The website of Connor, Clark & Lunn Funds Inc. included a statement that Connor, Clark & Lunn Funds Inc. seeks to make investments that have a positive impact on the society, environment, and markets in which they operate. This statement had the effect of suggesting that the funds managed by Connor, Clark & Lunn Funds Inc. aim to generate a positive ESG impact. This statement was removed from the website in order to clarify that the consideration of ESG factors is not a component of the investment objectives for any of its publicly offered mutual funds , nor does it form a material element of the investment strategies of those funds.

The website of MD Financial Management Inc. included statements about the consideration of ESG factors as part of the investment process for the funds that it manages. Revisions to the website were made to clarify that certain issuers do not consider ESG factors and to provide more clarity on the funds that do.

The Issuer filed an amended technical report on the Florence Lake property to remove several supplementary and excessive appendices.  

The Issuer re-filed management’s discussion and analysis for year ended January 31, 2023 to include corporate governance disclosures in accordance with National Instrument 58-101 Disclosure of Corporate Governance Practices and executive compensation disclosures in accordance with Form 51-102F6V Statement of Executive Compensation – Venture Issuers for the periods ended January 31, 2023, 2022 and 2021, which were required to be filed at an earlier date.

The Issuer filed an amended technical report on the Bethania property to address several disclosure compliance issues as described in the October 20, 2023 news release.  

The Issuer filed a news release related to filing of the technical report on the Iska Iska Project which also included clarification regarding previous disclosure of equivalent silver grades and in-situ metal value.

The Issuer has removed from its website reference to the material resource estimate for the Albany graphite deposit (the “Albany Graphite Deposit”) because the technical report entitled “Technical Report on the Preliminary Economic Assessment of the Albany Graphite Project, Northern Ontario, Canada” dated July 9, 2015 contains an economic analysis that is no longer reliable and can no longer be classified as current. Additionally, the Issuer has revised a corporate presentation on its website to: (i) remove statements related to the Albany Graphite Deposit that can no longer be supported; (ii) remove disclosure of potential international partnerships unless and until any such partnerships are publicly announced; and (iii) address certain material factors and assumptions used to develop forward-looking information. The Company has also filed on SEDAR, as a material contract, a reciprocal supply agreement with Ekomed Global Inc., which, as a material contract, was due to be filed no later than the date of filing of the Company’s Annual Information Form.

The Issuer re-filed its management’s discussion and analysis (“MD&A”) for the year ended December 31, 2021, and for the periods ended March 31, 2022, June 30, 2022 and September 30, 2022, to include corrective disclosure providing additional details and clarifications with respect to the Issuer’s business, operations, financial performance, recent events and trends, primary contracts, objectives and milestones as required under Form 51-102F1 Management’s Discussion and Analysis. As a result of the corrective disclosure re-filings the Issuer also re-filed certifications of interim and annual filings for each MD&A in compliance with National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings.

Additionally, on January 16, 2023, the Issuer filed five material change reports relating to the appointment and resignation of certain officers and directors of the Company, which were required to be filed at an earlier date.

The Issuer filed an amended technical report on the Black Diamond property to remove several supplementary and excessive appendices. The technical report was not previously filed on SEDAR.

The Issuer included enhanced disclosure with respect to its staking operations and custody of its assets.

A news release was issued to indicate that the Issuer refiled its MD&A for year ended June 30, 2021 and June 30, 2022 to address the deficiencies identified by Staff in the corporate governance and audit committee disclosures.

The Issuer filed 4 material contracts, which were required to have been filed at an earlier date. The Issuer also included enhanced disclosure with respect to the materiality of 2 contracts.

Disclosure did not comply with NI 43-101 (deficiency 2 d)

Issuer refiled amended MD&A for periods ended September 30, 2022 and December 31, 2021 to correct disclosure that did not comply with Part 2 of NI 43-101 and refiled a technical report to address deficienciesfv.

The website of Purpose Investments Inc. included statements about the incorporation of ESG considerations into the investment process by the funds that it manages. The statements had the effect of suggesting that the issuers incorporate ESG considerations into their investment process. Revisions to the website were made to clarify that the issuers do not incorporate ESG considerations and to provide more clarity on the funds that do.

The Issuer filed a material change report regarding the appointments and resignations of certain directors and officers during the period from May 14, 2021 to November 12, 2022, which were required to be filed at earlier date

Technical report (deficiency 2d): re-estimation of mineral reserve to conform to CIM definitions; certification by independent report authors

The Issuer reclassified cryptocurrency assets from current to non-current on a retrospective basis and provided corrective disclosure of its approach to executive compensation.

Withdrawal of forward-looking financial information (specifically future revenue and EBITDA) that was included in the Issuer’s news release and investor presentation, each dated October 20, 2022 and filed on SEDAR, and the preliminary prospectus dated October 26, 2022.

The Issuer included corrective disclosures in its Management’s Discussion & Analysis for the period ended September 30, 2022 to remedy deficiencies identified in previously filed documents, including silver-equivalency (AgEq) technical disclosure and discussion of i) the impacts of COVID-19 on the Company; (ii) the Company’s plans and expected costs related to its drilling campaigns; (iii) the effects of Argentine hyperinflation on the Company’s operations; (iv) the factors that have caused variations over the most recent quarterly periods; (v) the business purpose of certain related party transactions; and (v) the Company’s short-term and long-term objectives in the sections pertaining to liquidity and capital resources. In the news release, the Issuer also announced a new mineral resource estimate superseding the prior Preliminary Economic Assessment, which contained deficiencies.

The Issuer clarified disclosure related to its corporate presentation and website to include the name of the qualified person, revise disclosure related to a historical estimate, remove a third party research report, and remove a non-compliant fact sheet.