Securities Law & Instruments

OSC Bulletin Volume 41, Issue 32 (August 8, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 6615
1.1 Notices 6615
1.1.1 OSC Staff Notice 33-750 Compliance and Registrant Regulation – Summary Report for Dealers, Advisers and Investment Fund Managers 6615
1.1.2 CSA Staff Notice 51-358 – Reporting of Climate Change-related Risks 6617
1.2 Notices of Hearing 6619
1.2.1. Sean Daley et al. – ss. 127(8), 127(1) 6619
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 6620
1.4.1. Sean Daley et al. 6620
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6621
2.1 Decisions 6621
2.1.1 Foresters Asset Management Inc. et al. 6621
2.1.2 Freedom International Brokerage Company et al. 6625
2.2 Orders 6628
2.2.1 Delivra Corp. 6628
2.2.2 Sean Daley et al. – ss. 127(1), 127(5) 6630
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)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 6631
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6631
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6631
4.2.2 Outstanding Management & Insider Cease Trading Orders 6631
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6633
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6697
Chapter 12 Registrations 6707
12.1.1 Registrants 6707
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6709
13.1 SROs 6709
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Amendments Respecting Provision of Price Improvement by a Dark Order – Notice of Commission Approval 6709
13.2 Marketplaces 6710
13.2.1 CSE – Amendments to Trading System Functionality & Features – Notice and Request for Comment 6710
13.2.2 CSE – Notice of Withdrawal of Proposed Amendments to Trading Rules 6713
13.3 Clearing Agencies 6714
13.3.1 Banque Centrale De Compensation Carrying on Business as LCH SA – Application for Exemption from Recognition as a Clearing Agency – OSC Notice and Request for Comment 6714
13.4 Trade Repositories (nil)
Chapter 25 Other Information 6723
25.1 Consents

6723

25.1.1 Newstrike Brands Ltd. – s. 4(b) of Ont. Reg. 289/00 under the OBCA 6723
25.1 Application to Extend Temporary Order

6723

25.2.1 Sean Daley et al. – ss. 127(8), 127(1) 6725
Index 6727