No
No
Purpose International Tactical Hedged Equity
Fund
ON
No
No
No
Purpose Monthly Income Fund
ON
No
No
No
Purpose Multi-Strategy Market Neutral Fund
ON
No
No
No
Purpose Premium Money Market Fund
ON
No
No
No
Page 206 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Purpose Short Duration Emerging Markets
Bond ETF
ON
No
No
No
Purpose Short Duration Global Bond ETF
ON
No
No
No
Purpose Tactical Hedged Equity Fund
ON
No
No
No
Purpose Tactical Investment Grade Bond Fund ON
No
No
No
Purpose Total Return Bond Fund
ON
No
No
No
Purpose US Dividend Fund
ON
No
No
No
Pursuit American Fund
BC
No
Yes
No
Pursuit Canadian Equity Fund
BC
No
Yes
No
Pursuit Income Fund
BC
No
Yes
No
Pursuit Money Market Fund
BC
No
Yes
No
PWC Capital Inc.
ON
No
No
No
Pyng Medical Corp.
BC
No
No
No
Pyramid Petroleum Inc.
AB
No
Yes
No
Pyrogenesis Canada Inc.
QC
No
No
No
Pyrok Group Plc
BC
No
Yes
No
Q Investments Ltd.
BC
No
No
No
Q-Gold Resources Ltd.
BC
No
No
No
Q-Tel Wireless Inc.
AB
No
Yes
No
Q.C. Explorations Ltd.
BC
No
Yes
No
Q/Media Services Corporation
BC
No
Yes
No
Q2 Gold Resources Inc.
BC
No
Yes
No
QE2 Acquisition Corp.
AB
Yes
No
No
QHR Corporation
BC
No
No
No
QI Systems Inc.
BC
No
Yes
No
QLT Inc.
BC
No
No
No
QMC QUANTUM MINERALS CORP.
BC
No
No
No
QMX Gold Corporation
ON
No
No
No
Qnetix Inc.
ON
No
Yes
No
Qsa Technology, Inc.
BC
No
Yes
No
QSolar Limited
AB
No
No
No
QSound Labs, Inc.
AB
No
Yes
No
Quad Energy Corp.
BC
No
Yes
No
Quad/Graphics, Inc.
QC
No
No
No
Quadrant Resources Corp.
BC
No
Yes
No
Quadrille Retirement Homes Limited
Partnership No. 1
BC
No
Yes
No
Quadro Resources Ltd.
BC
No
No
No
Quadron Capital Corporation
BC
No
No
No
Quadrus Trimark Balanced Fund
ON
No
No
No
Page 207 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Quadtech International Inc.
BC
No
Yes
No
Quality Quest Systems Inc.
BC
No
Yes
No
Quanta Resources Inc.
BC
No
No
No
Quantex Capital Corporation
BC
No
Yes
No
Quantitative Alpha Trading Inc.
ON
No
Yes
No
Quantum Fuel Systems Technologies
Worldwide, Inc.
AB
No
No
No
Quantum International Income Corp
ON
No
No
No
Quantum MRI Inc.
BC
No
Yes
No
Quantum Solar Power Corp.
BC
No
Yes
No
Quartet Resources Limited
AB
No
No
No
Quartz Mountain Resources Ltd.
BC
No
No
No
Quaterra Resources Inc.
BC
No
No
No
Quattro Exploration and Production Ltd.
AB
No
No
No
Quebec Growth Fund Inc.
QC
No
Yes
No
Quebecor Inc.
QC
No
No
No
Queensway Financial Holdings Limited
ON
No
Yes
No
Quentin Ventures Ltd.
BC
No
No
No
Quest PharmaTech Inc.
AB
No
No
No
Quest Rare Minerals Ltd.
QC
No
No
No
Quest Water Global, Inc.
BC
No
No
No
Questerre Energy Corporation
AB
No
No
No
Questfire Energy Corp.
AB
No
No
No
Questor Technology Inc.
AB
No
No
No
Quia Resources Inc.
ON
No
No
No
Quiet Bay Minerals Corp.
BC
No
Yes
No
Quillo Technologies, Inc.
BC
No
Yes
No
Quinsam Capital Corporation
BC
No
No
No
Quinte Bay No. 3 Limited Partnership
ON
No
Yes
No
Quintel Industries Limited
BC
No
Yes
No
Quinto Real Capital Corporation
QC
No
No
No
Quizam Media Corporation
BC
No
No
No
Qumana Software Inc.
BC
No
Yes
No
Quorum Information Technologies Inc.
AB
No
No
No
Quote Resources Inc.
BC
No
Yes
No
Qwest Diversified Capital Corporation
AB
No
No
No
Qwest Energy Canadian Resource Class
BC
No
No
No
Qwest Energy Financial Corp.
BC
No
No
No
Qwick Media Inc.
BC
No
No
No
R Split III Corp.
ON
No
No
No
Page 208 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
R&R Real Estate Investment Trust
ON
No
No
No
R.M.P. Developpements Inc.
QC
No
Yes
No
R.R. Donnelley & Sons Company
ON
No
No
No
Ra Minerals Inc.
ON
No
Yes
No
Race World International, Inc.
BC
No
Yes
No
Rackla Metals Inc.
BC
No
No
No
Radiant Energy Corporation
ON
No
Yes
No
Radical Advanced Technologies Corp.
BC
No
Yes
No
Radical Elastomers Inc.
BC
No
Yes
No
Radient Technologies Inc.
AB
No
No
No
Radisson Mining Resources Inc.
QC
No
No
No
Radius Gold Inc.
BC
No
No
No
Rae-Wallace Mining Company
ON
No
No
No
Rage Energy Ltd.
AB
No
Yes
No
Raging River Exploration Inc.
AB
No
No
No
Railtown Capital Corp.
BC
No
No
No
Raimount Energy Inc.
AB
No
No
No
Rainchief Energy Inc.
BC
No
No
No
Rainex Industries Ltd.
BC
No
Yes
No
Rainforest Mushrooms Ltd.
BC
No
Yes
No
Rainmaker Entertainment, Inc.
BC
No
No
No
Rainmaker Resources Ltd.
AB
No
No
No
Rainy Mountain Royalty Corp.
BC
No
No
No
Raise Production Inc.
AB
No
No
No
Ram Aesthetic Materials Technology, Inc.
BC
No
Yes
No
Ram Power, Corp.
BC
No
No
No
Rambler Metals and Mining plc
AB
No
No
No
Ramm Venture Corporation
BC
No
Yes
No
Rampart Energy Ltd.
AB
No
Yes
No
Rancho Santa Monica Developments, Inc.
BC
No
Yes
No
Randgold Resources Limited
BC
No
No
No
Randsburg International Gold Corp.
BC
No
No
No
Range Energy Inc.
AB
No
Yes
No
Range Energy Resources Inc.
BC
No
No
No
Range Gold Corp.
BC
No
Yes
No
Rangemore Film Productions Corp.
BC
No
Yes
No
Ranger Pacific Minerals Ltd.
BC
No
Yes
No
Rangestar Telecommunications Ltd.
BC
No
Yes
No
Rapid Solutions Corporation
AB
No
Yes
No
Rapidfire Resources Ltd
AB
No
Yes
No
Page 209 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Rapier Gold Inc.
BC
No
No
No
Rare Element Resources Ltd.
BC
No
No
No
Rare Method Interactive Corp.
AB
No
Yes
No
Rat International (Mkt) Ltd.
BC
No
Yes
No
Rathdowney Resources Ltd.
BC
No
No
No
Rattlesnake Ventures Inc.
ON
No
No
No
Raudin Exploration Inc.
QC
No
Yes
No
Raven Gold Corp.
BC
No
Yes
No
Raven Rock Strategic Income Fund
ON
No
No
No
Ravencrest Condominium Hotel Limited
Partnership
BC
No
Yes
No
Ravencrest Resources Inc.
BC
No
No
No
Ravenhead Recovery Corporation
BC
No
Yes
No
Ravensource Fund
ON
No
No
No
Razor Resources Inc.
BC
No
Yes
No
RB Energy Inc.
BC
No
No
No
RBC $U.S. High Yield Bond Fund
ON
No
No
No
RBC $U.S. Investment Grade Corporate Bond
Fund
ON
No
No
No
RBC $U.S. Money Market Fund
ON
No
No
No
RBC 1-5 Year Laddered Corporate Bond ETF
ON
No
No
No
RBC Advisor Canadian Bond Fund
ON
No
No
No
RBC Asia Pacific ex-Japan Equity Fund
ON
No
No
No
RBC Asian Equity Fund
ON
No
No
No
RBC Balanced Fund
ON
No
No
No
RBC Balanced Growth & Income Fund
ON
No
No
No
RBC Balanced Growth Fund
ON
No
No
No
RBC Bond Fund
ON
No
No
No
RBC Canadian Dividend Class
ON
No
No
No
RBC Canadian Dividend Fund
ON
No
No
No
RBC Canadian Dividend Leaders ETF
ON
No
No
No
RBC Canadian Equity Class
ON
No
No
No
RBC Canadian Equity Fund
ON
No
No
No
RBC Canadian Equity Income Class
ON
No
No
No
RBC Canadian Equity Income Fund
ON
No
No
No
RBC Canadian Government Bond Index Fund
ON
No
No
No
RBC Canadian Index Fund
ON
No
No
No
RBC Canadian Mid Cap Equity Class
ON
No
No
No
RBC Canadian Money Market Fund
ON
No
No
No
RBC Canadian Short-Term Income Fund
ON
No
No
No
Page 210 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
RBC Canadian Small & Mid-Cap Resources
Fund
ON
No
No
No
RBC Canadian T-Bill Fund
ON
No
No
No
RBC Capital Trust
QC
No
No
No
RBC Conservative Growth & Income Fund
ON
No
No
No
RBC EAFE Dividend Leaders ETF
ON
No
No
No
RBC Emerging Markets Bond Fund
ON
No
No
No
RBC Emerging Markets Dividend Fund
ON
No
No
No
RBC Emerging Markets Equity Class
ON
No
No
No
RBC Emerging Markets Equity Fund
ON
No
No
No
RBC Emerging Markets Foreign Exchange
Fund
ON
No
No
No
RBC Emerging Markets Small-Cap Equity Fund ON
No
No
No
RBC European Dividend Fund
ON
No
No
No
RBC European Equity Class
ON
No
No
No
RBC European Equity Fund
ON
No
No
No
RBC Global Bond Fund
ON
No
No
No
RBC Global Corporate Bond Fund
ON
No
No
No
RBC Global Dividend Growth Fund
ON
No
No
No
RBC Global Energy Fund
ON
No
No
No
RBC Global Equity Class
ON
No
No
No
RBC Global Equity Focus Fund
ON
No
No
No
RBC Global Equity Fund
ON
No
No
No
RBC Global High Yield Bond Fund
ON
No
No
No
RBC Global Precious Metals Fund
ON
No
No
No
RBC Global Resources Class
ON
No
No
No
RBC Global Resources Fund
ON
No
No
No
RBC Global Technology Fund
ON
No
No
No
RBC High Yield Bond Fund
ON
No
No
No
RBC Institutional Cash Fund
ON
No
No
No
RBC Institutional Government - Plus Cash
Fund
ON
No
No
No
RBC Institutional Long Cash Fund
ON
No
No
No
RBC Institutional US$ Cash Fund
ON
No
No
No
RBC International Dividend Growth Fund
ON
No
No
No
RBC International Equity Class
ON
No
No
No
RBC International Equity Currency Neutral
Fund
ON
No
No
No
RBC International Equity Fund
ON
No
No
No
RBC International Index Currency Neutral Fund ON
No
No
No
RBC Jantzi Balanced Fund
No
No
No
ON
Page 211 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
RBC Jantzi Canadian Equity Fund
ON
No
No
No
RBC Jantzi Global Equity Fund
ON
No
No
No
RBC Japanese Equity Fund
ON
No
No
No
RBC Life Science And Technology Fund
ON
No
No
No
RBC Managed Payout Solution
ON
No
No
No
RBC Managed Payout Solution-Enhanced
ON
No
No
No
RBC Managed Payout Solutions-Enhanced
Plus
ON
No
No
No
RBC Monthly Income Bond Fund
ON
No
No
No
RBC Monthly Income Fund
ON
No
No
No
RBC Monthly Income High Yield Bond Fund
ON
No
No
No
RBC North American Growth Fund
ON
No
No
No
RBC North American Value Class
ON
No
No
No
RBC North American Value Fund
ON
No
No
No
RBC O'Shaughnessy All Canadian Equity Fund ON
No
No
No
RBC O'Shaughnessy Canadian Equity Fund
ON
No
No
No
RBC O'Shaughnessy Global Equity Fund
ON
No
No
No
RBC O'Shaughnessy International Equity Fund ON
No
No
No
RBC O'Shaughnessy U.S. Growth Fund
ON
No
No
No
RBC O'Shaughnessy U.S. Growth Fund II
ON
No
No
No
RBC O'Shaughnessy U.S. Value Fund
ON
No
No
No
RBC Premium $U.S. Money Market Fund
ON
No
No
No
RBC Premium Money Market Fund
ON
No
No
No
RBC Private Canadian Bond Pool
ON
No
No
No
RBC Private Canadian Corporate Bond Pool
ON
No
No
No
RBC Private Canadian Dividend Pool
ON
No
No
No
RBC Private Canadian Equity Pool
ON
No
No
No
RBC Private Canadian Growth and Income
Equity Pool
ON
No
No
No
RBC Private Canadian Growth Equity Pool
ON
No
No
No
RBC Private Canadian Mid Cap Equity Pool
ON
No
No
No
RBC Private EAFE Equity Pool
ON
No
No
No
RBC Private Income Pool
ON
No
No
No
RBC Private International Equity Pool
ON
No
No
No
RBC Private O'Shaughnessy U.S. Growth
Equity Pool
ON
No
No
No
RBC Private Overseas Equity Pool
ON
No
No
No
RBC Private Short-Term Income Pool
ON
No
No
No
RBC Private U.S. Equity Pool
ON
No
No
No
RBC Private U.S. Growth Equity Pool
ON
No
No
No
Page 212 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
RBC Private U.S. Large-Cap Core Equity
Currency Neutral Pool
ON
No
No
No
RBC Private U.S. Large-Cap Core Equity Pool
ON
No
No
No
RBC Private U.S. Large-Cap Value Equity
Currency Neutral Pool
ON
No
No
No
RBC Private U.S. Large-Cap Value Equity Pool ON
No
No
No
RBC Private U.S. Small Cap Equity Pool
ON
No
No
No
RBC Private World Equity Pool
ON
No
No
No
RBC Quant EAFE Dividend Leaders (CAD
Hedged) ETF
ON
No
No
No
RBC Quant Emerging Markets Dividend
Leaders ETF
ON
No
No
No
RBC Quant European Dividend Leaders (CAD
Hedged) ETF
ON
No
No
No
RBC Quant European Dividend Leaders ETF
ON
No
No
No
RBC Quant U.S. Dividend Leaders (CAD
Hedged) ETF
ON
No
No
No
RBC QUBE All Country World Equity Fund
ON
No
No
No
RBC QUBE Canadian Equity Fund
ON
No
No
No
RBC QUBE Global Equity Fund
ON
No
No
No
RBC QUBE Low Volatility All Country World
Equity Fund
ON
No
No
No
RBC QUBE Low Volatility Canadian Equity
Class
ON
No
No
No
RBC QUBE Low Volatility Canadian Equity
Fund
ON
No
No
No
RBC QUBE Low Volatility Global Equity Class
ON
No
No
No
RBC QUBE Low Volatility Global Equity Fund
ON
No
No
No
RBC QUBE Low Volatility U.S. Equity Class
ON
No
No
No
RBC QUBE Low Volatility U.S. Equity Fund
ON
No
No
No
RBC QUBE U.S. Equity Fund
ON
No
No
No
RBC Select Aggressive Growth Portfolio
ON
No
No
No
RBC Select Balanced Portfolio
ON
No
No
No
RBC Select Choices Aggressive Growth
Portfolio
ON
No
No
No
RBC Select Choices Balanced Portfolio
ON
No
No
No
RBC Select Choices Conservative Portfolio
ON
No
No
No
RBC Select Choices Growth Portfolio
ON
No
No
No
RBC Select Conservative Portfolio
ON
No
No
No
RBC Select Growth Portfolio
ON
No
No
No
RBC Select Very Conservative Portfolio
ON
No
No
No
RBC Short Term Income Class
ON
No
No
No
RBC Target 2015 Corporate Bond Index ETF
ON
No
No
No
Page 213 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
RBC Target 2015 Education Fund
ON
No
No
No
RBC Target 2016 Corporate Bond Index ETF
ON
No
No
No
RBC Target 2017 Corporate Bond Index ETF
ON
No
No
No
RBC Target 2018 Corporate Bond Index ETF
ON
No
No
No
RBC Target 2019 Corporate Bond Index ETF
ON
No
No
No
RBC Target 2020 Corporate Bond Index ETF
ON
No
No
No
RBC Target 2020 Education Fund
ON
No
No
No
RBC Target 2021 Corporate Bond Index ETF
ON
No
No
No
RBC Target 2025 Education Fund
ON
No
No
No
RBC Target 2030 Education Fund
ON
No
No
No
RBC U.S. Dividend Class
ON
No
No
No
RBC U.S. Dividend Fund
ON
No
No
No
RBC U.S. Dividend Leaders ETF
ON
No
No
No
RBC U.S. Equity Class
ON
No
No
No
RBC U.S. Equity Currency Neutral Fund
ON
No
No
No
RBC U.S. Equity Fund
ON
No
No
No
RBC U.S. Equity Value Class
ON
No
No
No
RBC U.S. Equity Value Fund
ON
No
No
No
RBC U.S. Index Currency Neutral Fund
ON
No
No
No
RBC U.S. Index Fund
ON
No
No
No
RBC U.S. Mid-Cap Equity Currency Neutral
Fund
ON
No
No
No
RBC U.S. Mid-Cap Equity Fund
ON
No
No
No
RBC U.S. Mid-Cap Value Equity Class
ON
No
No
No
RBC U.S. Mid-Cap Value Equity Fund
ON
No
No
No
RBC U.S. Monthly Income Fund
ON
No
No
No
RBC U.S. Small-Cap Core Equity Class
ON
No
No
No
RBC U.S. Small-Cap Core Equity Fund
ON
No
No
No
Rci Corporation
BC
No
Yes
No
RDM Corporation
ON
No
No
No
RDX Technologies Corporation
AB
No
No
No
Rea Gold Corporation
BC
No
Yes
No
Real del Monte Mining Corporation
BC
No
Yes
No
Real Estate Asset Liquidity Trust
ON
No
No
No
Real Estate Investment Corporate Class
ON
No
No
No
Real Estate Investment Pool
ON
No
No
No
Real Return Bond Fund
ON
No
No
No
Real Return Bond Fund (Portico)
ON
No
No
No
Real Time Measurements Inc.
AB
No
Yes
No
Realm Group Inc.
BC
No
Yes
No
Page 214 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
REALnorth Opportunities Fund
BC
No
No
No
Reba Resources Ltd.
BC
No
Yes
No
Recco Research Corporation
BC
No
Yes
No
Receptagen Ltd.
BC
No
Yes
No
Reco International Group Inc.
BC
No
No
No
Red Crescent Resources Limited
ON
No
Yes
No
Red Eagle Mining Corporation
BC
No
No
No
Red Earth Energy Limited
BC
No
Yes
No
Red Hill Marketing Group Ltd.
BC
No
Yes
No
Red Hut Metals Inc.
BC
No
No
No
Red Metal Resources Ltd.
BC
No
No
No
Red Mile Minerals Corp.
ON
No
No
No
Red Moon Potash Inc.
AB
No
No
No
Red Oak Mining Corp.
BC
No
No
No
Red Ore Gold Inc.
BC
No
Yes
No
Red Pine Exploration Inc.
ON
No
No
No
Red Pine Petroleum Ltd.
BC
No
No
No
Red Rock Capital Corp.
BC
No
No
No
Red Rock Energy Inc.
AB
No
No
No
Red Sky Canadian Equity Corporate Class
ON
No
No
No
Red Tiger Mining Inc.
ON
No
No
No
REDCELL POWER CORP
BC
No
Yes
No
Redcorp Ventures Ltd.
BC
No
Yes
No
Redeco Energy Inc.
AB
No
Yes
No
Redex Inc.
QC
No
Yes
No
Redhawk Resources, Inc.
BC
No
No
No
Redhill Resources Corp.
BC
No
No
No
RediShred Capital Corp.
ON
No
No
No
Redknee Solutions Inc.
ON
No
No
No
Redline Communications Group Inc.
ON
No
No
No
Redline Resources Inc.
BC
No
Yes
No
Redquest Capital Corp.
BC
No
No
No
Redstar Gold Corp.
BC
No
No
No
Redwater Energy Corp.
AB
No
No
No
Redwing Resources Inc.
BC
No
Yes
No
Redwood Diversified Equity Fund
ON
No
No
No
Redwood Diversified Income Fund
ON
No
No
No
Redwood Emerging Markets Dividend Fund
ON
No
No
No
Redwood Equity Growth Class
ON
No
No
No
Redwood Global Equity Strategy Class
ON
No
No
No
Page 215 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Redwood Global Innovations Class
ON
No
No
No
Redwood Global Macro Class
ON
No
No
No
Redwood Global Small Cap Fund
ON
No
No
No
Redwood Global Total Return Bond Portfolio
ON
No
No
No
Redwood Income Growth Class
ON
No
No
No
Redwood Pension Class
ON
No
No
No
Redwood Unconstrained Bond Class
ON
No
No
No
Redwood Unconstrained Bond Fund
ON
No
No
No
Redzone Resources Ltd.
BC
No
No
No
Reef Resources Ltd.
AB
No
Yes
No
Reefco Manufacturing Corporation
BC
No
Yes
No
Reg Technologies Inc.
BC
No
No
No
Regal Consolidated Ventures Limited
ON
No
Yes
No
Regal Lifestyle Communities Inc.
