Securities Law & Instruments

OSC Bulletin Volume 42, Issue 47 (November 21, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 8981
1.1 Notices (nil)
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 (nil)
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8983
2.1 Decisions 8983
2.1.1 Franklin Templeton Investments Corp. et al. 8983
2.1.2 Vision Capital Corporation 8986
2.1.3 1832 Asset Management L.P. and Dynamic Credit Absolute Return II Fund 8993
2.1.4 J.P. Morgan Securities LLC 8997
2.1.5 Sun Life Global Investments (Canada) Inc. 9000
2.1.6 Guardian Capital LP 9003
2.1.7 Horizons ETFS Management (Canada) Inc. et al. 9006
2.2 Orders 9010
2.2.1 Valener Inc. 9010
2.2.2 Holloway Lodging Corporation – s. 1(6) of the OBCA 9011
2.2.3 Callidus Capital Corporation – s. 1(6) of the OBCA 9012
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 9013
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9013
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9013
4.2.2 Outstanding Management & Insider Cease Trading Orders 9013
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9015
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9087
Chapter 12 Registrations 9095
12.1.1 Registrants 9095
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 9097
13.1 SROs 9097
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Notice of Proposed Derivatives Rule Modernization, Stage 1 – Request for Comment 9097
13.2 Marketplaces 9098
13.2.1 Liquidnet Canada – Notice of Proposed Changes 9098
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 9101