Securities Law & Instruments

OSC Bulletin Volume 42, Issue 46 (November 14, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 8759
1.1 Notices 8759
1.1.1 Notice of Co-Operation Agreement Concerning Innovative Fintech Businesses with the Monetary Authority of Singapore 8759
1.1.2 OSC Staff Notice 11-737 (Revised) – Securities Advisory Committee – Vacancies 8766
1.1.3 CSA Multilateral Staff Notice 51-359 – Corporate Governance Related Disclosure Expectations for Reporting Issuers in the Cannabis Industry 8767
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 8771
1.4.1 MOAG Copper Gold Resources Inc. et al. 8771
1.4.2 Sean Daley et al. 8771
1.4.3 MOAG Copper Gold Resources Inc. et al. 8772
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8773
2.1 Decisions 8773
2.1.1 AXA S.A. 8773
2.1.2 Canoe Financial LP and National Bank Financial Inc. 8781
2.1.3 Vanguard Investments Canada Inc. et al. 8786
2.1.4 Horizons ETFs Management (Canada) Inc. and Portfolio Management Association of Canada 8789
2.2 Orders 8792
2.2.1 Sean Daley et al. – ss. 127(8), 127(1) 8792
2.2.2 Street Capital Group Inc. 8792
2.2.3 Master Credit Card Trust II 8793
2.2.4 Callidus Capital Corporation 8797
2.2.5 Invesco Canada Ltd. et al. – s. 80 of the CFA 8799
2.2.6 P/E Global LLC – s. 80 of the CFA 8803
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 8813
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8813
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8813
4.2.2 Outstanding Management & Insider Cease Trading Orders 8813
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8815
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8967
Chapter 12 Registrations 8975
12.1.1 Registrants 8975
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8977
13.1 SROs 8977
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Amendments Respecting Mandatory Reporting of Cybersecurity Incidents – Notice of Commission Approval 8977
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8979