ON
No
No
No
Regal Resources Inc.
BC
No
No
No
Regency Gold Corp.
BC
No
No
No
Regent Pacific Properties Inc.
AB
No
No
No
Regent Ventures Ltd.
BC
No
No
No
Regi U.S., Inc.
BC
No
No
No
Regia Resources Ltd.
BC
No
Yes
No
Regulus Resources Inc.
AB
No
No
No
Rehman Resources Incorporated
BC
No
Yes
No
Reigate Resources ( Canada ) Ltd.
BC
No
Yes
No
REIT INDEXPLUS Income Fund
AB
No
No
No
Reko International Group Inc.
ON
No
No
No
Relax Hotels Windsor 1988 Limited Partnership ON
No
Yes
No
Relax Inns Burlington-Windsor Partnership
BC
No
Yes
No
Relax Inns Laval Limited Partnership
BC
No
Yes
No
Relax Inns Partnership I
BC
No
Yes
No
Relax Inns Partnership II
BC
No
Yes
No
Relax Inns Vancouver Partnership
BC
No
Yes
No
Relentless Resources Ltd.
AB
No
No
No
Reliabrand Inc.
BC
No
No
No
Reliance Resources Limited
BC
Yes
No
No
Reliant Gold Corp.
ON
No
No
No
Rembrandt Gold Mines Ltd.
BC
No
Yes
No
Remington Resources Inc.
BC
No
No
No
Remo Resources Inc.
BC
No
No
No
Remworks Inc.
ON
No
Yes
No
Renaissance Asian Fund
ON
No
No
No
Page 216 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Renaissance Canadian All-Cap Equity Fund
ON
No
No
No
Renaissance Canadian Balanced Fund
ON
No
No
No
Renaissance Canadian Bond Fund
ON
No
No
No
Renaissance Canadian Core Value Fund
ON
No
No
No
Renaissance Canadian Dividend Fund
ON
No
No
No
Renaissance Canadian Growth Fund
ON
No
No
No
Renaissance Canadian Monthly Income Fund
ON
No
No
No
Renaissance Canadian Small-Cap Fund
ON
No
No
No
Renaissance Canadian T-Bill Fund
ON
No
No
No
Renaissance China Plus Fund
ON
No
No
No
Renaissance Corporate Bond Fund
ON
No
No
No
Renaissance Diversified Income Fund
ON
No
No
No
Renaissance Emerging Markets Fund
ON
No
No
No
Renaissance European Fund
ON
No
No
No
Renaissance Floating Rate Income Fund
ON
No
No
No
Renaissance Global Bond Fund
ON
No
No
No
Renaissance Global Focus Currency Neutral
Fund
ON
No
No
No
Renaissance Global Focus Fund
ON
No
No
No
Renaissance Global Growth Currency Neutral
Fund
ON
No
No
No
Renaissance Global Growth Fund
ON
No
No
No
Renaissance Global Health Care Fund
ON
No
No
No
Renaissance Global Infrastructure Currency
Neutral Fund
ON
No
No
No
Renaissance Global Infrastructure Fund
ON
No
No
No
Renaissance Global Markets Fund
ON
No
No
No
Renaissance Global Real Estate Currency
Neutral Fund
ON
No
No
No
Renaissance Global Real Estate Fund
ON
No
No
No
Renaissance Global Resource Fund
ON
No
No
No
Renaissance Global Science & Technology
Fund
ON
No
No
No
Renaissance Global Small-Cap Fund
ON
No
No
No
Renaissance Global Value Fund
ON
No
No
No
Renaissance Gold Inc.
BC
No
No
No
Renaissance High-Yield Bond Fund
ON
No
No
No
Renaissance International Dividend Fund
ON
No
No
No
Renaissance International Equity Currency
Neutral Fund
ON
No
No
No
Renaissance International Equity Fund
ON
No
No
No
Page 217 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Renaissance Millennium High Income Fund
ON
No
No
No
Renaissance Money Market Fund
ON
No
No
No
Renaissance Oil Corp.
BC
No
No
No
Renaissance Optimal Conservative Income
Portfolio
ON
No
No
No
Renaissance Optimal Global Equity Currency
Neutral Portfolio
ON
No
No
No
Renaissance Optimal Global Equity Portfolio
ON
No
No
No
Renaissance Optimal Growth & Income
Portfolio
ON
No
No
No
Renaissance Optimal Income Portfolio
ON
No
No
No
Renaissance Optimal Inflation Opportunities
Portfolio
ON
No
No
No
Renaissance Real Return Bond Fund
ON
No
No
No
Renaissance Short-Term Income Fund
ON
No
No
No
Renaissance U.S. Dollar Corporate Bond Fund ON
No
No
No
Renaissance U.S. Dollar Diversified Income
Fund
ON
No
No
No
Renaissance U.S. Equity Fund
ON
No
No
No
Renaissance U.S. Equity Growth Currency
Neutral Fund
ON
No
No
No
Renaissance U.S. Equity Growth Fund
ON
No
No
No
Renaissance U.S. Equity Income Fund
ON
No
No
No
Renaissance U.S. Equity Value Fund
ON
No
No
No
Renaissance U.S. Money Market Fund
ON
No
No
No
Renco Resources Inc.
AB
No
Yes
No
RenoWorks Software Inc.
AB
No
No
No
Rentown Enterprises Inc.
BC
No
Yes
No
Reocito Capital Inc.
QC
No
Yes
No
Reparo Energy Partners Corp.
BC
No
No
No
RepeatSeat Ltd.
AB
No
Yes
No
RepliCel Life Sciences Inc.
BC
No
No
No
Republic Goldfields Inc.
QC
No
Yes
No
Resaas Services Inc.
BC
No
No
No
Rescom Ventures Inc.
MB
No
Yes
No
Reservoir Capital Corp.
BC
No
No
No
Reservoir Minerals Inc.
BC
No
No
No
Resinco Capital Partners Inc.
BC
No
No
No
Resolute Forest Products Inc.
QC
No
No
No
Resolve Ventures Inc.
BC
No
No
No
Resorts Unlimited Management Inc.
AB
No
Yes
No
Page 218 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Respect Your Universe, Inc.
BC
No
No
No
Response Biomedical Corp.
BC
No
No
No
Ressources Appalaches inc.
QC
Yes
No
No
Restaurant Brands International Inc.
ON
No
No
No
Restaurant Brands International Limited
Partnership
ON
No
No
No
Resverlogix Corp.
AB
No
No
No
Retrieve Resources Ltd.
BC
No
Yes
No
Retrocom Real Estate Investment Trust
ON
No
No
No
Reunion Gold Corporation
BC
No
No
No
Reva Resources Corp.
BC
No
No
No
Revelo Resources Corp.
BC
No
No
No
Revere Resources Ltd.
BC
No
Yes
No
Revett Mining Company, Inc.
ON
No
No
No
Revive Therapeutics Ltd.
ON
No
No
No
Revolver Resources Inc.
BC
No
No
No
Rex Furs Inc.
BC
No
Yes
No
Rex Silver Mines Ltd.
BC
No
Yes
No
RG Exchangeco Inc.
ON
No
No
No
Rgv Resources Ltd.
BC
No
Yes
No
Rheingold Exploration Corp.
BC
No
No
No
RHN Recreational Enterprises Ltd.
BC
No
Yes
No
Rhonda Corporation
AB
No
Yes
No
Rhyolite Resources Inc.
BC
No
Yes
No
Rhyolite Resources Ltd.
BC
No
No
No
Rhys Industries Ltd.
BC
No
Yes
No
Rhys Resources Ltd.
BC
No
No
No
Rich Star Development Corporation
BC
No
Yes
No
Richards Packaging Income Fund
ON
No
No
No
Richco Investors Inc.
BC
No
No
No
Richelieu Hardware Ltd.
QC
No
No
No
Richey Communications Ltd.
BC
No
Yes
No
Richland Resources Corp.
BC
No
Yes
No
Richmark Resources Ltd.
BC
No
Yes
No
Richmond Golf Ltd.
BC
No
Yes
No
Richmond Minerals Inc.
ON
No
No
No
Richmond Road Capital Corp.
AB
No
No
No
Richmont Mines Inc.
QC
No
No
No
Richtree Inc.
ON
No
Yes
No
Richwell Resources Limited
BC
No
Yes
No
Page 219 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Ridge Land Properties Limited Partnership
BC
No
Yes
No
Ridgewood Canadian Bond Fund
ON
No
No
No
Ridgewood Canadian Investment Grade Bond
Fund
ON
No
No
No
Ridgewood Gardens Limited Partnership
MB
No
No
No
Ridgewood Tactical Yield Fund
ON
No
No
No
Ridley Inc.
ON
No
No
No
Rifco Inc.
AB
No
No
No
Rift Resources Ltd.
ON
No
Yes
No
Rift Valley Resources Corp.
BC
No
No
No
Rigelyn Security System Inc.
BC
No
Yes
No
Riley Resources Corp.
BC
No
No
No
Rimacan Resources Ltd. (Npl)
BC
No
Yes
No
Rineon Group, Inc.
BC
No
Yes
No
Rinsey Mines Ltd.
BC
No
Yes
No
Rio Alto Mining Limited
BC
No
No
No
Rio Cristal Resources Corporation
BC
No
No
No
Rio Gold Mining Ltd.
BC
No
Yes
No
Rio Grana Resources, Inc
BC
No
Yes
No
Rio Nevada Energy Inc.
AB
No
Yes
No
Rio Novo Gold Inc.
ON
No
No
No
Rio Sierra Silver Corp.
BC
No
Yes
No
Rio Silver Inc.
BC
No
No
No
Rio Verde Industries Inc.
BC
No
Yes
No
RioCan Real Estate Investment Trust
ON
No
No
No
Riosun Resources Corporation
BC
No
Yes
No
Ripper Oil and Gas Inc.
BC
No
No
No
Rising Phoenix Development Group Ltd.
BC
No
Yes
No
Riske Capital Corp.
BC
No
No
No
Ritchie Bros. Auctioneers Incorporated
BC
No
No
No
River Park Estates Partnership
MB
No
Yes
No
River Wild Exploration Inc.
BC
No
No
No
Riverside Resources Inc.
BC
No
No
No
Riverton Resources Corp.
BC
No
Yes
No
RJK Explorations Ltd.
ON
No
No
No
RJP Electronics Limited
BC
No
Yes
No
Rkw Standardbred Limited Partnership
BC
No
Yes
No
RMP Energy Inc.
AB
No
No
No
Roadking Travel Centres Inc.
AB
No
No
No
Roador Industries Ltd.
ON
No
Yes
No
Page 220 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Robex Resources Inc.
QC
No
No
No
Robix Alternative Fuels, Inc.
AB
No
No
No
Robop-Tek (Canada) Inc.
BC
No
Yes
No
Robson Petroleum Ltd.
BC
No
Yes
No
Roca Mines Inc.
BC
No
No
No
Rocap Marketing Inc.
BC
No
No
No
Rochester Resources Ltd.
BC
No
No
No
Rock Energy Inc.
AB
No
No
No
Rock Tech Lithium Inc.
BC
No
No
No
Rock-Tenn Company
QC
No
No
No
RockBridge Resources Inc.
BC
No
No
No
Rockcliff Resources Inc.
ON
No
No
No
Rockefeller Hughes Corporation
ON
No
No
No
Rockex Mining Corporation
ON
No
No
No
Rockhaven Resources Ltd.
BC
No
No
No
Rockingham Resources Inc.
BC
No
Yes
No
Rockland Minerals Corp.
BC
No
No
No
ROCKRIDGE CAPITAL CORP.
BC
No
No
No
Rockshield Capital Corp.
BC
No
No
No
Rockvale Resources Limited
AB
No
Yes
No
Rockwell Diamonds Inc.
ON
No
No
No
Rockwood Towers Apartment Project
MB
No
Yes
No
Rocky Mountain Dealerships Inc.
AB
No
No
No
Rocky Mountain Liquor Inc.
AB
No
No
No
Rococco Resources Ltd.
BC
No
Yes
No
Roddy Resources Inc.
BC
No
Yes
No
Rodeo Capital III Corp.
AB
No
No
No
Rodeo Resources Ltd
BC
No
Yes
No
Rodin Communications Corporation
ON
No
Yes
No
Rodinia Lithium Inc.
ON
No
No
No
Rodinia Oil Corp.
AB
No
Yes
No
Rogers Associate Financial Partners Inc.
AB
No
Yes
No
Rogers Communications Inc.
ON
No
No
No
Rogers Sugar Inc.
BC
No
No
No
Rogue Resources Inc.
BC
No
No
No
ROI Canadian Retirement Fund
ON
No
No
No
ROI Canadian Top 20 Picks Fund
ON
No
No
No
ROI Canadian Top 30 Small Cap Picks Fund
ON
No
No
No
ROI Global Retirement Fund
ON
No
No
No
ROI Global Supercycle Fund
ON
No
No
No
Page 221 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Rokmaster Resources Corp.
BC
No
No
No
Roman Corporation Limited
ON
No
Yes
No
Romarco Minerals Inc.
ON
No
No
No
Rome Resources Ltd.
BC
No
No
No
Romios Gold Resources Inc.
ON
No
No
No
Romulus Resources Ltd.
BC
No
No
No
RONA Inc.
QC
No
No
No
Ronin Resource Corp.
ON
No
Yes
No
Ronrico Explorations Ltd.
BC
No
Yes
No
Rooster Energy Ltd.
BC
No
No
No
Ropec Industries Inc.
BC
No
Yes
No
Rorex Exploration Inc.
BC
No
Yes
No
Rosa Capital Inc.
AB
No
No
No
Roscan Minerals Corporation
AB
No
No
No
Rose Spit Resources Inc.
BC
No
Yes
No
Rosehearty Energy Inc.
BC
No
No
No
Ross River Minerals Inc.
BC
No
No
No
Rossal Resources Ltd.
BC
No
Yes
No
Rotation Minerals Ltd.
BC
No
No
No
Rothchild Gold Corporation
BC
No
Yes
No
Rotoblock Corporation
BC
No
Yes
No
Rotors West Helicopter Leasing Incorporated
BC
No
Yes
No
Rouge Resources Ltd.
BC
No
No
No
Rough River Petroleum Corporation
BC
No
Yes
No
Roughrider Exploration Limited
BC
No
No
No
Route1 Inc.
ON
No
No
No
RoxGold Inc.
ON
No
No
No
Roxwell Gold Mines Ltd.
BC
No
Yes
No
Royal Bank of Canada
QC
No
No
No
Royal Coal Corp.
ON
No
Yes
No
Royal Gold, Inc.
ON
No
No
No
Royal Lifescience Corp.
BC
No
No
No
Royal Nickel Corporation
ON
No
No
No
Royal Pacific Sea Farms Ltd.
BC
No
Yes
No
Royal Sapphire Corp.
BC
No
No
No
Royal Standard Minerals Inc.
QC
No
No
No
Royce Resources Corp.
BC
No
No
No
Roycefield Resources Ltd.
NB
No
Yes
No
RPI Properties Inc.
BC
No
Yes
No
RSI International Systems Inc.
BC
No
No
No
Page 222 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
RT Minerals Corp.
BC
No
No
No
RT Petroleum Inc.
BC
No
Yes
No
RTG Mining Inc.
ON
No
No
No
Rtica Corporation
ON
No
Yes
No
Rubicon Minerals Corporation
ON
No
No
No
Ruby Creek Resources Inc.
BC
No
Yes
No
Rugby Mining Limited
BC
No
No
No
Running Fox Resource Corp.
AB
No
No
No
Rupert Resources Ltd.
ON
No
No
No
Rusoro Mining Ltd.
BC
No
No
No
Russel Metals Inc.
ON
No
No
No
Russell Breweries Inc.
BC
No
No
No
Russell Canadian Cash Fund
ON
No
No
No
Russell Canadian Dividend Class
ON
No
No
No
Russell Canadian Dividend Pool
ON
No
No
No
Russell Canadian Equity Class
ON
No
No
No
Russell Canadian Equity Fund
ON
No
No
No
Russell Canadian Equity Pool
ON
No
No
No
Russell Canadian Fixed Income Fund
ON
No
No
No
Russell Diversified Monthly Income Class
Portfolio
ON
No
No
No
Russell Diversified Monthly Income Portfolio
ON
No
No
No
Russell Emerging Markets Equity Class
ON
No
No
No
Russell Emerging Markets Equity Pool
ON
No
No
No
Russell Fixed Income Class
ON
No
No
No
Russell Fixed Income Pool
ON
No
No
No
Russell Focused Canadian Equity Class
ON
No
No
No
Russell Focused Canadian Equity Pool
ON
No
No
No
Russell Focused Global Equity Class
ON
No
No
No
Russell Focused Global Equity Pool
ON
No
No
No
Russell Focused US Equity Class
ON
No
No
No
Russell Focused US Equity Pool
ON
No
No
No
Russell Global Equity Class
ON
No
No
No
Russell Global Equity Fund
ON
No
No
No
Russell Global Equity Pool
ON
No
No
No
Russell Global High Income Bond Class
ON
No
No
No
Russell Global High Income Bond Pool
ON
No
No
No
Russell Global Infrastructure Pool
ON
No
No
No
Russell Global Real Estate Pool
ON
No
No
No
Russell Global Unconstrained Bond Class
ON
No
No
No
Page 223 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Russell Global Unconstrained Bond Pool
ON
No
No
No
Russell Income Essentials Class Portfolio
ON
No
No
No
Russell Income Essentials Portfolio
ON
No
No
No
Russell Inflation Linked Bond Fund
ON
No
No
No
Russell Life Points All Equity Class Portfolio
ON
No
No
No
Russell LifePoints All Equity Portfolio
ON
No
No
No
Russell LifePoints Balanced Class Portfolio
ON
No
No
No
Russell LifePoints Balanced Growth Class
Portfolio
ON
No
No
No
Russell LifePoints Balanced Growth Portfolio
ON
No
No
No
Russell LifePoints Balanced Income Class
Portfolio
ON
No
No
No
Russell LifePoints Balanced Income Portfolio
ON
No
No
No
Russell LifePoints Balanced Portfolio
ON
No
No
No
Russell LifePoints Conservative Income Class
Portfolio
ON
No
No
No
Russell LifePoints Conservative Income
Portfolio
ON
No
No
No
Russell LifePoints Fixed Income Class Portfolio ON
No
No
No
Russell LifePoints Fixed Income Portfolio
ON
No
No
No
Russell LifePoints Long-Term Gr owth Class
Portfolio
ON
No
No
No
Russell LifePoints Long-Term Growth Portfolio
ON
No
No
No
Russell Money Market Class
ON
No
No
No
Russell Money Market Pool
ON
No
No
No
Russell Multi-Asset Growth & Income
ON
No
No
No
Russell Multi-Asset Growth & Income Class
ON
No
No
No
Russell Overseas Equity Class
ON
No
No
No
Russell Overseas Equity Fund
ON
No
No
No
Russell Overseas Equity Pool
ON
No
No
No
Russell Real Assets Portfolio
ON
No
No
No
Russell Short Term Income Class
ON
No
No
No
Russell Short Term Income Pool
ON
No
No
No
Russell Smaller Companies Class
ON
No
No
No
Russell Smaller Companies Pool
ON
No
No
No
Russell US Equity Class
ON
No
No
No
Russell US Equity Fund
ON
No
No
No
Russell US Equity Pool
ON
No
No
No
Rutel Networks Corporation
QC
No
Yes
No
Rutland Biotech Limited
BC
No
Yes
No
Ryan Gold Corp.
ON
No
No
No
Page 224 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Rye Patch Gold Corp.
BC
No
No
No
RYM Capital Corp.
ON
No
No
No
Rystar Communications Ltd.
BC
No
Yes
No
S & M Photolabels Inc.
BC
No
Yes
No
S Split Corp.
ON
No
No
No
S.C.O. Medallion Healthy Homes Ltd.
BC
No
Yes
Yes
S.E Storage Express (International) Ltd.
BC
No
Yes
No
S2C Global Systems Inc.
BC
No
Yes
No
SABER CAPITAL CORP.
BC
No
No
No
Sabina Gold & Silver Corp.
BC
No
No
No
Sable Resources Ltd.
BC
No
No
No
Sabre Graphite Corp.
AB
No
No
No
Sabre Pacific Equities Limited
BC
No
Yes
No
Saccharum Energy Corp.
AB
No
No
No
Sackport Ventures Inc.
ON
No
Yes
No
Saco Smartvision Inc.
QC
No
Yes
No
Sacre-Coeur Minerals, Ltd.
BC
No
Yes
No
Safe Environment Engineering Canada Inc.
BC
No
Yes
No
SafeBrain Systems, Inc.
AB
No
Yes
No
Safety First Savings & Mortgage Corp.
BC
No
No
No
Sage Gold Inc.
ON
No
No
No
Sagittarius Capital Corporation
ON
No
No
No
Sagres Energy Inc.
AB
No
Yes
No
Sahara Energy Ltd.
AB
No
No
No
Saint Jean Carbon Inc.
AB
No
No
No
Salamon Group, Inc.
BC
No
Yes
No
Salazar Resources Limited
BC
No
No
No
Salient Corporate Services Inc.
BC
No
No
No
Salix Pharmaceuticals, Ltd.
ON
No
No
No
Salmon River Resources Ltd.
BC
No
Yes
No
Salor Scientific Corp.
BC
No
Yes
No
Sama Resources Inc./Resources Sama Inc.
BC
No
No
No
Samco Gold Limited
ON
No
No
No
Samena Resources Corp.
AB
No
Yes
No
SAMEX Mining Corp.
BC
No
Yes
No
Samia Ventures Inc.
BC
No
Yes
No
Samoth Oilfield Inc.
AB
No
No
No
SAMsports.com Inc.
AB
No
Yes
No
SAMSys Technologies Inc.
ON
No
Yes
No
San Angelo Oil Limited
BC
No
No
No
Page 225 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
San Gold Corporation
MB
No
No
No
San Lotus Holding Inc.
BC
No
No
No
San Marco Resources Inc.
