Securities Law & Instruments

OSC Bulletin Volume 41, Issue 30 (July 25, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 6277
1.1 Notices 6277
1.1.1 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 6277
1.2 Notices of Hearing 6280
1.2.1 CoinLaunch Corp. – ss. 127, 127.1 6280
1.3 Notices of Hearing with Related Statements of Allegations 6281
1.3.1 Jean-Smaille Germeil and FPE Trading – ss. 127(1), 127(10) 6281
1.3.2 International Capital Markets Pty. Ltd. – ss. 127(1), (2), 127.1 6285
1.3.3 Ava Trade Ltd. – ss. 127, 127.1 6288
1.4 Notices from the Office of the Secretary 6292
1.4.1 Jean-Smaille Germeil and FPE Trading 6292
1.4.2 Caldwell Investment Management Ltd. 6292
1.4.3 Caldwell Investment Management Ltd. 6293
1.4.4 CoinLaunch Corp. 6293
1.4.5 International Capital Markets Pty. Ltd. 6294
1.4.6 Ava Trade Ltd. 6294
1.5 Notices from the Office of the Secretary with Related Statements of Allegations

(nil)

Chapter 2 Decisions, Orders and Rulings 6295
2.1 Decisions 6295
2.1.1 Guardian Capital LP 6295
2.1.2 Transat A.T. Inc. 6300
2.1.3 Husky Energy Inc. [Corrected] 6304
2.2 Orders 6307
2.2.1 Currenex Multilateral Trading Facility – s. 147 6307
2.2.2 NewGrowth Corp. 6312
2.3 Orders with Related Settlement Agreements 6313
2.3.1 Caldwell Investment Management Ltd. – ss. 127, 127.1 6313
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6327
3.1 OSC Decisions 6327
3.1.1 Caldwell Investment Management Ltd. – ss. 127, 127.1 6327
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 6331
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6331
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6331
4.2.2 Outstanding Management & Insider Cease Trading Orders 6331
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6333
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6431
Chapter 12 Registrations 6437
12.1.1 Registrants 5559
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6439
13.1 SROs (nil)
13.2 Marketplaces 6439
13.2.1 TriAct Canada Marketplace LP – Change to the MATCHNow Trading System – Notice of Proposed Change and Request for Comment 6439
13.2.2 Neo Exchange Inc. – Amendments Respecting Foreign-Listed Structured Product Notes – Notice of Approval 6440
13.2.3 Financial & Risk Transaction Services Ireland Limited – Application for Exemption from Recognition as an Exchange – OSC Staff Notice and Request for Comment 6442
13.3 Clearing Agencies 6455
13.3.1 CDCC – Amendments to the Rules and Operations Manual of the Canadian Derivatives Clearing Corporation to Shorten Time Frames for Monthly Options Expiry – Notice of Commission Approval 6455
13.4 Trade Repositories 6455
13.4.1 Currenex Multilateral Trading Facility – Application for Exemptive Relief – Notice of Commission Interim Order 6455
Chapter 25 Other Information (nil)
Index 6457