Securities Law & Instruments

OSC Bulletin Volume 43, Issue 01 (January 3, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 1
1.1 Notices 1
1.1.1 Notice of Amendments to the Securities Act and the Commodity Futures Act – Bill 138 1
1.1.2 Notice of Ministerial Approval of Memorandum of Understanding – Cooperation and the Exchange of Information Related to the Supervision of Regulated Entities Operating in Ontario and Germany 1
1.1.3 Notice of Ministerial Approval of Memorandum of Understanding – Cooperation and the Exchange of Information Related to the Supervision of Regulated Entities Operating in Ontario and Ireland 2
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 3
1.3.1 David Randall Miller – ss. 127(1) and 127.1 3
1.4 Notices from the Office of the Secretary 8
1.4.1 Money Gate Mortgage Investment Corporation et al. 8
1.4.2 BDO Canada LLP 8
1.4.3 The Catalyst Capital Group Inc. et al. 9
1.4.4 VRK Forex & Investments Inc. and Radhakrishna Namburi 9
1.4.5 Issam El-Bouji 10
1.4.6 David Randall Miller 10
1.4.7 Sean Daley and Kevin Wilkerson 11
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 13
2.1 Decisions 13
2.1.1 AGF Investments Inc. 13
2.1.2 Cresco Labs Inc. and Canaccord Genuity Corp. 17
2.1.3 Portland Investment Counsel Inc. 23
2.2 Orders 26
2.2.1 Bloomberg Trading Facility Limited – s. 144 26
2.2.2 Authorization Order – s. 3.5(3) 27
2.2.3 BDO Canada LLP 28
2.2.4 The Catalyst Capital Group Inc. et al. – s. 127 28
2.2.5 VRK Forex & Investments Inc. and Radhakrishna Namburi – ss. 127, 127.1 30
2.2.6 Sean Daley and Kevin Wilkerson – ss. 127, 127.1 31
2.2.7 Enthusiast Gaming Properties Inc. 31
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 35
3.1 OSC Decisions 35
3.1.1 Money Gate Mortgage Investment Corporation et al. – s. 127(1) 35
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 69
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 69
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 69
4.2.2 Outstanding Management & Insider Cease Trading Orders 69
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 71
Chapter 9 Legislation (nil)
9.1.1 Bill 138, Plan to Build Ontario Together Act, 2019 331
Chapter 11 IPOs, New Issues and Secondary Financings 333
Chapter 12 Registrations 345
12.1.1 Registrants 345
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 347
13.1 SROs (nil)
13.2 Marketplaces 5561
13.2.1 Bloomberg Trading Facility Limited – Notice of Commission Order 347
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 349