BC
No
No
No
Sanatana Resources Inc.
BC
No
No
No
Sanctuary Woods Multimedia Corporation
BC
No
Yes
No
Sandhurst Resources Limited
BC
No
Yes
No
Sandoil Recovery Corporation
AB
No
Yes
No
Sandspring Resources Ltd.
ON
No
No
No
Sandstorm Gold Ltd.
BC
No
No
No
Sandvine Corporation
ON
No
No
No
Sangoma Technologies Corporation
ON
No
No
No
Santa Barbara Resources Limited
BC
No
No
No
Santa Fe Gold Corporation
BC
No
Yes
No
Santa Fe Metals Corporation
BC
No
No
No
Santa Maria Petroleum Inc.
AB
No
No
No
Santa Rosa Resources Corp.
BC
No
No
No
Santacruz Silver Mining Ltd.
BC
No
No
No
Sanwire Corporation
BC
No
Yes
No
Saputo Inc.
QC
No
No
No
Sarama Resources Ltd
BC
No
No
No
Saratoga Electronic Solutions Inc.
QC
No
No
No
Sarissa Resources Inc.
BC
No
Yes
No
Saskatchewan Trust Company
BC
No
Yes
No
Saskatoon Square Limited Partnership
BC
No
Yes
No
Saskatoon Tower
BC
No
Yes
No
Sato Stevia International Inc.
BC
No
Yes
No
Satori Resources Inc.
ON
No
No
No
Saturn (Solutions) Inc.
QC
No
Yes
No
Saturn Energy & Resources Ltd.
BC
No
Yes
No
Saturn Minerals Inc.
BC
No
No
No
Savanna Energy Services Corp.
AB
No
No
No
Savant Explorations Ltd.
BC
No
No
No
Savaria Corporation
QC
No
No
No
Savary Gold Corp.
ON
No
No
No
Saville Resources Inc.
BC
No
No
No
Savoy Ventures Inc.
BC
No
No
No
Saxon Oil Company Ltd.
AB
No
Yes
No
Saynor Varah Inc.
BC
No
Yes
No
Scaffold Connection Corporation
AB
No
Yes
No
Scandium International Mining Corp.
BC
No
No
No
Page 226 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Scavo Resource Corp.
BC
No
No
No
Sceptre Ventures Inc.
BC
No
No
No
Schiffner Oilfield & Technology Corporation
BC
No
Yes
No
Schooner Trust
ON
No
No
No
Schwabo Capital Corporation
BC
No
No
No
Sci Satellite Conferencing International
Corporation
BC
No
Yes
No
SCITI ROCS Trust
ON
No
No
No
SCITI Trust
ON
No
No
No
Score Athletic Products Inc.
BC
No
Yes
No
Score Resources Ltd.
BC
No
Yes
No
Scorpio Gold Corporation
BC
No
No
No
Scorpio Mining Corporation
ON
No
No
No
Scorpion Resources Inc.
BC
No
No
No
Scotia Aria Defensive Build Portfolio
ON
No
No
No
Scotia Aria Defensive Core Portfolio
ON
No
No
No
Scotia Aria Defensive Pay Portfolio
ON
No
No
No
Scotia Aria Moderate Build Portfolio
ON
No
No
No
Scotia Aria Moderate Core Portfolio
ON
No
No
No
Scotia Aria Moderate Pay Portfolio
ON
No
No
No
Scotia Aria Progressive Build Portfolio
ON
No
No
No
Scotia Aria Progressive Core Portfolio
ON
No
No
No
Scotia Aria Progressive Pay Portfolio
ON
No
No
No
Scotia Balanced Opportunity Fund
ON
No
No
No
Scotia Bond Fund
ON
No
No
No
Scotia Canadian Balanced Fund
ON
No
No
No
Scotia Canadian Blue Chip Fund
ON
No
No
No
Scotia Canadian Bond Index Fund
ON
No
No
No
Scotia Canadian Corporate Bond Capital Yield
Class
ON
No
No
No
Scotia Canadian Dividend Class
ON
No
No
No
Scotia Canadian Dividend Fund
ON
No
No
No
Scotia Canadian Equity Blend Class
ON
No
No
No
Scotia Canadian Growth Fund
ON
No
No
No
Scotia Canadian Income Fund
ON
No
No
No
Scotia Canadian Index Fund
ON
No
No
No
Scotia Canadian Small Cap Fund
ON
No
No
No
Scotia CanAm Index Fund
ON
No
No
No
Scotia Conservative Government Bond Capital
ON
Yield Class
No
No
No
Scotia Conservative Income Fund
No
No
No
ON
Page 227 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Scotia Diversified Monthly Income Fund
ON
No
No
No
Scotia Dividend Balanced Fund
ON
No
No
No
Scotia European Fund
ON
No
No
No
Scotia Fixed Income Blend Class
ON
No
No
No
Scotia Floating Rate Income Fund
ON
No
No
No
Scotia Global Balanced Fund
ON
No
No
No
Scotia Global Bond Fund
ON
No
No
No
Scotia Global Dividend Class
ON
No
No
No
Scotia Global Dividend Fund
ON
No
No
No
Scotia Global Growth Fund
ON
No
No
No
Scotia Global Opportunities Fund
ON
No
No
No
Scotia Global Small Cap Fund
ON
No
No
No
Scotia Income Advantage Fund
ON
No
No
No
Scotia Innova Balanced Growth Portfolio
ON
No
No
No
Scotia INNOVA Balanced Growth Portfolio
Class
ON
No
No
No
Scotia Innova Balanced Income Portfolio
ON
No
No
No
Scotia INNOVA Balanced Income Portfolio
Class
ON
No
No
No
Scotia Innova Growth Portfolio
ON
No
No
No
Scotia INNOVA Growth Portfolio Class
ON
No
No
No
Scotia Innova Income Portfolio
ON
No
No
No
Scotia INNOVA Income Portfolio Class
ON
No
No
No
Scotia Innova Maximum Growth Portfolio
ON
No
No
No
Scotia INNOVA Maximum Growth Portfolio
Class
ON
No
No
No
Scotia International Equity Blend Class
ON
No
No
No
Scotia International Index Fund
ON
No
No
No
Scotia International Value Fund
ON
No
No
No
Scotia Latin American Fund
ON
No
No
No
Scotia Money Market Fund
ON
No
No
No
Scotia Mortgage Income Fund
ON
No
No
No
Scotia Nasdaq Index Fund
ON
No
No
No
Scotia Pacific Rim Fund
ON
No
No
No
Scotia partners Balanced Growth Portfolio
ON
No
No
No
Scotia Partners Balanced Income Portfolio
ON
No
No
No
Scotia Partners Growth Portfolio
ON
No
No
No
Scotia Partners income Portfolio
ON
No
No
No
Scotia Partners Maximum Growth Portfolio
ON
No
No
No
Scotia Premium T-Bill Fund
ON
No
No
No
Scotia Private American Core-Plus Bond Pool
ON
No
No
No
Page 228 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Scotia Private Canadian Corporate Bond Pool
ON
No
No
No
Scotia Private Canadian Equity Class
ON
No
No
No
Scotia Private Canadian Equity Pool
ON
No
No
No
Scotia Private Canadian Growth Pool
ON
No
No
No
Scotia Private Canadian Mid Cap Pool
ON
No
No
No
Scotia Private Canadian Preferred Share Pool
ON
No
No
No
Scotia Private Canadian Small Cap Pool
ON
No
No
No
Scotia Private Canadian Value Pool
ON
No
No
No
Scotia Private Emerging Markets Pool
ON
No
No
No
Scotia Private Global Equity Pool
ON
No
No
No
Scotia Private Global Real Estate Pool
ON
No
No
No
Scotia Private High Yield Income Pool
ON
No
No
No
Scotia Private Income Pool
ON
No
No
No
Scotia Private International Core Equity Pool
ON
No
No
No
Scotia Private International Equity Pool
ON
No
No
No
Scotia Private International Small to Mid Cap
Value Pool
ON
No
No
No
Scotia Private North American Dividend Pool
ON
No
No
No
Scotia Private Real Estate Income Pool
ON
No
No
No
Scotia Private Short Term Income Pool
ON
No
No
No
Scotia Private Short-Mid Government Bond
Pool
ON
No
No
No
Scotia Private Strategic Balanced Pool
ON
No
No
No
Scotia Private U.S. Dividend Class
ON
No
No
No
Scotia Private U.S. Dividend Pool
ON
No
No
No
Scotia Private U.S. Equity Class
ON
No
No
No
Scotia Private U.S. Equity Pool
ON
No
No
No
Scotia Private U.S. Large Cap Growth Pool
ON
No
No
No
Scotia Private U.S. Mid Cap Growth Pool
ON
No
No
No
Scotia Private U.S. Mid Cap Value Pool
ON
No
No
No
Scotia Private U.S. Value Pool
ON
No
No
No
Scotia Resource Fund
ON
No
No
No
Scotia Schools Trust
NS
No
No
No
Scotia Selected Balanced Growth Portfolio
ON
No
No
No
Scotia Selected Balanced Income Portfolio
ON
No
No
No
Scotia Selected Growth Portfolio
ON
No
No
No
Scotia Selected Income Portfolio
ON
No
No
No
Scotia Selected Maximum Growth Portfolio
ON
No
No
No
Scotia Short Term Bond Fund
ON
No
No
No
Scotia Short Term Yield Class
ON
No
No
No
Page 229 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Scotia T-Bill Fund
ON
No
No
No
Scotia U.S. $ Balanced Fund
ON
No
No
No
Scotia U.S. $ Bond Fund
ON
No
No
No
Scotia U.S. $ Money Market Fund
ON
No
No
No
Scotia U.S. Blue Chip Fund
ON
No
No
No
Scotia U.S. Dividend Fund
ON
No
No
No
Scotia U.S. Equity Blend Class
ON
No
No
No
Scotia U.S. Index Fund
ON
No
No
No
Scotia U.S. Opportunities Fund
ON
No
No
No
Scotiabank Capital Trust
ON
No
No
No
ScotiaBank Tier 1 Trust
ON
No
No
No
Scout Exploration, Inc.
BC
No
Yes
No
SCS Solars Computing Systems Inc
BC
No
Yes
No
Sdc Sydney Development Corporation
BC
No
Yes
No
Sea Breeze Power Corp.
BC
No
No
No
Sea Dragon Energy Inc.
AB
No
No
No
Seabridge Gold Inc.
ON
No
No
No
Seacorp Communications Inc.
BC
No
Yes
No
Seacorp Properties Inc.
BC
No
Yes
No
Seafield Resources Ltd.
ON
No
Yes
No
Seahawk Minerals Ltd.
BC
No
Yes
No
Seair Inc.
AB
No
No
No
Seam Resources Corporation
BC
No
Yes
No
Search Minerals Inc.
BC
No
No
No
Sears Canada Inc.
ON
No
No
No
Seashore Organic Medicine Inc.
BC
No
No
No
Seaview Resources Ltd.
BC
No
Yes
No
Seaway Energy Services Inc.
BC
No
No
No
Second Chance Corporation
ON
No
Yes
No
Second Solar, Inc
BC
No
Yes
No
Secova Metals Corp.
BC
No
No
No
Secret Pass Minerals Corp.
BC
No
Yes
No
Section Rouge Media Inc.
QC
No
No
No
Secure Energy Services Inc.
AB
No
No
No
Secure Luggage Solutions Inc.
BC
No
Yes
No
SecureCom Mobile Inc.
BC
No
No
No
Secured Communication Canada 95 Inc.
BC
No
Yes
No
Securex Ltd.
BC
No
Yes
No
Security Devices International Inc.
ON
No
No
No
Security Environmental Systems Inc.
BC
No
Yes
No
Page 230 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Security Home Mortgage Investment
Corporation
BC
No
Yes
No
Security Services Insurance Company
BC
No
Yes
No
Sedex Mining Corp.
BC
No
Yes
No
Sedibelo Platinum Mines Limited
ON
No
Yes
No
Sedna Geotech Inc.
BC
No
Yes
No
Sedona Industries Ltd.
BC
No
Yes
No
Segami Images Incorporated
ON
No
Yes
No
Sego Resources Inc.
BC
No
No
No
SEL Exchange Inc.
ON
No
Yes
No
Select 100e Managed Portfolio Corporate Class ON
No
No
No
Select 20i80e Managed Portfolio Corporate
Class
ON
No
No
No
Select 30i70e Managed Portfolio Corporate
Class
ON
No
No
No
Select 40i60e Managed Portfolio Corporate
Class
ON
No
No
No
Select 50i50e Managed Portfolio Corporate
Class
ON
No
No
No
Select 60i40e Managed Portfolio Corporate
Class
ON
No
No
No
Select 70i30e Managed Portfolio Corporate
Class
ON
No
No
No
Select 80i20e Managed Portfolio Corporate
Class
ON
No
No
No
Select Canadian Equity Managed Corporate
Class
ON
No
No
No
Select Canadian Equity Managed Fund
ON
No
No
No
Select Income Advantage Managed Trust
ON
No
No
No
Select Income Managed Corporate Class
ON
No
No
No
Select International Equity Managed Corporate
ON
Class
No
No
No
Select International Equity Managed Fund
ON
No
No
No
Select Sands Corp.
BC
No
No
No
Select Staging Fund
ON
No
No
No
Select U.S Equity Managed Fund
ON
No
No
No
Select U.S. Equity Managed Corporate Class
ON
No
No
No
Selectcore Ltd.
ON
No
No
No
Selwyn Resources Ltd.
BC
No
No
No
Semafo Inc.
QC
No
No
No
SemBioSys Genetics Inc.
AB
No
Yes
No
Semi-Tech Corporation
ON
No
Yes
No
Senator Minerals Inc.
BC
No
No
No
Page 231 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Senco Sensors Inc.
BC
No
Yes
No
Sendero Mining Corp.
ON
No
No
No
Senior Secured Floating Rate Loan Fund
ON
No
No
No
Sennen Potash Corp.
BC
No
No
No
Sensat Technologies Ltd.
BC
No
Yes
No
Sense Technologies Inc.
BC
No
Yes
No
SENSIO Technologies Inc.
QC
No
No
No
Sentry Money Market Class
ON
No
No
No
Sentry Canadian Bond Fund (formerly, Sentry
Bond Plus Fund)
ON
No
No
No
Sentry Canadian Income Class
ON
No
No
No
Sentry Canadian Income Fund
ON
No
No
No
Sentry Canadian Resource Class
ON
No
No
No
Sentry Conservative Balanced Income Class
ON
No
No
No
Sentry Conservative Balanced Income Fund
ON
No
No
No
Sentry Conservative Income Portfolio
ON
No
No
No
Sentry Diversified Equity Class
ON
No
No
No
Sentry Diversified Equity Fund
ON
No
No
No
Sentry Diversified Income Fund
ON
No
No
No
Sentry Energy Growth and Income Fund
ON
No
No
No
Sentry Enhanced Corporate Bond Class
(formerly, Sentry Enhanced Corporate Bond
Capital Yield Class)
ON
No
No
No
Sentry Enhanced Corporate Bond Fund
ON
No
No
No
Sentry Global Balanced Income Fund
ON
No
No
No
Sentry Global Growth and Income Class
ON
No
No
No
Sentry Global Growth and Income Fund
ON
No
No
No
Sentry Growth and Income Fund
ON
No
No
No
Sentry Growth and Income Portfolio
ON
No
No
No
Sentry Growth Portfolio
ON
No
No
No
Sentry Income Portfolio
ON
No
No
No
Sentry Infrastructure Fund
ON
No
No
No
Sentry Money Market Fund
ON
No
No
No
Sentry Petroleum Ltd.
BC
No
Yes
No
Sentry Precious Metals Growth Class
ON
No
No
No
Sentry Precious Metals Growth Fund
ON
No
No
No
Sentry REIT Class
ON
No
No
No
Sentry REIT Fund
ON
No
No
No
Sentry Resources Corporation
BC
No
Yes
No
Sentry Select Primary Metals Corp.
ON
No
No
No
Sentry Small/Mid Cap Income Class
ON
No
No
No
Page 232 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Sentry Small/Mid Cap Income Fund
ON
No
No
No
Sentry Tactical Bond Class (formerly, Sentry
Tactical Bond Capital Yield Class)
ON
No
No
No
Sentry Tactical Bond Fund
ON
No
No
No
Sentry U.S. Balanced Income Fund
ON
No
No
No
Sentry U.S. Growth and Income Class
ON
No
No
No
Sentry U.S. Growth and Income Fund
ON
No
No
No
Sepik Gold Corporation
BC
No
Yes
No
Serabi Gold plc
ON
No
No
No
Serengeti Resources Inc.
BC
No
No
No
Serica Energy PLC
AB
No
No
No
Serinus Energy Inc.
AB
No
No
No
Sernova Corp.
ON
No
No
No
Serval Integrated Energy Services
AB
No
Yes
No
Service Track Enterprises Inc.
BC
No
Yes
No
Setanta Ventures Incorporated
BC
No
Yes
No
Seven Evergreen Apartment Project
MB
No
Yes
No
Seven Generations Energy Ltd.
AB
No
No
No
Seven Seas Petroleum Inc.
ON
No
Yes
No
Severide Environmental Industries Inc.
BC
No
Yes
No
Sextant Entertainment Group Inc.
BC
No
Yes
No
Seymour-Moss International Limited
BC
No
Yes
No
SG Spirit Gold Inc.
BC
No
No
No
SGB International Holdings Inc.
BC
No
Yes
No
Sgf Security Growth Fund Ltd.
BC
No
Yes
No
SGX Resources Inc.
MB
No
No
No
Shahuindo Gold Limited
BC
No
No
No
Shallow Resources Inc.
BC
No
Yes
No
ShaMaran Petroleum Corp.
BC
No
No
No
Shamrock Enterprises Inc.
BC
Yes
No
No
Shandell Enterprises Ltd.
BC
No
Yes
No
Shandon Resources Inc.
BC
No
Yes
No
Sharon, Lois & Bram's Elephant Show (Series
IV)
ON
No
Yes
No
Sharpe Resources Corporation
ON
No
Yes
No
Shaw Communications Inc.
AB
No
No
No
ShawCor Ltd.
ON
No
No
No
Shayna International Industries Ltd.
BC
No
Yes
No
Shear Diamonds Ltd.
AB
No
Yes
No
Sheen Resources Ltd.
BC
No
Yes
No
Page 233 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Shelby Ventures Inc.
BC
No
No
No
Shenandoah Resources Ltd.
AB
No
Yes
No
Shenandoah Resources Ltd. (B.C. Based
Company)
AB
No
Yes
No
SHEP Technologies Inc.
BC
No
Yes
No
Sherbrook SBK Sport Corp.
BC
No
Yes
No
Sherobee Glen Limited Partnership
MB
No
Yes
No
Sherritt International Corporation
ON
No
No
No
Sheslay Mining Inc.
BC
No
No
No
Shift Networks Inc.
AB
No
Yes
No
Shiloh Resources Ltd.
BC
No
Yes
No
Shimoda International Systems Inc.
BC
No
Yes
No
Shire plc
QC
No
No
No
Shogun Capital Corp.
BC
No
No
No
Shoppers Drug Mart Corporation
ON
No
No
No
Shore Gold Inc.
SK
No
No
No
Shoreline Energy Corp.
AB
No
No
No
Short Term Bond Fund
ON
No
No
No
Short Term Bond Fund (Portico)
ON
No
No
No
Short Term Income Corporate Class
ON
No
No
No
Short Term Income Pool
ON
No
No
No
Short Term Investment Fund
ON
No
No
No
Shoshoni Gold Ltd.
BC
No
No
No
Sibola Mines Ltd.
BC
No
Yes
No
Sid Energy Inc.
BC
No
Yes
No
Sienna Resources Inc.
BC
No
No
No
Sierra Capital Corp.
BC
No
Yes
No
Sierra Iron Ore Corporation
BC
No
No
No
Sierra Madre Developments Inc.
BC
No
Yes
No
Sierra Metals Inc.
BC
No
No
No
Sierra Nevada Gold Ltd.
BC
No
Yes
No
Sierra Wireless, Inc.
BC
No
No
No
Sightus Inc.
AB
No
Yes
No
Sigma Industries Inc.
QC
No
No
No
Sigmacom Systems Inc.
BC
No
Yes
No
Signal Exploration Inc.
BC
No
No
No
Signature Canadian Balanced Fund
ON
No
No
No
Signature Canadian Bond Corporate Class
ON
No
No
No
Signature Canadian Bond Fund
ON
No
No
No
Signature Cash Management Fund
ON
No
No
No
Page 234 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Signature Corporate Bond Corporate Class
ON
No
No
No
Signature Corporate Bond Fund
ON
No
No
No
Signature Diversified Yield Corporate Class
ON
No
No
No
Signature Diversified Yield Fund
ON
No
No
No
Signature Diversified Yield II Fund
ON
No
No
No
Signature Diversified Yield Trust
ON
No
No
No
Signature Dividend Corporate Class
ON
No
No
No
Signature Dividend Fund
ON
No
No
No
Signature Emerging Markets Corporate Class
ON
No
No
No
Signature Emerging Markets Fund
ON
No
No
No
Signature Global Resource Corporate Class
ON
No
No
No
Signature Global Resource Fund
ON
No
No
No
Signature Global Bond Corporate Class
ON
No
No
No
Signature Global Bond Fund
ON
No
No
No
Signature Global Dividend Corporate Class
ON
No
No
No
Signature Global Dividend Fund
ON
No
No
No
Signature Global Energy Corporate Class
ON
No
No
No
Signature Global Income & Growth Corporate
Class
ON
No
No
No
Signature Global Income & Growth Fund
ON
No
No
No
Signature Global Science & Technology
Corporate Class
ON
No
No
No
Signature Gold Corporate Class
ON
No
No
No
Signature High Income Corporate Class
ON
No
No
No
Signature High Income Fund
ON
No
No
No
Signature High Yield Bond Corporate Class
ON
No
No
No
Signature High Yield Bond Fund
ON
No
No
No
Signature High Yield Bond II Fund
ON
No
No
No
Signature Income & Growth Corporate Class
ON
No
No
No
Signature Income & Growth Fund
ON
No
No
No
Signature International Corporate Class
ON
No
No
No
Signature International Fund
ON
No
No
No
Signature Resources Ltd.
