Securities Law & Instruments

OSC Bulletin Volume 42, Issue 03 (January 17, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 549
1.1 Notices 549
1.1.1 Notice of Amendments to the Securities Act and the Commodity Futures Act 549
1.1.2 OSC Staff Notice 11-784 Burden Reduction 550
1.1.3 CSA Staff Notice 11-340 Extension of Comment Period – CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study 553
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 554
1.4.1 Andrew Paul Rudensky 554
1.4.2 Money Gate Mortgage Investment Corporation et al. 554
1.4.3 Donna Hutchinson et al. 555
1.4.4 USI-Tech Limited 555
1.4.5 Natural Bee Works Apiaries Inc. et al. 556
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 557
2.1 Decisions 557
2.1.1 BMO Nesbitt Burns Inc. et al. 557
2.1.2 Concentra Bank 563
2.1.3 NatWest Markets PLC 566
2.1.4 Capital One, National Association 574
2.1.5 Industrial Alliance Insurance and Financial Services Inc. 580
2.1.6 Franklin Templeton Investments Corp. and FTC Investor Services Inc. 584
2.1.7 Perimeter Markets Inc. 590
2.2 Orders 593
2.2.1 Andrew Paul Rudensky – s. 21.7 593
2.2.2 Donna Hutchinson et al. 593
2.2.3 Perimeter Markets Inc. – s. 8.1 of OSC Rule 13-502 Fees 594
2.2.4 USI-Tech Limited – ss. 127(1), 127(10) 595
2.2.5 Natural Bee Works Apiaries Inc. et al. 595
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 597
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 597
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 597
4.2.2 Outstanding Management & Insider Cease Trading Orders 597
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 599
Chapter 9 Legislation 737
9.1.1 Bill 57 An Act to enact, amend and repeal various statutes 737
Chapter 11 IPOs, New Issues and Secondary Financings 739
Chapter 12 Registrations 745
12.1.1 Registrants 745
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 747
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 747
13.3.1 Fundserv Inc. – New Rules for Service Providers Related to Access Standards – Notice of Approval 747
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 749