BC
No
No
No
Signature Select Canadian Corporate Class
ON
No
No
No
Signature Select Canadian Fund
ON
No
No
No
Signature Select Global Corporate Class
ON
No
No
No
Signature Select Global Fund
ON
No
No
No
Signature Short-Term Bond Fund
ON
No
No
No
Signtech Inc.
BC
No
Yes
No
Silcom Systems Inc.
BC
No
No
No
Page 235 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Silica Resources Corporation
BC
No
Yes
No
Silk Road Energy Inc.
AB
No
Yes
No
Silk Road Finance Inc.
BC
No
No
No
Siltronics Ltd.
BC
No
Yes
No
Silver Bear Resources Inc.
ON
No
No
No
Silver Box Resources Ltd.
BC
No
Yes
No
Silver Bull Resources, Inc.
BC
No
No
No
Silver Bullion Trust
ON
No
No
No
Silver Fields Resources Inc.
BC
No
No
No
Silver Grail Resources Ltd.
BC
No
No
No
Silver Hart Mines Ltd.
BC
No
Yes
No
Silver Lady Resources Inc.
BC
No
Yes
No
Silver Peak Resources Ltd.
BC
No
Yes
No
Silver Phoenix Resources Inc.
BC
No
No
No
Silver Predator Corp.
BC
No
No
No
Silver Princess Resources Inc.
BC
No
Yes
No
Silver Pursuit Resources Ltd.
BC
No
Yes
No
Silver Range Resources Ltd.
BC
No
No
No
Silver Shield Resources Corp.
ON
No
Yes
No
Silver Spring Mines Ltd. (Npl)
BC
No
Yes
No
Silver Spruce Resources Inc.
NS
No
No
No
Silver Standard Resources Inc.
BC
No
No
No
Silver Stream Mining Corp.
BC
No
No
No
Silver Wheaton Corp.
BC
No
No
No
Silverado Gold Mines Ltd.
BC
No
Yes
No
Silverbirch Inc.
ON
No
Yes
No
Silvercorp Metals Inc.
BC
No
No
No
SilverCrest Mines Inc.
BC
No
No
No
Silvermet Inc.
ON
No
No
No
Silverstar Mining Corp.
BC
No
Yes
No
Silversword Corporation
BC
No
Yes
No
SilverWillow Energy Corporation
AB
No
No
No
Simavita Limited
BC
No
No
No
Simba Energy Inc.
BC
No
No
No
Simba Gold Corp.
BC
No
No
No
Simcoe Erie Investors Limited
BC
No
Yes
No
Simmonds Capital Limited
ON
No
Yes
No
Simon Fraser Resources Ltd.
BC
No
Yes
No
Simsmart Inc.
QC
No
Yes
No
SineTec Holdings Corporation
AB
No
Yes
No
Page 236 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Sino Business Machines Inc.
BC
No
Yes
No
Sinorank Petroleum Resources Limited
BC
No
Yes
No
Sintana Energy Inc.
ON
No
No
No
Sionna Canadian Balanced Fund
ON
No
No
No
Sionna Canadian Equity Fund
ON
No
No
No
Sionna Canadian Small Cap Equity Fund
ON
No
No
No
Sionna Diversified Income Fund
ON
No
No
No
Sionna Monthly Income Fund
ON
No
No
No
Sionna Opportunities Fund
ON
No
No
No
SIR ROYALTY INCOME FUND
ON
No
No
No
Sirios Resources Inc.
QC
No
No
No
Sirius Resource Corporation
BC
No
Yes
No
Sirius XM Canada Holdings Inc.
ON
No
No
No
Sirona Biochem Corp.
BC
No
No
No
Siscoe Callahan Mining Corporation
BC
No
Yes
No
Siskon Gold Corporation
BC
No
Yes
No
Skeena Resources Limited
BC
No
No
No
SKG Interactive Inc.
ON
No
Yes
No
Ski-Free Marine Inc.
BC
No
Yes
No
Skukum Gold Inc.
BC
No
Yes
No
Sky Harvest Energy Corp.
BC
No
Yes
No
Sky Ridge Resources Ltd.
BC
No
No
No
Skyharbour Resources Ltd.
BC
No
No
No
Skyhawk Resources Inc.
BC
No
Yes
No
Skylon Growth & Income Trust
ON
No
No
No
Skyrocket Exploration & Resources Inc.
BC
No
Yes
No
Slam Exploration Ltd.
NB
No
No
No
Slate Retail REIT
ON
No
No
No
Slate U.S. Opportunity (No. 3) Realty Trust
ON
No
No
No
Slater Mining Corporation
BC
No
No
No
SLMsoft Inc.
ON
No
Yes
No
SLYCE Inc.
AB
No
No
No
Smart Employee Benefits Inc.
ON
No
No
No
Smart Technologies Inc.
AB
No
No
No
Smart Ventures, Inc.
BC
No
Yes
No
SmartCardeSolutions.com Ltd.
AB
No
Yes
No
SmartCool Systems Inc.
BC
No
No
No
Smartlinx Inc.
BC
No
Yes
No
Smartor Products Inc.
BC
No
Yes
No
Smartsales Inc.
ON
No
Yes
No
Page 237 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
SMC Ventures Inc.
BC
No
No
No
Snc-Lavalin Group Inc.
QC
No
No
No
SNG Telecom Inc.
AB
No
Yes
No
Sniper Resources Ltd.
BC
No
No
No
SnipGold Corp.
BC
No
No
No
Snipp Interactive Inc.
BC
No
No
No
Snow Eagle Resources Ltd.
BC
No
No
No
Snow Lake Mines Ltd.
BC
No
Yes
No
Snow Leopard Resources Inc.
AB
No
Yes
No
Snowdon Resources Corp.
BC
No
Yes
No
Snowfield Development Corp.
BC
No
Yes
No
Snowwater Resources Ltd.
BC
No
Yes
No
Snv Group Ltd.
BC
No
Yes
No
So-Luminaire Systems Corp.
BC
No
Yes
No
Sobeys Inc.
NS
No
No
No
Socie Terra Growth Portfolio
QC
No
No
No
Societe D'exploration Miniere Vior Inc.
QC
No
No
No
Société Minière Sphinx Inc
QC
No
Yes
No
SocieTerra Balanced Portfolio
QC
No
No
No
SocieTerra Growth Plus Portfolio
QC
No
No
No
SocieTerra Secure Market Portfolio
QC
No
No
No
Sofame Technologies Inc.
QC
Yes
No
No
Soficap Acquisitions Inc.
AB
No
Yes
No
Softrock Minerals Ltd.
AB
No
No
No
Softwex Technologies Inc.
BC
No
Yes
No
Sojourn Ventures Inc.
BC
No
No
No
Sokoman Iron Corp.
BC
No
No
No
Solanbridge Group, Inc.
BC
No
Yes
No
Solar Pharmaceutical Ltd.
BC
No
Yes
No
Solara Exploration Ltd
AB
No
Yes
No
Solara Ventures Inc.
BC
No
Yes
No
Solarvest Bioenergy Inc.
BC
No
No
No
Solid Gold Resources Corp.
ON
No
Yes
No
SolidusGold Inc.
BC
No
No
No
Solimar Energy Limited
AB
No
No
No
Solitario Exploration & Royalty Corp.
ON
No
No
No
Solium Capital Inc.
AB
No
No
No
Solo International, Inc.
BC
No
No
No
Soltera Mining Corp
BC
No
Yes
No
Soltoro Ltd.
ON
No
No
No
Page 238 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Solucorp Industries Ltd
BC
No
No
No
Solucorp Industries Ltd.
BC
No
Yes
No
Solutioninc Technologies Limited
BC
No
Yes
No
Solutrea Corp.
AB
No
Yes
No
Solvista Gold Corporation
ON
No
No
No
SoMedia Networks Inc.
BC
No
No
No
Sona Resources Corp.
BC
No
No
No
Sonde Resources Corp.
AB
No
Yes
No
SonnenEnergy Corp.
ON
No
Yes
No
Sonoma Hills Winegrowers Limited Partnership BC
No
Yes
No
Sonoma Resources Inc.
BC
No
Yes
No
Sonomax Technologies Inc.
QC
No
Yes
No
Sonor Investments Limited
ON
No
No
No
Sonora Diamond Corp.
ON
No
Yes
No
Sonora Gold & Silver Corp.
BC
No
No
No
Sonoro Energy Ltd.
AB
No
No
No
Sonoro Metals Corp.
BC
No
No
No
Sophiris Bio Inc.
BC
No
No
No
Sor Baroot Resources Corp.
BC
No
No
No
Sora Capital Corp.
BC
No
No
No
Sorata Developments Inc.
BC
No
Yes
No
Sorel Ventures Ltd.
BC
No
Yes
No
Source Exploration Corp.
ON
No
No
No
Source Life Sciences Inc.
MB
No
Yes
No
Sourcesmith Industries Inc.
BC
No
Yes
No
South Duval Gold Corp.
BC
No
Yes
No
Southeast Asia Mining Corp.
ON
No
No
No
Southern Arc Minerals Inc.
BC
No
No
No
Southern Cross Gold Inc.
BC
No
Yes
No
Southern Interior Beef Corporation
BC
No
Yes
No
Southern Pacific Resource Corp.
AB
No
No
No
Southern Silver Exploration Corp.
BC
No
No
No
Southern Sun Minerals Inc.
BC
No
No
No
SouthGobi Resources Ltd.
BC
No
No
No
Southwest Technologies Inc.
BC
No
Yes
No
Spackman Equities Group Inc.
ON
No
No
No
Spanish Mountain Gold Ltd.
BC
No
No
No
Sparrow Ventures Corp.
BC
No
No
No
Sparta Capital Ltd.
AB
No
No
No
Spartan Energy Corp.
AB
No
No
No
Page 239 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Sparton Resources Inc.
ON
No
No
No
Sparx Energy Corp.
BC
No
No
No
Spearhead Resources Ltd.
BC
No
Yes
No
Spearmint Resources Inc.
BC
No
No
No
Special Waste Management Inc.
BC
No
Yes
No
Specialty Foods Group Income Fund
ON
No
Yes
No
Spectra Inc.
ON
No
No
No
Spectra7 Microsystems Inc.
ON
No
No
No
Spectral Medical Inc.
ON
No
No
No
Spectrum Resources Limited
BC
No
Yes
No
Sphere 3D Corporation
ON
No
No
No
Sphere Resources Inc.
BC
No
No
No
Sphinx Mining Inc.
BC
No
Yes
No
Sphinx Resources Ltd.
QC
No
No
No
Spi Safety Packaging International Ltd.
BC
No
Yes
No
Spinifex Gold NL
BC
No
Yes
No
Spinlogic Technologies Inc.
QC
No
Yes
No
Spiral Optics Inc.
BC
No
Yes
No
Spirit Bear Capital Corp.
BC
No
No
No
Spirit Exploration Inc.
BC
No
Yes
No
Sport Specific International Inc.
BC
No
Yes
No
Sportscene Group Inc.
QC
No
No
No
Sportsclick Inc.
AB
No
Yes
No
Spot Coffee (Canada) Ltd.
ON
No
No
No
Spotlight Innovation Inc.
AB
No
Yes
No
Springfield Resources Ltd.
BC
No
Yes
No
Spriza, Inc.
AB
No
No
No
Sprott 2013 Flow-Through Limited Partnership
ON
No
No
No
Sprott 2014 Flow-Through Limited Partnership
ON
No
No
No
Sprott 2014-II Flow-Through Limited
Partnership
ON
No
No
No
Sprott 2015 Flow-Through Limited Partnership ON
CDE Units
No
No
No
Sprott 2015 Flow-Through Limited Partnership ON
CEE Units
No
No
No
Sprott Canadian Equity Class
ON
No
No
No
Sprott Canadian Equity Fund
ON
No
No
No
Sprott Diversified Yield Class
ON
No
No
No
Sprott Diversified Yield Fund
ON
No
No
No
Sprott Energy Fund
ON
No
No
No
Sprott Enhanced Balanced Class
ON
No
No
No
Page 240 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Sprott Enhanced Balanced Fund
ON
No
No
No
Sprott Enhanced Equity Class
ON
No
No
No
Sprott Global Agriculture Fund
ON
No
No
No
Sprott Global Infrastructure Fund
ON
No
No
No
Sprott Gold and Precious Minerals Class
ON
No
No
No
Sprott Gold and Precious Minerals Fund
ON
No
No
No
Sprott Gold Bullion Class
ON
No
No
No
Sprott Gold Bullion Fund
ON
No
No
No
Sprott Inc.
ON
No
No
No
Sprott Physical Gold Trust
ON
No
No
No
Sprott Physical Platinum and Palladium Trust
ON
No
No
No
Sprott Physical Silver Trust
ON
No
No
No
Sprott Real Asset Class
ON
No
No
No
Sprott Resource Class
ON
No
No
No
Sprott Resource Corp.
ON
No
No
No
Sprott Short-Term Bond Class
ON
No
No
No
Sprott Short-Term Bond Fund
ON
No
No
No
Sprott Silver Bullion Class
ON
No
No
No
Sprott Silver Bullion Fund
ON
No
No
No
Sprott Silver Equities Class
ON
No
No
No
Sprott Small Cap Equity Fund
ON
No
No
No
Sprott Strategic Fixed Income Fund
ON
No
No
No
Sprott Tactical Balanced Class
ON
No
No
No
Sprott Tactical Balanced Fund
ON
No
No
No
Sprott Timber Fund
ON
No
No
No
Spruce Ridge Resources Ltd.
ON
No
No
No
SpryLogics International Corp.
ON
No
No
No
SPT Sulphur Polymer Technologies Inc.
BC
No
No
No
SPX Corporation
QC
No
No
No
Spyglass Resources Corp.
AB
No
No
No
SQI Diagnostics Inc.
ON
No
No
No
SRAI Capital Corp.
BC
No
No
No
SRR Mercantile Inc.
BC
No
Yes
No
St-Georges Platinum & Base Metals Ltd.
BC
No
No
No
St. Andrew Goldfields Ltd.
ON
No
No
No
St. Augustine Gold and Copper Limited
ON
No
No
No
St. Charles Village
BC
No
Yes
No
St. Clair Paint & Wallpaper Corporation
BC
No
Yes
No
St. Elias Mines Ltd.
BC
No
Yes
No
St. George Metals, Inc.
BC
No
Yes
No
Page 241 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
St. Joseph, Inc.
BC
No
No
No
St. Lucie Exploration Company Limited
ON
No
Yes
No
Stabell Resources Inc.
BC
No
Yes
No
Stakeholder Gold Corp.
BC
No
No
No
Stall Lake Mines Limited
MB
No
Yes
No
Stallion Resources Ltd.
BC
No
Yes
No
Stampede Oils Inc.
AB
No
Yes
No
Standard Exploration Ltd.
AB
No
No
No
Standard Graphite Corporation
BC
No
No
No
Standard Life Aggressive Portfolio
QC
No
No
No
Standard Life Aggressive Portfolio Class
QC
No
No
No
Standard Life Balanced Fund
QC
No
No
No
Standard Life Canadian Bond Class
QC
No
No
No
Standard Life Canadian Bond Fund
QC
No
No
No
Standard Life Canadian Dividend Growth Class QC
No
No
No
Standard Life Canadian Dividend Growth Fund QC
No
No
No
Standard Life Canadian Equity Class
QC
No
No
No
Standard Life Canadian Equity Fund
QC
No
No
No
Standard Life Canadian Equity Growth Class
QC
No
No
No
Standard Life Canadian Equity Growth Fund
QC
No
No
No
Standard Life Canadian Equity Value Class
QC
No
No
No
Standard Life Canadian Equity Value Fund
QC
No
No
No
Standard Life Canadian Small Cap Class
QC
No
No
No
Standard Life Canadian Small Cap Fund
QC
No
No
No
Standard Life Conservative Portfolio Class
QC
No
No
No
Standard Life Conversative Portfolio
QC
No
No
No
Standard Life Corporate Bond Class
QC
No
No
No
Standard Life Corporate Bond Fund
QC
No
No
No
Standard Life Diversified Income Fund
QC
No
No
No
Standard Life Dividend Growth & Income
Portfolio
QC
No
No
No
Standard Life Dividend Growth & Income
Portfolio Class
QC
No
No
No
Standard Life Dividend Income Class
QC
No
No
No
Standard Life Dividend Income Fund
QC
No
No
No
Standard Life Emerging Markets Debt Fund
QC
No
No
No
Standard Life Emerging Markets Dividend
Class
QC
No
No
No
Standard Life Emerging Markets Dividend Fund QC
No
No
No
Standard Life European Equity Fund
QC
No
No
No
Standard Life Global Dividend Growth Class
QC
No
No
No
Page 242 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Standard Life Global Dividend Growth Fund
QC
No
No
No
Standard Life Global Equity Class
QC
No
No
No
Standard Life Global Equity Fund
QC
No
No
No
Standard Life Global Equity Value Class
QC
No
No
No
Standard Life Global Equity Value Fund
QC
No
No
No
Standard Life Global Portfolio
QC
No
No
No
Standard Life Global Portfolio Class
QC
No
No
No
Standard Life Global Real Estate Fund
QC
No
No
No
Standard Life Growth Portfolio
QC
No
No
No
Standard Life Growth Portfolio Class
QC
No
No
No
Standard Life High Yield Bond Fund
QC
No
No
No
Standard Life International Bond Fund
QC
No
No
No
Standard Life International Equity Class
QC
No
No
No
Standard Life International Equity Fund
QC
No
No
No
Standard Life Moderate Portfolio
QC
No
No
No
Standard Life Moderate Portfolio Class
QC
No
No
No
Standard Life Money Market Fund
QC
No
No
No
Standard Life Monthly Income Class
QC
No
No
No
Standard Life Monthly Income Fund
QC
No
No
No
Standard Life Short Term Bond Fund
QC
No
No
No
Standard Life Short Term Yield Class
QC
No
No
No
Standard Life Tactical Bond Fund
QC
No
No
No
Standard Life Tactical Income Fund
QC
No
No
No
Standard Life U.S. Dividend Growth Class
QC
No
No
No
Standard Life U.S. Equity Fund
QC
No
No
No
Standard Life U.S. Equity Value Class
QC
No
No
No
Standard Life U.S. Monthly Income Fund
QC
No
No
No
Standard Life U.S.Dividend Growth Fund
QC
No
No
No
Standard Tolling Corp.
BC
No
No
No
Standard Trustco Limited ("Standard Trustco")
ON
No
Yes
No
Standard-Modern Technologies Corporation
BC
No
Yes
No
Stanley Park Place Apartments
BC
No
Yes
No
Stans Energy Corp.
ON
No
No
No
Stantec Inc.
AB
No
No
No
Star Entertainment Group, Inc.
BC
No
Yes
No
Star Hedge Managers Corp.
ON
No
No
No
Star Hedge Managers Corp. II
ON
No
No
No
Star Minerals Group Ltd.
SK
No
No
No
Star Navigation Systems Group Ltd.
ON
No
No
No
Star Portfolio Corp.
ON
No
No
No
Page 243 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Star Properties Inc.
BC
No
Yes
No
Starcore International Mines Ltd.
BC
No
No
No
Stardust Ventures Inc.
BC
No
Yes
No
Starfield Resources Inc.
ON
No
Yes
No
Starfire Minerals Inc.
BC
No
No
No
Starfire Resources Ltd.
BC
No
Yes
No
Starfire Technologies International Inc.
ON
No
Yes
No
STARFLICK.COM
BC
No
Yes
No
Starlight U.S. Multi-Family (No. 2) Core Fund
ON
No
No
No
Starlight U.S. Multi-Family (No. 3) Core Fund
ON
No
No
No
Starlight U.S. Multi-Family Core Fund
ON
No
No
No
Staront Technologies Inc.
ON
No
Yes
No
Starpoint Goldfields Inc.
BC
No
Yes
No
Starrex International Ltd.
ON
No
No
No
States Exploration Ltd
BC
No
Yes
No
Statesman Resources Ltd.
BC
No
No
No
Steadfast Ventures Inc.
BC
No
Yes
No
Steadyhand Equity Fund
BC
No
No
No
Steadyhand Founders Fund
BC
No
No
No
Steadyhand Global Equity Fund
BC
No
No
No
Steadyhand Income Fund
BC
No
No
No
Steadyhand Savings Fund
BC
No
No
No
Steadyhand Small-Cap Equity Fund
BC
No
No
No
Stealth Minerals Limited
BC
No
Yes
No
Stealth Ventures Ltd.
AB
No
No
No
Steed Ventures Corporation
BC
No
Yes
No
Steelhead Resources Ltd.
BC
No
Yes
No
Stella-Jones Inc.
QC
No
No
No
Stellar AfricaGold Inc.
QC
No
No
No
Stellar Biotechnologies, Inc.
BC
No
No
No
Stellar Resources Ltd.
BC
No
Yes
No
STELMINE CANADA LTD.
QC
No
No
No
Stelway Food Services Inc.
BC
No
Yes
No
Stem 7 Capital Inc.
BC
No
No
No
Stem Cell Therapeutics Corp.
ON
No
No
No
Steppe Gold Resources Ltd.
BC
No
Yes
No
Sterling Group Ventures Inc
BC
No
No
No
Sterling Leaf Income Trust
AB
No
Yes
No
Sterling Limited Partnership
ON
No
Yes
No
Sterling Mining Company
ON
No
Yes
No
Page 244 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Sterling Resources Ltd.
AB
No
No
No
Sterling Shoes Inc.
BC
No
Yes
No
Stetson Oil & Gas Ltd.
AB
No
No
No
Stikine Energy Corp.
BC
No
No
No
Stillwater Mining Company
AB
No
No
No
Stina Resources Ltd.
BC
No
No
No
Stockport Exploration Inc.
NS
No
No
No
Stone & Co. Dividend Growth Class Canada
ON
No
No
No
Stone & Co. Europlus Dividend Growth Fund
ON
No
No
No
Stone & Co. Flagship Global Growth Fund
ON
No
No
No
Stone & Co. Flagship Growth & Income Fund
Canada
ON
No
No
No
Stone & Co. Flagship Stock Fund Canada
ON
No
No
No
Stone & Co. Growth Industries Fund
ON
No
No
No
Stone & Co. Resource Plus Class
ON
No
No
No
Stone 2013 Flow-Through Limited Partnership
ON
No
No
No
Stone Agribusiness Fund
ON
No
No
No
Stone Investment Group Limited
ON
No
No
No
Stone Mark Capital Inc.
BC
No
Yes
No
Stone Mountain Apartments I Limited
Partnership
BC
No
Yes
No
Stone Mountain Holdings Inc.
BC
No
Yes
No
Stone Resources Limited
BC
No
Yes
No
Stonebridge Inc.
BC
No
Yes
No
Stonegate Agricom Ltd.
ON
No
No
No
Stonehaven Exploration Ltd.
AB
No
No
No
StonePoint Energy Inc.
AB
No
No
No
Stonepoint Global Brands Inc.
BC
No
Yes
No
Stoneset Equity Development Corp.
AB
No
Yes
No
StorageVault Canada Inc.
SK
No
No
No
Storm Cat Energy Corporation
BC
No
Yes
No
Storm Resources Ltd.
AB
No
No
No
Stornaway Capital Development Corporation
BC
No
Yes
No
Stornoway Diamond Corporation
QC
No
No
No
stox.com Inc.
BC
No
Yes
No
Strad Energy Services Ltd.
AB
No
No
No
Strait Minerals Inc.
ON
No
No
No
Straits Oil & Gas Limited
BC
No
Yes
No
Stralak Resources Inc.
BC
No
Yes
No
Strata Minerals Inc.
BC
No
No
No
Page 245 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Strata Oil & Gas Inc.
AB
No
Yes
No
Strata-X Energy Ltd.
AB
No
No
No
Stratabound Minerals Corp.
AB
No
No
No
Stratcomm Media Ltd.
BC
No
Yes
No
Strateco Resources Inc.
QC
No
No
No
Strategem Capital Corporation
BC
No
No
No
Strategic Asset Leasing Incorporated
BC
No
Yes
No
Strategic Income Allocation Fund
ON
No
No
No
Strategic Industries Inc.
BC
No
Yes
No
Strategic Internet Investments, Incorporated
BC
No
No
No
Strategic Metals Ltd.
BC
No
No
No
Strategic Mining Corp.
BC
No
Yes
No
Strategic Oil & Gas Ltd.
AB
No
No
No
Strategic Resources Inc.
ON
No
No
No
Strategyweb Communications Inc.
AB
No
Yes
No
Stratford American Corporation
BC
No
Yes
No
Strathearn House Group Limited
BC
No
Yes
No
Stratton Capital Corp.
ON
No
No
No
Stratton Resources Inc.
BC
No
No
No
Stream Communications Network & Media Inc. BC
No
Yes
No
Stream Ventures Inc.
ON
No
No
No
Streetlight Intelligence Inc.
BC
No
Yes
No
Stria Lithium Inc.
ON
No
No
No
Strike Diamond Corp.
BC
No
No
No
Strike Minerals Inc.
ON
No
Yes
No
StrikePoint Gold Inc.
AB
No
No
No
Strikewell Energy Corp.
BC
No
No
No
Strongbow Exploration Inc.
BC
No
No
No
Strongbow Resources Inc.
AB
No
No
No
Strongco Corporation
ON
No
No
No
Stroud Resources Ltd.
ON
No
No
No
Stryker Ventures Corp.
BC
No
Yes
No
STT Enviro Corp.
ON
No
No
No
Stuart Olson Inc.
AB
No
No
No
Studebaker's Resource Development, Ltd.
BC
No
Yes
No
Student Transportation Inc.
ON
No
No
No
Suburban Minerals Corp.
BC
No
Yes
No
Suburban Resources Ltd.
BC
No
Yes
No
Success Holding Group International Inc.
BC
No
No
No
Suffolk Resources Ltd.
BC
No
Yes
No
Page 246 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Suite Software
BC
No
Yes
No
Sulliden Mining Capital Inc.
ON
No
No
No
Sulpetro Limited
BC
No
Yes
No
Sultan Minerals Inc.
BC
No
No
No
Sumac Ventures Inc.
BC
No
Yes
No
Sumatra Resources Inc.
BC
No
Yes
No
SUMmedia.com Inc.
BC
No
Yes
No
Summex Mines Ltd.
BC
No
Yes
No
Summit Industrial Income REIT
ON
No
No
No
Summus Solutions N.V.
BC
No
No
No
Sumtra Diversified Inc.
ON
No
No
No
Sun Cal Energy, Inc.
BC
No
Yes
No
Sun Free Enterprises Ltd.
BC
No
Yes
No
Sun Life Assurance Company of Canada
ON
No
No
No
Sun Life Beutel Goodman Canadian Bond Fund ON
No
No
No
Sun Life BlackRock Canadian Balanced Class
ON
No
No
No
Sun Life BlackRock Canadian Balanced Fund
ON
No
No
No
Sun Life BlackRock Canadian Composite
Equity Class
ON
No
No
No
Sun Life BlackRock Canadian Composite
Equity Fund
ON
No
No
No
Sun Life BlackRock Canadian Equity Class
ON
No
No
No
Sun Life BlackRock Canadian Equity Fund
ON
No
No
No
Sun Life BlackRock Canadian Universe Bond
Fund
ON
No
No
No
Sun Life Capital Trust
ON
No
No
No
Sun Life Dynamic American Value Fund
ON
No
No
No
Sun Life Dynamic Equity Income Class
ON
No
No
No
Sun Life Dynamic Equity Income Fund
ON
No
No
No
Sun Life Dynamic Strategic Yield Class
ON
No
No
No
Sun Life Dynamic Strategic Yield Fund
ON
No
No
No
Sun Life Financial Inc.
ON
No
No
No
Sun Life Managed Balanced Class
ON
No
No
No
Sun Life Managed Balanced Growth Class
ON
No
No
No
Sun Life Managed Balanced Growth Portfolio
ON
No
No
No
Sun Life Managed Balanced Portfolio
ON
No
No
No
Sun Life Managed Conservative Class
ON
No
No
No
Sun Life Managed Conservative Portfolio
ON
No
No
No
Sun Life Managed Enhanced Income Portfolio
ON
No
No
No
Sun Life Managed Growth Class
ON
No
No
No
Sun Life Managed Growth Portfolio
ON
No
No
No
Page 247 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Sun Life Managed Income Portfolio
ON
No
No
No
Sun Life Managed Moderate Class
ON
No
No
No
Sun Life Managed Moderate Portfolio
ON
No
No
No
Sun Life MFS Balanced Growth Fund
ON
No
No
No
Sun Life MFS Balanced Value Fund
ON
No
No
No
Sun Life MFS Canadian Bond Fund
ON
No
No
No
Sun Life MFS Canadian Equity Class
ON
No
No
No
Sun Life MFS Canadian Equity Fund
ON
No
No
No
Sun Life MFS Canadian Equity Growth Fund
ON
No
No
No
Sun Life MFS Canadian Equity Value Fund
ON
No
No
No
Sun Life MFS Dividend Income Class
ON
No
No
No
Sun Life MFS Dividend Income Fund
ON
No
No
No
Sun Life MFS Global Growth Class
ON
No
No
No
Sun Life MFS Global Growth Fund
ON
No
No
No
Sun Life MFS Global Total Return Fund
ON
No
No
No
Sun Life MFS Global Value Fund
ON
No
No
No
Sun Life MFS International Growth Class
ON
No
No
No
Sun Life MFS International Growth Fund
ON
No
No
No
Sun Life MFS International Value Fund
ON
No
No
No
Sun Life MFS Monthly Income Fund
ON
No
No
No
Sun Life MFS U.S. Equity Fund
ON
No
No
No
Sun Life MFS U.S. Growth Class
ON
No
No
No
Sun Life MFS U.S. Growth Fund
ON
No
No
No
Sun Life MFS U.S. Value Fund
ON
No
No
No
Sun Life Milestone 2020 Fund
ON
No
No
No
Sun Life Milestone 2025 Fund
ON
No
No
No
Sun Life Milestone 2030 Fund
ON
No
No
No
Sun Life Milestone 2035 Fund
ON
No
No
No
Sun Life Milestone Global Equity Fund
ON
No
No
No
Sun Life Money Market Class
ON
No
No
No
Sun Life Money Market Fund
ON
No
No
No
Sun Life NWQ Flexible Income Fund
ON
No
No
No
Sun Life Schroder Emerging Markets Fund
ON
No
No
No
Sun Life Sentry Conservative Balanced Fund
ON
No
No
No
Sun Life Sentry Global Mid Cap Fund
ON
No
No
No
Sun Life Sentry Infrastructure Fund
ON
No
No
No
Sun Life Sentry Value Class
ON
No
No
No
Sun Life Sentry Value Fund
ON
No
No
No
Sun Life Templeton Global Bond Fund
ON
No
No
No
Sun Valley Gold Mines Ltd.
BC
No
Yes
No
Page 248 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Sun Vans Industries Ltd.
BC
No
Yes
No
Sun-Gold Developments International
Corporation
BC
No
Yes
No
Sun-Times Media Group, Inc.
ON
Yes
No
No
Suncoast Petroleum Corporation
BC
No
Yes
No
Suncor Energy Inc.
AB
No
No
No
Sungold International Holdings Corp.
BC
No
Yes
No
Sunnyside Resources Ltd.
BC
No
Yes
No
SunOil Ltd.
BC
No
Yes
No
SunOpta Inc.
ON
No
No
No
Sunora Foods Inc.
ON
No
No
No
Sunridge Gold Corp.
BC
No
No
No
Sunrise Resources Ltd.
BC
No
No
No
Sunset Cove Mining Inc.
BC
No
No
No
Sunset Pacific Petroleum Ltd.
BC
No
No
No
Sunshine Agri-Tech Inc.
BC
No
No
No
Sunstone Opportunity (2006) Debenture Fund
BC
No
No
No
Sunstone Opportunity (2006) Realty Trust
BC
No
No
No
Sunstone Opportunity (2007) Mortgage Fund
BC
No
No
No
Sunstone Opportunity (2007) Realty Trust
BC
No
No
No
Sunstone Opportunity (2008) Realty Trust
BC
No
No
No
Sunstone Opportunity Fund (2005) Limited
Partnership
BC
No
No
No
Sunstone Opportunity Fund (2008) Limited
Partnership
BC
No
No
No
Sunstone U.S. (No. 2) L.P.
BC
No
No
No
Sunstone U.S. Opportunity (No. 2) Realty Trust BC
No
No
No
Sunstone U.S. Opportunity (No. 3) Realty Trust BC
No
No
No
Sunstone U.S. Opportunity (No. 4) Realty Trust BC
No
No
No
SunVault Energy, Inc.
BC
No
Yes
No
Sunwah International Limited
BC
No
No
No
Sunward Resources Ltd.
BC
No
No
No
Suparna Gold Corp.
BC
No
No
No
Super Nova Petroleum Corp.
BC
No
No
No
Superior Canadian Resources Inc.
AB
No
Yes
No
Superior Copper Corporation
ON
No
No
No
Superior Mining International Corporation
BC
No
Yes
No
Superior Plus Corp.
AB
No
No
No
Supreme Pharmaceuticals Inc.
BC
No
No
No
Supreme Resources Inc
BC
No
Yes
No
Supremex Inc.
QC
No
No
No
Page 249 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Suprex Energy Corporation
AB
No
Yes
No
SURE Print and Copy Centres, Inc.
AB
No
Yes
No
Surewin Resources Corp.
BC
No
Yes
No
Surge Energy Inc.
AB
No
No
No
Surrey Capital Corp.
ON
No
No
No
Sustainco Inc.
ON
No
No
No
Sutter Gold Mining Inc.
BC
No
No
No
Sweeprite Mfg. Inc.
SK
No
Yes
No
SweetrLife Technologies Inc.
BC
No
No
No
SWI Steelworks Inc.
BC
No
Yes
No
Swift Resources Inc.
BC
No
No
No
Swisher Hygiene Inc.
ON
No
No
No
Swisslink Financial Corporation
ON
No
Yes
No
Sxt Resources Ltd.
BC
No
Yes
No
Sycamore Entertainment Group, Inc.
BC
No
Yes
No
Sylogist Ltd.
AB
No
No
No
Sylvan Park Estates Limited Partnership
BC
No
Yes
No
Symax Lift (Holding) Co. Ltd.
BC
No
No
No
Symbility Solutions Inc.
ON
No
No
No
Symes Resources Ltd.
BC
No
Yes
No
Symmetry Balanced Portfolio
ON
No
No
No
Symmetry Balanced Portfolio Class
ON
No
No
No
Symmetry Canadian Bond Corporate Class
ON
No
No
No
Symmetry Canadian Bond Fund
ON
No
No
No
Symmetry Canadian Equity Fund
ON
No
No
No
Symmetry Conservative Income Portfolio
ON
No
No
No
Symmetry Conservative Income Portfolio Class ON
No
No
No
Symmetry Conservative Portfolio
ON
No
No
No
Symmetry Conservative Portfolio Class
ON
No
No
No
Symmetry Corporate Bond Corporate Class
ON
No
No
No
Symmetry EAFE Equity Fund
ON
No
No
No
Symmetry Emerging Markets Equity Corporate
ON
Class
No
No
No
Symmetry Equity Portfolio Class
ON
No
No
No
Symmetry Fixed Income Portfolio
ON
No
No
No
Symmetry Fixed Income Portfolio Class
ON
No
No
No
Symmetry Global Bond Corporate Class
ON
No
No
No
Symmetry Global Bond Fund
ON
No
No
No
Symmetry Global Equity Fund
ON
No
No
No
Symmetry Growth Portfolio
ON
No
No
No
Page 250 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Symmetry Growth Portfolio Class
ON
No
No
No
Symmetry Low Volatility Fund
ON
No
No
No
Symmetry Moderate Growth Portfolio
ON
No
No
No
Symmetry Moderate Growth Portfolio Class
ON
No
No
No
Symmetry U.S. Small Cap Equity Fund
ON
No
No
No
Symmetry US Equity Fund
ON
No
No
No
Symphony Floating Rate Senior Loan Fund
ON
No
No
No
Symplex Communications Corporation
BC
No
Yes
No
Synapse Software Inc.
BC
No
Yes
No
Synaptec, A Knowledge Engineering
Corporation
BC
No
Yes
No
Synergex Corporation
ON
No
Yes
No
Synergy American Corporate Class
ON
No
No
No
Synergy American Fund
ON
No
No
No
Synergy Canadian Corporate Class
ON
No
No
No
Synergy Global Corporate Class
ON
No
No
No
Synergy Renewable Resources Inc.
BC
No
Yes
No
Synergy Tactical Asset Allocation Fund
ON
No
No
No
Synex International Inc.
BC
No
No
No
Synodon Inc.
AB
No
No
No
Syntec Biofuel Inc.
BC
No
Yes
No
Syscan International Inc.
QC
No
Yes
No
Syspower Multimedia Industries Inc.
BC
No
Yes
No
Systematic Financial Corp.
BC
No
Yes
No
Systems Display International, Inc.
BC
No
Yes
No
T & W Financial Corporation
BC
No
Yes
No
T-Bird Pharma Inc.
BC
No
No
No
T.H.C. Medical Inc.
BC
No
Yes
No
T.I. Travel International Inc.
BC
No
Yes
No
T.M.T. Resources Inc.
BC
No
No
No
T.R.V. Minerals Corporation
BC
No
Yes
No
TAC Gold Corporation
BC
No
Yes
No
Tactex Controls Inc.
BC
No
Yes
No
TAD Mineral Exploration Inc.
BC
No
No
No
TAG Oil Ltd.
BC
No
No
No
TagLikeMe Corp.
BC
No
Yes
No
Tahera Diamond Corporation
ON
No
Yes
No
Tahiti Resort Hotels Ltd.
BC
No
Yes
No
Tahoe Resources Inc.
BC
No
No
No
Taiga Building Products Ltd.
BC
No
No
No
Page 251 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Taipan Resources Inc.
BC
No
No
No
Tajac Capital Inc.
BC
No
Yes
No
Tajee Resources Ltd.
BC
No
Yes
No
Tajiri Resources Corp.
BC
No
No
No
Tajzha Ventures Ltd.
AB
No
Yes
Yes
Takara Resources Inc.
ON
No
No
No
Takla Gold Mines Inc.
BC
No
Yes
No
Taku Gold Corp.
BC
No
No
No
Talborne Capital Corporation
BC
No
Yes
No
Talemon Investments Ltd.
BC
No
Yes
No
Talisman Energy Inc.
AB
No
No
No
Tallagium Corporation
AB
No
Yes
No
Tallgrass Energy Corp.
AB
No
Yes
No
Tallou Gold Corporation
BC
No
Yes
No
Tally-Ho Exploration Ltd.
BC
No
Yes
No
Talon Metals Corp.
ON
No
No
No
Talware Networx Inc.
ON
No
Yes
No
Tamarack Valley Energy Ltd.
AB
No
No
No
Tamerlane Ventures Inc.
BC
No
Yes
No
Tampico Capital Corporation
BC
No
Yes
No
Tanager Energy Inc.
AB
No
No
No
Tangerine Balanced Growth Portfolio
ON
No
No
No
Tangerine Balanced Income Portfolio
ON
No
No
No
Tangerine Balanced Portfolio
ON
No
No
No
Tangerine Equity Growth Portfolio
ON
No
No
No
Tango Mining Limited
BC
No
No
No
Tanqueray Exploration Ltd.
AB
No
No
No
Tantalex Resources Corporation
BC
No
Yes
No
Tanzania Minerals Corp.
BC
No
No
No
Tanzanian Royalty Exploration Corporation
ON
No
No
No
Tao Minerals Ltd.
BC
No
Yes
No
Tap Capital Corp.
BC
No
Yes
No
Tap Resources Inc.
BC
No
Yes
No
Tapango Resources Ltd.
BC
No
No
No
TapImmune Inc.
BC
No
Yes
No
Taranis Resources Inc.
BC
No
No
No
Targas Resources Inc.
BC
No
Yes
No
Target Capital Inc.
AB
No
No
No
Tarku Resources Ltd.
BC
No
No
No
Tarn Pure Technology Corp.
BC
No
Yes
No
Page 252 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Tarquin Group Inc.
ON
No
Yes
No
Tarsis Resources Ltd.
BC
No
No
No
Tartisan Resources Corp.
ON
No
No
No
Tasca Resources Ltd.
BC
No
No
No
Taseko Mines Limited
BC
No
No
No
Tasman Metals Ltd.
BC
No
No
No
Tatonka Energy, Inc.
BC
No
Yes
No
Taurus Footwear Inc.
BC
No
Yes
No
Tawsho Mining Inc.
ON
No
No
No
Taylor North American Equity Opportunities
Fund
ON
No
No
No
Tchaikazan Enterprises Inc.
BC
No
Yes
No
TCR Environmental Corp
ON
No
Yes
No
TCT Logistics Inc.
AB
No
Yes
No
TD Advantage Aggressive Growth Portfolio
ON
No
No
No
TD Advantage Balanced Growth Portfolio
ON
No
No
No
TD Advantage Balanced Income Portfolio
ON
No
No
No
TD Advantage Balanced Portfolio
ON
No
No
No
TD Advantage Growth Portfolio
ON
No
No
No
TD Asian Growth Class
ON
No
No
No
TD Asian Growth Fund
ON
No
No
No
TD Balanced Growth Fund
ON
No
No
No
TD Balanced Income Fund
ON
No
No
No
TD Balanced Index Fund
ON
No
No
No
TD Canadian Blue Chip Equity Class
ON
No
No
No
TD Canadian Blue Chip Equity Fund
ON
No
No
No
TD Canadian Bond Fund
ON
No
No
No
TD Canadian Bond Index Fund
ON
No
No
No
TD Canadian Core Plus Bond Fund
ON
No
No
No
TD Canadian Equity Class
ON
No
No
No
TD Canadian Equity Fund
ON
No
No
No
TD Canadian Equity Pool
ON
No
No
No
TD Canadian Equity Pool Class
ON
No
No
No
TD Canadian Index Fund
ON
No
No
No
TD Canadian Low Volatility Class
ON
No
No
No
TD Canadian Low Volatility Fund
ON
No
No
No
TD Canadian Low Volatility Pool
ON
No
No
No
TD Canadian Money Market Fund
ON
No
No
No
TD Canadian Small-Cap Equity Class
ON
No
No
No
TD Canadian Small-Cap Equity Fund
ON
No
No
No
Page 253 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
TD Canadian T-Bill Fund
ON
No
No
No
TD Canadian Value Class
ON
No
No
No
TD Canadian Value Fund
ON
No
No
No
TD Capital Trust III
ON
No
No
No
TD Capital Trust IV
ON
No
No
No
TD Comfort Aggressive Growth Portfolio
ON
No
No
No
TD Comfort Balanced Growth Portfolio
ON
No
No
No
TD Comfort Balanced Income Portfolio
ON
No
No
No
TD Comfort Balanced Portfolio
ON
No
No
No
TD Comfort Conservative Income Portfolio
ON
No
No
No
TD Comfort Growth Portfolio
ON
No
No
No
TD Corporate Bond Capital Yield Fund
ON
No
No
No
TD Corporate Bond Pool
ON
No
No
No
TD Diversified Monthly Income Fund
ON
No
No
No
TD Dividend Growth Class
ON
No
No
No
TD Dividend Growth Fund
ON
No
No
No
TD Dividend Income Class
ON
No
No
No
TD Dividend Income Fund
ON
No
No
No
TD Dow Jones Industrial Average Index Fund
ON
No
No
No
TD Emerald Balanced Fund
ON
No
No
No
TD Emerald Canadian Bond Index Fund
ON
No
No
No
TD Emerald Canadian Equity Index Fund
ON
No
No
No
TD Emerald Canadian Short Term Investment
Fund
ON
No
No
No
TD Emerald Canadian Treasury Management ON
Government of Canada Fund
No
No
No
TD Emerald Canadian Treasury Management
Fund
ON
No
No
No
TD Emerald International Equity Index Fund
ON
No
No
No
TD Emerald U.S. Market Index Fund
ON
No
No
No
TD Emerging Markets Class
ON
No
No
No
TD Emerging Markets Fund
ON
No
No
No
TD Emerging Markets Low Volatility Fund
ON
No
No
No
TD Energy Fund
ON
No
No
No
TD Entertainment & Communications Fund
ON
No
No
No
TD European Index Fund
ON
No
No
No
TD Fixed Income Pool
ON
No
No
No
TD FundSmart Managed Aggressive Growth
Portfolio
ON
No
No
No
TD FundSmart Managed Balanced Growth
Portfolio
ON
No
No
No
Page 254 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
TD FundSmart Managed Income & Moderate
Growth Portfolio
ON
No
No
No
TD FundSmart Managed Income Portfolio
ON
No
No
No
TD FundSmart Managed Maximum Equity
Growth Portfolio
ON
No
No
No
TD Global Bond Fund
ON
No
No
No
TD Global Equity Pool
ON
No
No
No
TD Global Equity Pool Class
ON
No
No
No
TD Global High Yield Capital Class
ON
No
No
No
TD Global Low Volatility Class
ON
No
No
No
TD Global Low Volatility Fund
ON
No
No
No
TD Health Sciences Fund
ON
No
No
No
TD High Yield Bond Fund
ON
No
No
No
TD Income Advantage Portfolio
ON
No
No
No
TD Income Opportunities Pool
ON
No
No
No
TD International Growth Class
ON
No
No
No
TD International Growth Fund
ON
No
No
No
TD International Index Currency Neutral Fund
ON
No
No
No
TD International Index Fund
ON
No
No
No
TD Japanese Growth Fund
ON
No
No
No
TD Japanese Index Fund
ON
No
No
No
TD Latin American Growth Fund
ON
No
No
No
TD Managed Aggressive Growth Portfolio
ON
No
No
No
TD Managed Balanced Growth Portfolio
ON
No
No
No
TD Managed Income & Moderate Growth
Portfolio
ON
No
No
No
TD Managed Income Portfolio
ON
No
No
No
TD Managed Index Aggressive Growth Portfolio ON
No
No
No
TD Managed Index Balanced Growth Portfolio
ON
No
No
No
TD Managed Index Income & Moderate Growth
ON
Portfolio
No
No
No
TD Managed Index Income Portfolio
ON
No
No
No
TD Managed Index Maximum Equity Growth
Portfolio
ON
No
No
No
TD Managed Maximum Equity Growth Portfolio ON
No
No
No
TD Monthly Income Fund
ON
No
No
No
TD Mortgage Fund
ON
No
No
No
TD Nasdaq Index Fund
ON
No
No
No
TD North American Dividend Fund
ON
No
No
No
TD Opportunities Pool
ON
No
No
No
TD Precious Metals Fund
ON
No
No
No
Page 255 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
TD Premium Money Market Fund
ON
No
No
No
TD Private Canadian Blue Chip Dividend Fund ON
No
No
No
TD Private Canadian Blue Chip Equity Fund
ON
No
No
No
TD Private Canadian Bond Income Fund
ON
No
No
No
TD Private Canadian Bond Return Fund
ON
No
No
No
TD Private Canadian Corporate Bond Fund
ON
No
No
No
TD Private Canadian Diversified Yield Fund
ON
No
No
No
TD Private Canadian Equity Plus Fund
ON
No
No
No
TD Private Canadian Strategic Opportunities
Fund
ON
No
No
No
TD Private Canadian Value Fund
ON
No
No
No
TD Private International Equity Fund
ON
No
No
No
TD Private International Stock Fund
ON
No
No
No
TD Private Target Return Fund
ON
No
No
No
TD Private Target Return Plus Fund
ON
No
No
No
TD Private U.S. Blue Chip Equity Currency
Neutral Fund
ON
No
No
No
TD Private U.S. Blue Chip Equity Fund
ON
No
No
No
TD Private U.S. Corporate Bond Fund
ON
No
No
No
TD Private U.S. Mid-Cap Equity Fund
ON
No
No
No
TD Real Return Bond Fund
ON
No
No
No
TD Resource Fund
ON
No
No
No
TD Retirement Balanced Portfolio
ON
No
No
No
TD Retirement Conservative Portfolio
ON
No
No
No
TD Risk Reduction Pool
ON
No
No
No
TD Science & Technology Fund
ON
No
No
No
TD Short Term Bond Fund
ON
No
No
No
TD Short Term Investment Class
ON
No
No
No
TD Split Inc.
ON
No
No
No
TD Strategic Yield Fund
ON
No
No
No
TD Tactical Monthly Income Class
ON
No
No
No
TD Tactical Monthly Income Fund
ON
No
No
No
TD Tactical Pool
ON
No
No
No
TD Tactical Pool Class
ON
No
No
No
TD Target Return Balanced Fund
ON
No
No
No
TD Target Return Conservative Fund
ON
No
No
No
TD U.S. Blue Chip Equity Fund
ON
No
No
No
TD U.S. Equity Currency Neutral Portfolio
ON
No
No
No
TD U.S. Equity Portfolio
ON
No
No
No
TD U.S. Index Currency Neutral Fund
ON
No
No
No
Page 256 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
TD U.S. Index Fund
ON
No
No
No
TD U.S. Low Volatility Fund
ON
No
No
No
TD U.S. Mid-Cap Growth Class
ON
No
No
No
TD U.S. Mid-Cap Growth Fund
ON
No
No
No
TD U.S. Money Market Fund
ON
No
No
No
TD U.S. Monthly Income Fund
ON
No
No
No
TD U.S. Monthly Income Fund - C$
ON
No
No
No
TD U.S. Quantitative Equity Fund
ON
No
No
No
TD U.S. Small-Cap Equity Fund
ON
No
No
No
TD Ultra Short Term Bond Fund
ON
No
No
No
TDb Split Corp.
ON
No
No
No
Teal Industries Ltd.
BC
No
Yes
No
TearLab Corporation
ON
No
No
No
Tearlach Resources Limited
BC
No
No
No
Tec Technolog Enterprises Corporation
BC
No
Yes
No
Tech Leaders Income Fund
ON
No
No
No
Techbyte International Inc.
BC
No
Yes
No
TechCana Inc.
QC
No
Yes
No
Techniscope Development Corporation
BC
No
Yes
No
Teck Resources Limited
BC
No
No
No
Tecsys Inc.
QC
No
No
No
Tee-Comm Electronics Inc.
BC
No
Yes
No
Tegl Systems Corporation
BC
No
Yes
No
Tek-Net International (Canada) Ltd.
BC
No
Yes
No
Tekmira Pharmaceuticals Corporation
BC
No
No
No
Teldar Resources Corp.
BC
No
No
No
Tele-FIND Technologies Corp.
ON
No
Yes
No
Tele-Radio Systems Limited
BC
No
Yes
No
Teleglobe Inc.
QC
No
Yes
No
Teleguard Systems International Inc.
BC
No
Yes
No
Telehop Communications Inc.
ON
No
No
No
Telepost Communications Inc
BC
No
Yes
No
Telescene Film Group Inc.
QC
No
Yes
No
Telesis North Communications Inc.
BC
No
Yes
No
Telesta Therapeutics Inc.
ON
No
No
No
Telferscot Resources Inc.
ON
No
No
No
Teliphone Corp.
BC
No
Yes
No
Tellza Communications Inc.
ON
No
No
No
Telson Resources Inc.
BC
No
No
No
Telum International Corporation
ON
No
Yes
No
Page 257 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Telus Communications Inc.
BC
No
No
No
Telus Corporation
BC
No
No
No
Tembec Inc.
QC
No
No
No
Tembo Gold Corp.
ON
No
No
No
Temex Resources Corp.
ON
No
No
No
Templar Mining Corporation
BC
No
Yes
No
Temple Hotels Inc.
MB
No
No
No
Templeton Asian Growth Corporate Class
ON
No
No
No
Templeton Asian Growth Fund
ON
No
No
No
Templeton BRIC Corporate Class
ON
No
No
No
Templeton Canadian Balanced Fund
ON
No
No
No
Templeton Canadian Stock Corporate Class
ON
No
No
No
Templeton Canadian Stock Fund
ON
No
No
No
Templeton EAFE Developed Markets Fund
ON
No
No
No
Templeton Emerging Markets Corporate Class ON
No
No
No
Templeton Emerging Markets Fund
ON
No
No
No
Templeton Frontier Markets Corporate Class
ON
No
No
No
Templeton Frontier Markets Fund
ON
No
No
No
Templeton Global Balanced Fund
ON
No
No
No
Templeton Global Bond Fund
ON
No
No
No
Templeton Global Bond Fund (Hedged)
ON
No
No
No
Templeton Global Smaller Companies
Corporate Class
ON
No
No
No
Templeton Global Smaller Companies Fund
ON
No
No
No
Templeton Growth Corporate Class
ON
No
No
No
Templeton Growth Fund, Ltd.
ON
No
No
No
Templeton International Stock Corporate Class ON
No
No
No
Templeton International Stock Fund
ON
No
No
No
Tempus Capital Inc.
ON
No
No
No
Ten Peaks Coffee Company Inc.
BC
No
No
No
Tenacity Resources Corp.
BC
No
Yes
No
Tenquille Resources Ltd.
BC
No
Yes
No
TER Thermal Retrieval Systems Ltd.
QC
No
Yes
No
Terago Inc.
ON
No
No
No
Teranga Gold Corporation
ON
No
No
No
Teras Resources Inc.
AB
No
No
No
Terato Resources Ltd.
BC
No
Yes
No
Terminal City Capital Inc.
BC
No
Yes
No
Terra Energy Corp.
AB
No
No
No
Terra Firma Capital Corporation
ON
No
No
No
Page 258 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Terra Inventions Corp.
BC
No
Yes
No
Terra Mannix Incorporated
AB
No
Yes
No
Terra Mines Ltd.
BC
No
Yes
No
Terra Nova Energy Ltd.
BC
No
No
No
Terrabiogen Technologies Inc.
BC
No
No
No
Terracamp Developments Ltd.
BC
No
Yes
No
Terrace Energy Corp.
BC
No
No
No
Terraco Gold Corp.
BC
No
No
No
Terradyne Energy Corporation
AB
No
Yes
No
Terramar Resource Corporation
BC
No
Yes
No
Terramin Mining Inc.
BC
No
Yes
No
Terrastar Development Corporation
BC
No
Yes
No
TerraVest Capital Inc.
AB
No
No
No
Terrawest Industries Inc.
BC
No
Yes
No
TerraX Minerals Inc.
BC
No
No
No
Terreno Resources Corp.
BC
No
No
No
Teryl Resources Corp.
BC
No
No
No
Tesco Corporation
AB
No
No
No
Tesla Exploration Ltd.
AB
No
No
No
Teslin River Resources Corp.
BC
No
No
No
Tesoro Minerals Corp.
BC
No
No
No
Tethys Petroleum Limited
AB
No
No
No
Teton Energy Corporation
ON
No
Yes
No
Tetratel Inc.
AB
No
Yes
No
Teuton Resources Corp.
BC
No
No
No
Tevana Traders Corp.
BC
No
Yes
No
TG Income Trust II
BC
No
No
No
TG Residential Value Properties Ltd.
BC
No
Yes
No
The Alliance Enterprise Corporation
BC
No
Yes
No
The Art Vault International Limited
ON
No
Yes
No
The Balmoral Club Limited Partnership
BC
No
Yes
No
The Caldwell Partners International Inc.
ON
No
No
No
The Canada Life Assurance Company
ON
No
No
No
The Canadian Bioceutical Corporation
ON
No
No
No
The Canadian Shield Fund
ON
No
No
No
The CanFibre Group Ltd.
BC
No
Yes
No
The Cash Store Australia Holdings Inc.
AB
No
Yes
No
The Cash Store Financial Services Inc.
AB
No
Yes
No
The Chancellor Group Ltd.
BC
No
Yes
No
Page 259 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
The Children's Educational Foundation Of
Canada
ON
No
No
No
The Cross Winds Apartment Project
MB
No
No
No
The Descartes Systems Group Inc.
ON
No
No
No
The Futures Dimension Fund
BC
No
Yes
No
The GBC American Growth Fund Inc.
QC
No
No
No
The GBC Canadian Bond Fund
QC
No
No
No
The GBC Canadian Growth Fund
QC
No
No
No
The GBC Growth and Income Fund
QC
No
No
No
The GBC International Growth Fund
QC
No
No
No
The GBC Money Market Fund
QC
No
No
No
The Global Housing Group
BC
No
Yes
No
The Golden Shamrock Resources Corp.
BC
No
Yes
No
The Helical Corporation Inc.
NS
No
Yes
No
The Hello Channel Inc.
BC
No
Yes
No
The Ideal Group Of Companies Inc.
BC
No
Yes
No
The Intertain Group Limited
ON
No
No
No
The Jean Coutu Group (PJC) Inc.
QC
No
No
No
The Jenex Corporation
ON
No
No
No
The Keg Royalties Income Fund
BC
No
No
No
The Lodge at Kananaskis Limited Partnership
ON
No
No
No
The Loewen Group Inc
BC
No
Yes
No
The Lonsdale Tactical Balanced Portfolio
ON
No
No
No
The Lonsdale Tactical Growth Portfolio
ON
No
No
No
The Lonsdale Tactical Yield Portfolio
ON
No
No
No
The Maestral Group Inc.
BC
No
Yes
No
The Manufacturers Life Insurance Company
ON
No
No
No
The Medipattern Corporation
ON
No
Yes
No
The Millennium Network Corporation
BC
No
Yes
No
The Mint Corporation
ON
No
No
No
The Mosport Park Entertainment Corporation
BC
No
Yes
No
The Mountain Inn at Ribbon Creek Limited
Partnership
ON
No
No
No
The North West Company Inc.
MB
No
No
No
The Now Corporation
BC
No
Yes
No
The Opimian California Vineyards Corporation
BC
No
Yes
No
The Pacific Northwest Herb Corporation
BC
No
Yes
No
The Phoenician Fund Corporation I
ON
No
Yes
No
The Saucy Bread Company Inc.
AB
No
Yes
No
The Seasons Apartments Limited Partnership
BC
No
Yes
No
Page 260 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
The Second Cup Ltd.
ON
No
No
No
The Shield Development Company Limited
BC
No
Yes
No
The Shores Limited Partnership
BC
No
Yes
No
The Silver Recycling Company Inc.
BC
No
Yes
No
The Song Corporation
ON
No
Yes
No
The Spice Depot, Inc.
BC
No
Yes
No
The Stratas Corporation Ltd.
BC
No
Yes
No
The Summit 2-B Limited Partnership
BC
No
Yes
No
The Summit Limited Partnership
MB
No
Yes
No
The Toronto-Dominion Bank
ON
No
No
No
The Van Diemen's Company Ltd.
BC
No
Yes
No
The Versatech Group Inc.
ON
No
Yes
No
The Westaim Corporation
ON
No
No
No
The Winchester Group Inc.
ON
No
Yes
No
The Zone Entertainment Group, Inc.
BC
No
Yes
No
Theia Resources Ltd.
BC
No
No
No
Thelon Capital Ltd.
BC
No
No
No
Thelon Diamonds Ltd.
BC
No
No
No
Themac Resources Group Limited
BC
No
No
No
Theralase Technologies Inc.
ON
No
No
No
Theratechnologies Inc.
QC
No
No
No
Thermal Control Technologies Corp.
AB
No
Yes
No
Thermal Energy International Inc.
ON
No
No
No
Thermax International Corp.
AB
No
Yes
No
Thermo Tech Technologies Inc.
BC
No
Yes
No
ThermoCeramix Corporation
ON
No
No
No
Theron Resource Group
BC
No
Yes
No
theScore, Inc.
ON
No
No
No
Third Cgi Mutualization Corporation
BC
No
Yes
No
Thirteen Mile Gold Ltd.
BC
No
Yes
No
Thistle Mining Inc.
ON
No
Yes
No
Thitec Recovery Systems Limited
BC
No
Yes
No
Thompson Creek Metals Company Inc.
BC
No
No
No
Thomson Gold Co. Ltd.
BC
No
Yes
No
Thomson Reuters Corporation
ON
No
No
No
Thor Explorations Ltd.
BC
No
No
No
Threegold Resources Inc.
QC
No
Yes
No
Thunder Mountain Gold, Inc.
BC
No
No
No
Thunderbird Development Corp.
BC
No
Yes
No
Thunderbird Resorts, Inc.
BC
No
No
No
Page 261 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Thundermin Resources Inc.
ON
No
No
No
Thunderstruck Resources Ltd.
BC
No
No
No
Tiara Enterprises Ltd.
BC
No
Yes
No
Tierra Grande Resources Inc.
BC
No
No
No
Tiffany Resources Inc.
BC
No
Yes
No
Tiger International Resources Inc.
BC
Yes
No
No
Till Capital Ltd.
BC
No
No
No
Tiller Resources Ltd.
BC
No
No
No
Tillicum Industries Ltd.
BC
No
Yes
No
Tilting Capital Corp.
AB
No
No
No
Tim Hortons ULC
ON
No
No
No
Timbercreek Global Real Estate Fund
ON
No
No
No
Timbercreek Mortgage Investment Corporation ON
No
No
No
Timbercreek Senior Mortgage Investment
Corporation
ON
No
No
No
Timbercreek U.S. Multi-Residential Opportunity
ON
Fund #1
No
No
No
Timberline Resources Corporation
BC
No
No
No
Times Telecom Inc.
BC
No
Yes
No
Times Three Wireless Inc.
AB
No
Yes
No
Timminco Limited
ON
No
Yes
No
Timmins Gold Corp.
BC
No
No
No
Tinka Resources Limited
BC
No
No
No
Tinkerine Studios Ltd.
BC
No
No
No
Tintina Mines Limited
ON
No
No
No
Tintina Resources Inc.
BC
No
No
No
TIO Networks Corp.
BC
No
No
No
Tirex Resources Ltd.
BC
No
No
No
TIS Preservation & Growth Fund
ON
No
No
No
Titan Digital Corporation
AB
No
Yes
No
Titan Logix Corp.
AB
No
No
No
Titan Medical Inc.
ON
No
No
No
Titan Trading Analytics Inc.
AB
No
Yes
No
Titanium Corporation Inc.
AB
No
No
No
TitanStar Properties Inc.
BC
No
No
No
Titus Energy Corp.
BC
No
No
No
TLC Vision Corporation
ON
No
Yes
No
TLO Capital Corp.
BC
No
No
No
TMI - Learnix Inc.
ON
No
Yes
No
TMI Technology Inc.
AB
No
Yes
No
Page 262 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
TMX Group Limited
ON
No
No
No
TNR Gold Corp.
BC
No
No
No
Tokyo Trading Ltd.
BC
No
Yes
No
Tolima Gold Inc.
ON
No
No
No
TomaGold Corporation
QC
No
No
No
Tomahawk Corporation
AB
No
Yes
No
Tomco Developments Inc.
BC
No
Yes
No
Top 10 Canadian Financial Trust
ON
No
No
No
Top 10 Split Trust
ON
No
No
No
Top 20 Dividend Trust
ON
No
No
No
Top 20 Europe Dividend Trust
ON
No
No
No
Top 20 U.S. Dividend Trust
ON
No
No
No
Top Strike Resources Corp.
AB
No
No
No
Toptent inc.
QC
No
Yes
No
Tor-Cal Resources Limited
BC
No
Yes
No
TORC Oil & Gas Ltd.
AB
No
No
No
Torex Gold Resources Inc.
ON
No
No
No
Torino Oil & Gas Limited
AB
No
Yes
No
Tornado Gold International Corporation
BC
No
Yes
No
Tornado Resources Ltd.
AB
No
Yes
No
Toro Oil & Gas Ltd.
AB
No
No
No
Toro Resources Corp.
BC
No
No
No
Toromont Industries Ltd.
ON
No
No
No
Toronto Hydro Corporation
ON
No
No
No
Torstar Corporation
ON
No
No
No
Tosca Resources Corp.
BC
No
No
No
Toscana Energy Income Corporation
AB
No
No
No
Total Energy Services Inc.
AB
No
No
No
Total Image Capital Corp.
BC
No
Yes
No
Total Telcom Inc.
BC
No
No
No
Totally Hip Technologies Inc.
BC
No
No
No
Touchpoint Metrics, Inc.
BC
No
No
No
Touchstone Exploration Inc.
AB
No
No
No
Touchstone Gold Limited
ON
No
Yes
No
Tourmaline Oil Corp.
AB
No
No
No
Tower Resources Ltd.
BC
No
No
No
Toxin Alert Inc.
ON
No
Yes
No
Trac Industries Inc.
BC
No
Yes
No
Tracan Oil & Gas Ltd.
BC
No
Yes
No
TraceAbility Solutions Inc.
AB
No
Yes
No
Page 263 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Tracker Software International Inc.
BC
No
Yes
No
Trade Wind Communications Limited
BC
No
Yes
Yes
Tradex Bond Fund
ON
No
No
No
Tradex Equity Fund Limited
ON
No
No
No
Tradex Global Equity Fund
ON
No
No
No
Trafina Energy Ltd.
AB
No
Yes
No
Trans Atlantic Enterprises Inc.
BC
No
Yes
No
Trans Québec & Maritimes Pipeline Inc.
QC
No
No
No
Trans World Biotech Inc.
BC
No
Yes
No
TransAct Energy Corp.
BC
No
Yes
No
TransAKT Ltd.
AB
No
Yes
No
TransAlta Corporation
AB
No
No
No
TransAlta Renewables Inc.
AB
No
No
No
TransAmerican Energy Inc.
BC
No
No
No
Transat A.T. Inc.
QC
No
No
No
Transatlantic Mining Corp.
BC
No
No
No
TransAtlantic Petroleum Ltd.
AB
No
No
No
TransCanada Corporation
AB
No
No
No
TransCanada PipeLines Limited
AB
No
No
No
Transcontinental Inc.
QC
No
No
No
Transeastern Power Trust
ON
No
No
No
TransEuro Energy Corp.
AB
No
Yes
No
Transforce Inc.
QC
No
No
No
TransGaming Inc.
ON
No
No
No
TransGlobe Apartment Real Estate Investment
ON
Trust
No
No
No
TransGlobe Energy Corporation
AB
No
No
No
TransGlobe Internet and Telecom Co., Ltd.
BC
No
Yes
No
Transition Metals Corp.
ON
No
No
No
Transition Therapeutics Inc.
ON
No
No
No
Transmedica Enterprises Inc.
BC
No
Yes
No
Transnational Marketing Inc.
BC
No
Yes
No
Transpacific Resources Inc.
ON
No
Yes
No
Trapeze Value Class
ON
No
No
No
Trapper Resources Ltd.
BC
No
Yes
No
Trasco Wind-Force Technologies Incorporated BC
No
Yes
No
Travelbyus.com Ltd.
BC
No
Yes
No
Traverse Energy Ltd.
AB
No
No
No
Treasure Island Resources Corporation
BC
No
Yes
No
Treasury Metals Inc.
ON
No
No
No
Page 264 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Tree Brewing Company Ltd.
BC
No
Yes
No
Tree Island Steel Ltd.
BC
No
No
No
Trellis Technology Corporation
BC
No
No
No
Trend Vision Technologies, Inc.
BC
No
Yes
No
Tres-Or Resources Ltd.
BC
No
No
No
Tresoro Mining Corp.
BC
No
Yes
No
Trevali Mining Corporation
BC
No
No
No
Trex Acquisition Corp.
BC
No
Yes
No
Trez Capital Mortgage Investment Corporation
BC
No
No
No
Trez Capital Senior Mortgage Investment
Corporation
BC
No
No
No
TRI Communication Solutions, Inc.
BC
No
Yes
No
Tri Origin Exploration Ltd.
ON
No
No
No
Tri-River Ventures Inc.
BC
No
No
No
Tri-Star Gold Corp.
BC
No
Yes
No
Tri-Star Resources plc
ON
No
No
No
Tri-State Resources Ltd.
BC
No
Yes
No
Tri-X International Ltd.
BC
No
Yes
No
Triactor Resources Corporation
BC
No
Yes
No
Triangle Industries Ltd.
BC
No
No
No
Triangulum Corporation
AB
No
Yes
No
Triarc Corporation Limited
BC
No
Yes
No
Triarx Gold Corporation
ON
No
Yes
No
Triax Diversified High-Yield Trust
ON
No
No
No
Tribute Pharmaceuticals Canada Inc.
ON
No
No
No
Tribute Resources Inc.
ON
No
No
No
Trican Well Service Ltd.
AB
No
No
No
Tricon Capital Group Inc.
ON
No
No
No
Trident Gold Corp.
ON
No
No
No
Trident Performance Corp.
ON
No
No
No
Trident Performance Corp. II
ON
No
No
No
Trigen Resources Inc.
BC
No
No
No
Trigold Resources Inc.
BC
No
No
No
Trigon Technologies Inc.
BC
No
Yes
No
Trihawk Mining Inc.
BC
No
Yes
No
Trilogy Energy Corp.
AB
No
No
No
Trimac Transportation Ltd.
AB
No
No
No
Trimark Advantage Bond Fund
ON
No
No
No
Trimark Canadian Bond Class
ON
No
No
No
Trimark Canadian Bond Fund
ON
No
No
No
Page 265 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Trimark Canadian Class
ON
No
No
No
Trimark Canadian Endeavour Fund
ON
No
No
No
Trimark Canadian Fund
ON
No
No
No
Trimark Canadian Opportunity Class
ON
No
No
No
Trimark Canadian Plus Dividend Class
ON
No
No
No
Trimark Canadian Small Companies Fund
ON
No
No
No
Trimark Diversified Income Class
ON
No
No
No
Trimark Diversified Yield Class
ON
No
No
No
Trimark Emerging Markets Class
ON
No
No
No
Trimark Energy Class
ON
No
No
No
Trimark Europlus Fund
ON
No
No
No
Trimark Floating Rate Income Fund
ON
No
No
No
Trimark Fund
ON
No
No
No
Trimark Global Balanced Class
ON
No
No
No
Trimark Global Balanced Fund
ON
No
No
No
Trimark Global Dividend Class
ON
No
No
No
Trimark Global Endeavour Class
ON
No
No
No
Trimark Global Endeavour Fund
ON
No
No
No
Trimark Global Fundamental Equity Class
ON
No
No
No
Trimark Global Fundamental Equity Fund
ON
No
No
No
Trimark Global High Yield Bond Fund
ON
No
No
No
Trimark Global Small Companies Class
ON
No
No
No
Trimark Government Plus Income Fund
ON
No
No
No
Trimark Income Growth Fund
ON
No
No
No
Trimark Interest Fund
ON
No
No
No
Trimark International Companies Class
ON
No
No
No
Trimark International Companies Fund
ON
No
No
No
Trimark North American Endeavour Class
ON
No
No
No
Trimark Resources Fund
ON
No
No
No
Trimark Select Balanced Fund
ON
No
No
No
Trimark U.S. Companies Class
ON
No
No
No
Trimark U.S. Companies Fund
ON
No
No
No
Trimark U.S. Money Market Fund
ON
No
No
No
Trimark U.S. Small Companies Class
ON
No
No
No
Trimel Pharmaceuticals Corporation
ON
No
No
No
TriMetals Mining Inc.
BC
No
No
No
TrinCan Capital Corp.
AB
No
No
No
TriNexus Holdings Ltd.
SK
No
Yes
No
Trinidad Drilling Ltd.
AB
No
No
No
Trinity Intercontinental Ventures Corp.
BC
No
No
No
Page 266 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Trinity Valley Energy Corp.
BC
No
No
No
Trio Gold Corp.
AB
No
No
No
Triox Limited
AB
No
No
No
TriStar Gold Inc.
BC
No
No
No
TriTec Power Systems Ltd.
ON
No
Yes
No
Triton Emission Solutions Inc.
BC
No
No
No
Triumph Ventures II Corporation
ON
No
Yes
No
Triune Resources
BC
No
Yes
No
Trius Investment Inc.
NB
No
No
No
Tropika International Limited
ON
No
Yes
No
Troy Energy Corp.
BC
No
No
No
Troy Resources Limited
BC
No
No
No
Troymet Exploration Corp.
BC
No
No
No
True 2 Beauty Inc
BC
No
Yes
No
True Gold Mining Inc.
BC
No
No
No
True Grit Resources Ltd.
BC
No
No
No
True North Apartment Real Estate Investment
Trust
ON
No
No
No
True North Commercial Real Estate Investment
ON
Trust
No
No
No
True North Film And Video Productions Inc.
BC
No
Yes
No
True North Gems Inc.
BC
No
No
No
True Zone Resources Inc.
BC
No
No
No
Trueclaim Exploration Inc.
BC
No
No
No
TrueStar Petroleum Corporation
BC
No
Yes
Yes
Trumph Resources Corp.
BC
No
Yes
No
Trustcash Holdings, Inc.
BC
No
Yes
No
Trylox Environmental Corporation
BC
No
Yes
No
Tsi Telsys Corporation
BC
No
Yes
No
TSO3 Inc.
QC
No
No
No
Tsodilo Resources Limited
ON
No
No
No
TTC Technology Corp.
BC
No
Yes
No
Tti Telephone Technologies Inc.
BC
No
Yes
No
TTM Resources Inc.
BC
No
Yes
No
Tuckamore Capital Management Inc.
ON
No
No
No
Tuco Energy Corporation
BC
No
Yes
No
Tucows Inc.
ON
No
No
No
Tudor Corporation Ltd.
AB
No
No
No
Tulloch Resources Ltd.
BC
No
No
No
Tumi Resources Limited
BC
No
No
No
Page 267 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Tundra Environmental Corporation Limited
BC
No
Yes
No
Tundra Gold Mines Limited
BC
No
Yes
No
Turbo Capital Inc.
BC
No
No
No
Turbo Power Systems Inc.
ON
No
No
No
Turner Valley Oil & Gas, Inc.
BC
No
Yes
No
Turnkey E&P Inc.
AB
No
Yes
No
TURQUOISE CAPITAL CORP
BC
No
No
No
Turquoise Hill Resources Ltd.
BC
No
No
No
Tuscany Energy Ltd.
AB
No
No
No
Tuscany Minerals Ltd
BC
No
No
No
TVA Group Inc.
QC
No
No
No
TVI Pacific Inc.
AB
No
No
No
TWC Enterprises Limited
ON
No
No
No
Tweed Marijuana Inc.
ON
No
No
No
Twin Butte Energy Ltd.
AB
No
No
No
Twin Richfield Oils Ltd.
BC
No
Yes
No
Twin Tires Systems Inc.
AB
No
Yes
No
Twoco Petroleums Ltd.
AB
No
Yes
No
Twyford Ventures Inc.
BC
No
No
No
Tyco International Ltd.
ON
No
No
No
Tyhee Gold Corp.
BC
No
No
No
Tyner Resources Ltd.
BC
No
No
No
Typhoon Exploration Inc.
QC
No
No
No
U.F.X. Enterprises Inc.
AB
No
Yes
No
U.S Dividend Class (GWLIM)
ON
No
No
No
U.S. Agency Mortgage-Backed REIT
Advantaged Fund
ON
No
No
No
U.S. Ammunition Company Ltd.
BC
No
Yes
No
U.S. and International Equity Class
ON
No
No
No
U.S. and International Specialty Class
ON
No
No
No
U.S. Diamond Corp.
BC
No
Yes
No
U.S. Dollar Cash Management Fund
ON
No
No
No
U.S. Geothermal Inc.
BC
No
No
No
U.S. High Yield Bond Fund
ON
No
No
No
U.S. Housing Recovery Fund
ON
No
No
No
U.S. Large Cap Synthetic Fund
ON
No
No
No
U.S. Large Company Equity Fund
ON
No
No
No
U.S. Long Distance Corp.
BC
No
Yes
No
U.S. Silver & Gold Inc.
ON
No
No
No
U.S. Silver Corporation
ON
No
No
No
Page 268 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
U.S. Small Company Equity Fund
ON
No
No
No
U.S. Technology Gorilla RSP Fund
ON
No
Yes
No
U.S. Value Class (Eaton Vance)
ON
No
No
No
U.S. Value Fund (London Capital)
ON
No
No
No
U.T. Technologies Limited
BC
No
Yes
No
U3O8 Corp.
ON
No
No
No
Ubiquitech Software Corp.
BC
No
Yes
No
UBS (Canada) American Equity Fund
ON
No
No
No
UBS (Canada) Global Allocation Fund
ON
No
No
No
UC Resources Ltd.
BC
No
No
No
Ucore Rare Metals Inc.
NS
No
No
No
UCP Holdings, Inc.
BC
No
Yes
No
UEX Corporation
BC
No
No
No
UGE International Ltd.
ON
No
No
No
Ultra Lithium Inc.
BC
No
No
No
Ultra Petroleum Corp.
AB
No
No
No
Ultra Resources Corp.
BC
No
No
No
Ultravision Corporation
QC
No
Yes
No
Umbertino's Restaurants Inc.
BC
No
Yes
No
Umbral Energy Corp.
BC
No
No
No
Underground Energy Corporation
BC
No
Yes
Yes
Uni-Globe International Energy Corporation
BC
No
Yes
No
Uni-Sélect Inc.
QC
No
No
No
Uniglobe.com Inc.
BC
No
Yes
No
Unigold Inc.
ON
No
No
No
Unilens Vision Inc.
BC
No
No
No
UniLink Tele.com Inc.
BC
No
Yes
No
Union Gas Limited
ON
No
No
No
UnionTown Energy Inc.
BC
No
Yes
No
Unique Broadband Systems, Inc.
ON
No
No
No
Unique Resources Corp.
BC
No
No
No
Unirex Corporation
BC
No
Yes
No
Unirom Technologies Inc.
ON
No
Yes
No
Uniserve Communications Corporation
BC
No
No
No
Unisphere Waste Conversion Ltd.
ON
No
Yes
No
Unisync Corp.
BC
No
No
No
Unitec International Controls Corporation
BC
No
Yes
No
United America eHealth Technologies Inc.
BC
No
Yes
No
United Beverages Limited
BC
No
Yes
No
Page 269 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
United China International Enterprises Group
Ltd.
BC
No
Yes
No
United Coal Holdings Limited
BC
No
No
No
United Collision Centres Of America, Inc.
BC
No
Yes
No
United Digital Network, Inc.
BC
No
Yes
No
United Global Petroleum Inc.
BC
No
Yes
No
United Gunn Resources Ltd.
BC
No
Yes
No
United Hearne Resources Ltd. ( N.P.L )
BC
No
Yes
No
United Hi-Tech Inc.
BC
No
Yes
No
United Hunter Oil and Gas Corp.
BC
No
No
No
United Industrial Services Ltd.
AB
No
Yes
No
United Keno Hill Mines Limited
ON
No
Yes
No
United Kingdom Energy Inc.
BC
No
Yes
No
United Liberty Financial Corporation
BC
No
Yes
No
United Media Limited
BC
No
Yes
No
United Mining Corporation
BC
No
Yes
No
United Pacific Capital Corporation
BC
No
Yes
No
United Pacific Gold Limited
BC
No
Yes
No
United Protection Security Group Inc.
AB
No
Yes
No
United Silver Corp.
BC
No
Yes
No
United Tire (&) Rubber Co. Limited
BC
No
Yes
No
Unity Energy Corp.
BC
No
No
No
Unity Wireless Corporation
BC
No
Yes
No
Universal Library Systems (International) Ltd.
BC
No
Yes
No
Universal Potash Corp.
BC
No
Yes
No
Universal Pre-Vent Inc.
BC
No
Yes
No
Universal Ventures Inc.
BC
No
No
No
Upland Global Corporation
QC
No
Yes
No
Upper Canyon Minerals Corp.
BC
No
Yes
No
UpSnap, Inc.
ON
No
No
No
UR-Energy Inc.
ON
No
No
No
Uracan Resources Ltd.
BC
No
No
No
Uragold Bay Resources Inc.
QC
No
No
No
Uranerz Energy Corporation
ON
No
No
No
Uranium Energy Corp.
BC
No
No
No
Uranium One Inc.
ON
No
No
No
Uranium Participation Corporation
ON
No
No
No
Uranium Standard Resources Ltd.
BC
No
No
No
Uranium Valley Mines Ltd.
QC
No
No
No
Uravan Minerals Inc.
AB
No
No
No
Page 270 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Urban Barns Foods Inc.
BC
No
No
No
Urban Communications Inc.
BC
No
No
No
Urban Select Capital Corporation
BC
No
No
No
Urbana Corporation
ON
No
No
No
Urbanfund Corp.
ON
No
No
No
Urbanimmersive Technologies Inc.
QC
No
No
No
UrtheCast Corp.
BC
No
No
No
US Equity Alpha Corporate Class
ON
No
No
No
US Equity Growth Corporate Class
ON
No
No
No
US Equity Growth Pool
ON
No
No
No
US Equity Small Cap Corporate Class
ON
No
No
No
US Equity Small Cap Pool
ON
No
No
No
US Equity Value Corporate Class
ON
No
No
No
US Equity Value Currency Hedged Corporate
Class
ON
No
No
No
US Equity Value Pool
ON
No
No
No
US Financial 15 Split Corp.
ON
No
No
No
US Financials Income Fund
ON
No
No
No
US Oil Sands Inc.
AB
No
No
No
Usv International Investment Corporation
BC
No
Yes
No
Utility Corp.
ON
No
No
No
Utility Split Trust
ON
No
No
No
UWO Consulting Ltd.
BC
No
No
No
V-Tech Diagnostics (Canada) Inc.
BC
No
Yes
No
Valar Resources Ltd.
BC
No
Yes
No
Valdor Technology International Inc.
BC
No
No
No
Valeant Pharmaceuticals International, Inc.
QC
No
No
No
Valencia Ventures Inc.
ON
No
No
No
Valener Inc.
QC
No
No
No
Valero Energy Corporation
ON
No
No
No
Valeura Energy Inc.
AB
No
No
No
ValGold Resources Ltd.
BC
No
No
No
Valhalla Resources Ltd.
BC
No
Yes
No
VALIANT MINERALS LTD.
BC
No
No
No
Valor Energy Corp
BC
No
Yes
No
Valor Ventures Inc.
BC
No
No
No
Valparaiso Energy Inc.
AB
No
No
No
Valterra Resource Corporation
BC
No
No
No
Valucap Investments Inc.
ON
No
Yes
No
Vampt America, Inc.
BC
No
Yes
No
Page 271 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Van Tak Capital Corp.
BC
No
Yes
No
Vanadiumcorp Resource Inc.
BC
No
No
No
Vanc Pharmaceuticals Inc.
BC
No
No
No
Vancord Capital Inc.
BC
No
Yes
No
Vangold Resources Ltd.
BC
No
No
No
Vanguard Aviation Corp.
AB
No
Yes
No
Vanguard Canadian Aggregate Bond Index
ETF
ON
No
No
No
Vanguard Canadian Short-Term Bond Index
ETF
ON
No
No
No
Vanguard Canadian Short-Term Corporate
Bond Index ETF
ON
No
No
No
Vanguard FTSE All-World ex Canada Index
ETF
ON
No
No
No
Vanguard FTSE Canada All Cap Index ETF
ON
No
No
No
Vanguard FTSE Canada Index ETF
ON
No
No
No
Vanguard FTSE Canadian Capped REIT Index
ON
ETF
No
No
No
Vanguard FTSE Canadian High Dividend Yield
ON
Index ETF
No
No
No
Vanguard FTSE Developed Asia Pacific Index
ETF
ON
No
No
No
Vanguard FTSE Developed Europe Index ETF ON
No
No
No
Vanguard FTSE Developed ex North America
Index ETF
ON
No
No
No
Vanguard FTSE Developed ex North America
Index ETF (CAD-hedged)
ON
No
No
No
Vanguard FTSE Emerging Markets Index ETF
ON
No
No
No
Vanguard Global ex-U.S. Aggregate Bond
Index ETF (CAD-hedged)
ON
No
No
No
Vanguard S&P 500 Index ETF
ON
No
No
No
Vanguard S&P 500 Index ETF (CAD-hedged)
ON
No
No
No
Vanguard U.S. Aggregate Bond Index ETF
(CAD-hedged)
ON
No
No
No
Vanguard U.S. Dividend Appreciation Index
ETF
ON
No
No
No
Vanguard U.S. Dividend Appreciation Index
ETF (CAD-hedged)
ON
No
No
No
Vanguard U.S. Total Market Index ETF
ON
No
No
No
Vanguard U.S. Total Market Index ETF (CADhedged)
ON
No
No
No
Vanguard Venture Corporation
BC
No
Yes
No
Vanity Capital Inc.
BC
No
No
No
Vanoil Energy Ltd.
BC
No
No
No
Page 272 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Vanrocco Financial Inc.
BC
No
No
No
Vansen Pharma Inc.
BC
No
Yes
No
Vanstar Mining Resources Inc.
QC
No
No
No
Vantex Resources Ltd.
QC
No
No
No
Vanwin Resources Corporation
BC
No
Yes
No
Vatic Ventures Corp.
BC
No
No
No
Vecima Networks Inc.
BC
No
No
No
Vecta Energy Corporation
AB
No
Yes
No
Vector Intermediaries Inc.
ON
No
Yes
No
Vector Resources Inc.
ON
No
No
No
Vector Venture Corp.
BC
No
Yes
No
VECTr Systems, Inc.
AB
No
Yes
No
Vedron Limited
BC
No
Yes
No
Vega Mining Inc.
BC
No
Yes
No
Vela Minerals Ltd.
BC
No
No
No
Velan Inc.
QC
No
No
No
Velocity Data Inc.
BC
No
No
No
Velocity Minerals Ltd.
BC
No
No
No
Vena Resources Inc.
ON
No
No
No
Vendetta Mining Corp.
BC
No
No
No
Vendome Resources Corp.
ON
No
No
No
VendTek Systems Inc.
BC
No
No
No
Venerable Ventures Ltd.
BC
No
No
No
Venga Aerospace Systems Inc.
ON
No
Yes
No
Venstar Inc.
AB
No
Yes
No
Ventex Energy Ltd.
BC
No
Yes
No
VentriPoint Diagnostics Ltd.
AB
No
No
No
Venture Gold Corp.
BC
No
Yes
No
Venture Seismic Ltd.
BC
No
Yes
No
Venturecom Communications Inc.
BC
No
Yes
No
VentureLink Innovation Fund Inc.
ON
No
No
No
Venturi Ventures Inc.
BC
No
No
No
Veraz Petroleum Ltd.
AB
No
No
No
Verdant Financial Partners I Inc.
ON
No
No
No
Verdant Valley Ventures Inc.
BC
No
Yes
No
Verde Potash Plc
ON
No
No
No
Verde Science, Inc.
BC
No
No
No
Verdx Minerals Corporation
ON
No
Yes
No
Veresen Inc.
AB
No
No
No
Verify Smart Corp.
BC
No
Yes
No
Page 273 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Veris Gold Corp.
BC
No
No
No
Verisante Technology, Inc.
BC
No
No
No
VERITAS Software Corporation
ON
No
No
No
Vermilion Energy Inc.
AB
No
No
No
Verona Development Corp.
BC
No
No
No
VersaPay Corporation
ON
No
No
No
Versatile Systems Inc.
BC
No
No
No
Vertex Enhanced Income Fund
BC
No
No
No
Vertex Growth Fund
BC
No
No
No
Vertex Resources Ltd.
BC
No
Yes
No
Vertex Value Fund
BC
No
No
No
Vertigo Systems International Inc.
BC
No
Yes
No
Vetta Ventures Corp.
BC
No
Yes
No
Vgm Capital Corporation
BC
No
Yes
No
Viacorp Technologies Inc.
BC
No
Yes
No
Vianet Technologies, Inc.
BC
No
Yes
No
Viavid Broadcasting Inc.
BC
No
Yes
No
Victoria Diego Resource Corp.
BC
No
Yes
No
Victoria Gold Corp.
ON
No
No
No
Victorian Enuretic Services Ltd.
BC
No
Yes
No
Victory Mountain Ventures Ltd.
BC
No
No
No
Victory Nickel Inc.
ON
No
No
No
Victory Resources Corporation
BC
No
No
No
Victory Ventures Inc.
BC
No
No
No
Vicwest Inc.
ON
No
No
No
VID3G, Inc.
BC
No
Yes
No
Video-West Distributors Ltd.
BC
No
Yes
No
Videtics International Corp.
BC
No
Yes
No
Vier Capital Corp.
AB
No
No
No
Vigil Health Solutions Inc.
BC
No
No
No
Vigil Locating Systems Corporation
QC
No
Yes
No
Viking Gold Exploration Inc.
ON
No
No
No
Village Farms International, Inc.
BC
No
No
No
Villeneuve Resources Ltd.
BC
No
Yes
No
Vinergy Resources Ltd.
BC
No
No
No
Vioclone Biologicals Inc.
BC
No
Yes
No
Viper Gold Ltd.
AB
No
No
No
Viper Wireless Inc.
BC
No
Yes
No
VIQ Solutions Inc.
AB
No
No
No
ViRexx Medical Corp.
AB
No
Yes
No
Page 274 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Virginia Energy Resources Inc.
BC
No
No
No
Viridis Energy Inc.
BC
No
No
No
Virtutone Networks Inc.
AB
No
No
No
Visa Gold Explorations Inc.
ON
No
Yes
No
Visa Inc.
ON
No
No
No
Viscount Mining Corp.
BC
No
No
No
Viscount Systems, Inc.
BC
No
No
No
Visible Gold Mines Inc.
QC
No
No
No
Vision Coatings Group Limited
BC
No
Yes
No
Vision Incorporated
BC
No
Yes
No
Vision SCMS Inc.
ON
No
Yes
No
VisionQuest Energy Group Inc.
BC
No
Yes
No
Visionstate Corp.
AB
No
No
No
Visionwall Incorporated
AB
No
Yes
No
Visiphor Corporation
BC
No
Yes
No
Vista Gold Corp.
BC
No
No
No
Vital Energy Inc.
AB
No
No
No
Vital Retirement Living Inc.
ON
No
Yes
No
Vitality Products Inc.
BC
No
No
No
Viterra Inc.
SK
No
No
No
Vitreous Glass Inc.
AB
No
No
No
Vivione Biosciences Inc.
AB
No
No
No
VMS Ventures Inc.
BC
No
No
No
Vodis Pharmaceuticals Inc.
BC
No
No
No
Vogogo Inc.
AB
No
No
No
Voice Mobility International, Inc.
BC
No
No
No
Voice-It Solutions Inc.
BC
No
Yes
No
Volcanic Metals Corp.
BC
No
No
No
Volcano Resources Corp.
BC
No
Yes
No
Vostok Minerals Inc.
AB
No
Yes
No
Voya Global Income Solutions Fund
ON
No
No
No
Voyus Ltd.
BC
No
Yes
No
VPI Canadian Balanced Pool
MB
No
No
No
VPI Canadian Equity Pool
MB
No
No
No
VPI Foreign Equity Pool
MB
No
No
No
VPI Income Pool
MB
No
No
No
VPI Mortgage Pool
MB
No
No
No
VPI Value pool
MB
No
No
No
Vsc Technology Inc.
BC
No
Yes
No
Vsm Exploration Inc.
BC
No
Yes
No
Page 275 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
VSM MedTech Ltd.
BC
No
Yes
No
Vulcan Minerals Inc.
AB
No
No
No
Vuzix Corporation
ON
No
No
No
VVC Exploration Corp.
ON
No
No
No
Vxl Capital Limited
BC
No
Yes
No
Wajax Corporation
ON
No
No
No
Waldron Energy Corporation
AB
No
No
No
Walker River Resources Corp.
BC
No
No
No
Wall Financial Corporation.
BC
No
No
No
Walmer Capital Corp.
AB
No
No
No
Walter Energy, Inc.
BC
No
No
No
Walton Big Lake Development L.P.
AB
No
No
No
Walton Edgemont Development Corporation
AB
No
No
No
Walton Ontario Land L.P. 1
AB
No
No
No
Walton Westphalia Development Corporation
AB
No
No
No
Walton Yellowhead Development Corporation
AB
No
No
No
Wamco Technology Group Ltd.
BC
No
No
No
WANGTON CAPITAL CORP.
AB
No
No
No
Wanted Technologies Corporation
QC
No
No
No
War Eagle Mining Company Inc.
BC
Yes
No
No
Warrior Industries Ltd.
BC
No
Yes
No
Warstar Resources Inc.
BC
No
Yes
No
Warwick Communications Inc.
AB
No
Yes
No
Wasabi Resources Ltd
BC
No
Yes
No
Waseco Resources Inc.
ON
No
No
No
Wastecorp. International Investments Inc.
ON
No
Yes
No
Watcor Purification Systems Inc.
BC
No
Yes
No
Waterfront Capital Corporation
BC
No
No
No
Waterpur International Inc.
BC
No
Yes
No
Watusi Capital Corp.
BC
No
No
No
Wavefront Technology Solutions Inc.
AB
No
No
No
WavePOINT Systems Inc.
AB
No
Yes
No
WaveRider Communications Inc.
ON
No
Yes
No
Waverley Square Limited Partnership
BC
No
Yes
No
Wavve Telecommunications, Inc.
ON
No
Yes
No
Waybo Resources Inc.
BC
No
Yes
No
WAYZATA FILM FINANCE INC.
BC
No
No
No
WB III Acquisition Corp.
ON
No
No
No
WCB Resources Ltd.
BC
No
No
No
Wcn Investment Corp.
BC
No
Yes
No
Page 276 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
We X.L. Holdings Corporation
AB
No
Yes
No
Wealth Minerals Ltd.
BC
No
No
No
Web Watcher Systems Ltd.
BC
No
No
No
WebTech Wireless Inc.
BC
No
No
No
Wedco Development Corp.
BC
No
Yes
No
WEDONA URANIUM INC.
BC
No
No
No
Wee-Cig International Corporation
BC
No
Yes
No
Weihao International Aluminum Corp.
BC
No
Yes
No
Wellgreen Platinum Ltd.
BC
No
No
No
Wellpoint Systems Inc.
AB
No
Yes
No
Wells Fargo Canada Corporation
ON
No
No
No
Wellstar Energy Corp.
BC
No
No
No
Welwind Energy International Corporation
BC
No
Yes
No
Wencarro Resources Ltd.
BC
No
Yes
No
Werner Dahnz Company Limited
BC
No
Yes
No
Wescan Energy Corp.
AB
No
No
No
Wescan Energy Ltd.
BC
No
Yes
No
Wescan Goldfields Inc.
SK
No
No
No
Wesdome Gold Mines Ltd.
ON
No
No
No
West African Iron Ore Corp.
BC
No
No
No
West African Resources Limited
BC
No
No
No
West Coast Forest Products Ltd.
BC
No
Yes
No
West Dynamic Toll Road Ltd.
BC
No
Yes
No
West Fraser Timber Co. Ltd.
BC
No
No
No
West Hawk Development Corp.
BC
No
Yes
No
West High Yield (W.H.Y.) Resources Ltd.
AB
No
No
No
West Isle Energy Inc.
AB
No
Yes
No
West Kirkland Mining Inc.
BC
No
No
No
West Melville Metals Inc.
BC
No
No
No
West Mountain Environmental Corp.
AB
No
No
No
West Red Lake Gold Mines Inc.
ON
No
No
No
Westate Energy Inc.
BC
No
Yes
No
Westbank Resources Inc.
BC
No
Yes
No
Westbond Enterprises Corporation
BC
No
No
No
Westbridge Energy Corporation
BC
No
No
No
Westbridge Land Developments Inc.
AB
No
Yes
No
WestCan Uranium Corp.
BC
No
Yes
No
Westcoast Energy Inc.
BC
No
No
No
Westcore Energy Ltd.
AB
No
No
No
Westek Communications Inc.
BC
No
Yes
No
Page 277 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Western Areas NL
ON
No
No
No
Western Canada Beverage Corporation
BC
No
Yes
No
Western Canada Energy Ltd.
AB
No
Yes
No
Western Canada Executive Capital Ltd.
BC
No
Yes
No
Western Carlyle Concepts Inc.
BC
No
Yes
No
Western Commonwealth Developments Inc.
BC
No
Yes
No
Western Copper and Gold Corporation
BC
No
No
No
Western Energy Services Corp.
AB
No
No
No
Western Forest Products Inc.
BC
No
No
No
Western Graphite Inc.
BC
No
Yes
No
Western Harvest Seafarms Ltd.
BC
No
Yes
No
Western Lithium USA Corporation
BC
No
No
No
Western Logic Resources Inc.
BC
No
Yes
No
Western Pacific Resources Corp.
BC
No
No
No
Western Pacific Trust Company
BC
No
No
No
Western Plains Petroleum Ltd.
AB
No
Yes
No
Western Potash Corp.
BC
No
No
No
Western Resource Technologies Inc.
BC
No
Yes
No
Western Trinity Resource Corp.
BC
No
Yes
No
Western Troy Capital Resources Inc.
ON
No
No
No
Western Uranium Corporation
ON
No
No
No
Western Warner Oils Ltd.
BC
No
Yes
No
WesternOne Inc.
BC
No
No
No
WesternZagros Resources Ltd.
AB
No
No
No
Westfort Energy Ltd.
AB
No
Yes
No
Westhampton Court Limited Partnership
BC
No
Yes
No
Westhaven Ventures Inc.
BC
No
No
No
WestJet Airlines Ltd.
AB
No
No
No
Westkam Gold Corp.
BC
No
No
No
Westline Resources Ltd.
BC
No
Yes
No
Westminster Resources Ltd.
BC
No
No
No
Westmont Resources, Inc.
BC
No
Yes
No
Westport Innovations Inc.
BC
No
No
No
Westrend (Oil & Gas) Technologies Corp.
BC
No
Yes
No
Westridge Resources Inc.
BC
No
No
No
Westshore Terminals Investment Corporation
BC
No
No
No
Weststar Resources Corp.
BC
No
No
No
Westwater Industries Ltd.
BC
No
Yes
No
Westwood Emerging Markets Fund
QC
No
No
No
Westwood Global Dividend Fund
QC
No
No
No
Page 278 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Westwood Global Equity Fund
QC
No
No
No
Wexford Resources Inc.
BC
No
Yes
No
Wheels Group Inc.
ON
No
No
No
Whistler Blackcomb Holdings Inc.
BC
No
No
No
Whistler Gold Exploration Inc.
BC
No
No
No
White Metal Resources Corp.
ON
No
No
No
White Mountain Titanium Corporation
BC
No
No
No
White Pine Resources Inc.
ON
No
No
No
White Rose Crafts And Nursery Sales Limited
ON
No
Yes
No
Whitecap Resources Inc.
AB
No
No
No
Whiteknight Acquisitions III Inc.
ON
No
No
No
Whitemud Resources Inc.
AB
No
No
No
Whiterock Real Estate Investment Trust
ON
No
No
No
Whitewater Capital Corp.
BC
No
No
No
Whitewater Resources Ltd.
BC
No
Yes
No
Whiting Petroleum Corporation
BC
No
No
No
Whittier Energy Corporation
BC
No
Yes
No
Wi-Lan Inc.
ON
No
No
No
Wi2Wi Corporation
AB
No
No
No
Wildcard Technologies Inc.
BC
No
Yes
No
Wildcat Exploration Ltd.
MB
No
No
No
Wildcat Silver Corporation
BC
No
No
No
Wildflower Marijuana Inc.
BC
No
No
No
Williams Creek Gold Limited
BC
No
No
No
Williston Wildcatters Oil Corporation
BC
No
Yes
No
Willow Resources Ltd.
BC
No
Yes
No
Wilmington Capital Management Inc.
ON
No
No
No
Wilshire Energy Resources Inc.
BC
No
Yes
No
Wilton Resources Inc.
AB
No
No
No
Win-Eldrich Mines Limited
ON
No
Yes
No
Winchester Minerals and Gold Exploration Ltd. BC
No
No
No
Wind River Energy Corp.
BC
No
No
No
Windfire Capital Corp.
BC
No
No
No
Window Rock Capital Holdings, Inc.
BC
No
Yes
No
Windsor Energy Corporation
AB
No
Yes
No
Windy Mountain Explorations Ltd.
ON
No
Yes
No
Winfield Resources Limited
BC
No
Yes
Yes
Winpak Ltd
MB
No
No
No
Winston Resources Inc.
ON
No
No
No
Winwell Ventures Inc.
BC
No
No
No
Page 279 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Wireless DataScan Inc
AB
No
Yes
No
Wise Oakwood Ventures Inc.
AB
No
No
No
Wits Basin Precious Minerals Inc.
BC
No
Yes
No
Wizan Productions, Inc.
BC
No
Yes
No
Woden Venture Capital Corporation
QC
No
No
No
Wolf Resource Development Corp.
ON
No
No
No
Wolfden Resources Corporation
ON
No
No
No
Wolfeye Resource Corp.
BC
No
No
No
Wolfpack Capital Corp.
BC
No
No
No
Wolverine Exploration Inc.
BC
No
Yes
No
Wolverine Minerals Corp.
BC
No
No
No
Wonder Marine Resources Ltd.
BC
No
Yes
No
Wood Composite Technologies Inc.
ON
No
No
No
Woodfine Professional Centres Limited
Partnership
BC
No
No
No
Woodrose Corporation
BC
No
No
No
Wordlogic Corporation
BC
No
No
No
WorkGroup Designs Ltd.
ON
No
Yes
No
Working Opportunity Fund (EVCC) Ltd.
BC
No
No
No
Working Opportunity Fund (EVCC) Ltd. Venture Series (Balanced, Growth, Fin.
Services, Income, Resource, Diversified)
BC
No
No
No
World Enzymes Ltd.
BC
No
Yes
No
World Famous Pizza Company Ltd.
BC
No
Yes
No
World Financial Split Corp.
ON
No
No
No
World Marketing Corporation
BC
No
Yes
No
World Organics Inc.
BC
No
Yes
Yes
WORLD OUTFITTERS CORPORATION
SAFARI NORDIK
QC
No
Yes
No
World Sales & Merchandising Inc.
ON
No
Yes
No
World Ventures Inc.
BC
No
Yes
No
World Videophone Teleconferencing
Technologies Ltd.
BC
No
Yes
No
World Wide Minerals Ltd.
ON
No
Yes
No
World Wide Oil & Gas Inc.
BC
No
Yes
No
World Wise Technologies Inc.
ON
No
Yes
No
WorldStar Energy Corp.
BC
No
Yes
No
Worldtek (Canada) Ltd.
ON
No
Yes
No
Worldwide Ginseng Corp.
BC
No
Yes
No
Worldwide Monitoring Corporation
BC
No
Yes
No
Worldwide Technologies Inc.
BC
No
Yes
No
Page 280 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Woulfe Mining Corp.
BC
No
No
No
WPC Resources Inc.
BC
No
No
No
WPT Industrial Real Estate Investment Trust
ON
No
No
No
WSP Global Inc.
QC
No
No
No
Wydmar Development Corporation
BC
No
Yes
No
Wysdom Inc.
ON
No
Yes
No
X Corporation
AB
No
Yes
No
X-Terra Resources Inc.
BC
No
No
No
X.T.C. Resources Ltd.
BC
No
Yes
No
Xander Resources Inc.
BC
No
No
No
Xcel Consolidated Ltd.
BC
No
Yes
No
Xcite Energy Limited
AB
No
No
No
Xebec Adsorption Inc.
QC
No
No
No
Xemplar Energy Corp.
BC
No
No
No
Xenex Innovations Ltd.
BC
No
Yes
No
Xenex Minerals Ltd.
BC
No
Yes
No
Xeno Transplants Corp
BC
No
Yes
No
Xenon Pharmaceuticals Inc.
BC
No
No
No
Xerium Technologies, Inc.
ON
No
No
No
Xerox Corporation
ON
No
No
No
Xgen Ventures Inc.
AB
No
Yes
No
Xiana Mining Inc.
BC
No
No
No
Xianburg Data Systems Canada Corporation
BC
No
Yes
No
Ximen Mining Corp.
BC
No
No
No
Xinergy Ltd.
ON
No
No
No
Xinex Networks Inc.
BC
No
Yes
No
Xmet Inc.
ON
No
No
No
XPEL Technologies Corp.
ON
No
No
No
Xplore Technologies Corp.
ON
No
No
No
xRM Global Inc.
ON
No
Yes
No
XS Technologies Inc.
AB
No
Yes
No
Xtierra Inc.
ON
No
No
No
Xtra-Gold Resources Corp.
ON
No
No
No
Xtreme Drilling and Coil Services Corp.
AB
No
No
No
XXL Energy Corp.
BC
No
No
No
Xylitol Canada Inc.
ON
No
No
No
Yaletown Capital Corp.
BC
No
Yes
No
Yaletown Entertainment Corp.
BC
No
Yes
No
Yamana Gold Inc.
ON
No
No
No
Yamato Engine Specialists Ltd.
BC
No
Yes
No
Page 281 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Yangaroo Inc.
ON
No
No
No
Yangarra Resources Ltd.
AB
No
No
No
Yangtze Telecom Corp.
BC
No
Yes
No
Yankee Hat Minerals Ltd.
BC
No
Yes
No
Yankee Power Inc.
BC
No
Yes
No
Yaterra Ventures Corp.
BC
No
Yes
No
YBM Magnex International, Inc.
AB
No
Yes
No
Yellow Pages Digital & Media Solutions Limited QC
No
No
No
Yellow Pages Limited
QC
No
No
No
Yellowhead Mining Inc.
BC
No
No
No
YFMC Healthcare Inc.
ON
No
No
No
Yield Advantage Income Trust
ON
No
No
No
Yield Advantaged Convertible Debentures Fund QC
No
No
No
Yieldplus Income Fund
AB
No
No
No
Yinfu Gold Corporation
BC
No
Yes
No
Yoho Resources Inc.
AB
No
No
No
Yongsheng Capital Inc.
BC
No
No
No
Yorkton Ventures Inc.
BC
No
No
No
Yorkville American QVR Enhanced Protection
Class
ON
No
No
No
Yorkville Canadian QVR Enhanced Protection
Class
ON
No
No
No
Yorkville Enhanced Protection Class
ON
No
No
No
Yorkville Global Opportunities Class
ON
No
No
No
Yorkville Optimal Return Bond Class
ON
No
No
No
Yri-York Limited
BC
No
Yes
No
YSV Ventures Inc.
ON
No
Yes
No
Yuma Copper Corp.
BC
No
Yes
No
Yuntone Capital Corp.
BC
No
No
No
ZADAR VENTURES LTD.
BC
No
No
No
Zaio Corporation
AB
No
No
No
Zara Resources Inc.
ON
No
No
No
Zarara Oil and Gas Limited
BC
No
Yes
No
Zargon Oil & Gas Ltd.
AB
No
No
No
ZaZa Energy Corporation
AB
No
No
No
Zazu Metals Corporation
BC
No
No
No
ZCL Composites Inc.
AB
No
No
No
Zconnexx Corporation
BC
No
Yes
No
Zebec Resources Ltd.
BC
No
Yes
No
Zecotek Photonics Inc.
BC
No
No
No
Page 282 of 283
Reporting Issuers List
as at
2/6/2015 12:00:00 AM
Issuer name
Principal
Default
CTO
Management
CTO
Zedcor Capital Corporation
BC
No
Yes
No
Zena Mining Corp.
BC
No
No
No
Zenith Energy Ltd.
AB
No
No
No
Zenith Epigenetics Corp.
AB
No
No
No
Zenith Metals Recovery Inc.
BC
No
Yes
No
Zenn Motor Company Inc.
ON
No
No
No
Zentrac Technologies Inc.
BC
No
Yes
No
Zenyatta Ventures Ltd.
ON
No
No
No
Zeox Corporation
AB
No
Yes
No
Zephyr Minerals Ltd.
NS
No
No
No
Zidane Capital Corp.
BC
No
No
No
Zimtu Capital Corp.
BC
No
No
No
Zinccorp Resources Inc.
BC
No
Yes
No
Zinco Mining Corporation
BC
No
No
No
Zincore Metals Inc.
BC
No
No
No
Zinnian Technologies Inc.
AB
No
Yes
No
Ziplocal Inc.
ON
No
No
No
Zlin Aerospace Inc.
ON
No
Yes
No
Zoloto Resources Ltd.
BC
No
Yes
No
Zone Petroleum Corporation
BC
No
Yes
No
Zone Resources Inc.
BC
No
No
No
Zoned Properties, Inc.
BC
No
Yes
No
Zonte Metals Inc.
ON
No
No
No
ZoomerMedia Limited
ON
No
No
No
ZoomMed inc.
QC
No
No
No
Zorah Media Corporation
BC
No
Yes
No
Zoro Mining Corp.
BC
No
Yes
No
Zorro Capital Inc.
BC
No
No
No
ZTEST Electronics Inc.
ON
No
No
No
Zungui Haixi Corporation
ON
No
Yes
No
Zycom Corporation
AB
No
Yes
No
Zyrox Mining International Inc.
BC
No
Yes
No
Zytec Systems Inc.
BC
No
Yes
No
ZZZ Capital Corp.
BC
No
Yes
No
zzzNew Look Eyewear Inc.
QC
No
No
No
Page 283 of 283