Securities Law & Instruments

OSC Bulletin Volume 42, Issue 43 (March 5, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 1919
1.1 Notices 1919
1.1.1 CSA Staff Notice 21-328 – Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities 1919
1.1.2

CSA Staff Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)

1925
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 1930
1.4.1 Paramount Equity Financial Corporation et al. 1930
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 1931
2.1 Decisions 1931
2.1.1 Andlauer Healthcare Group Inc. 1931
2.1.2 IA Clarington Investments Inc. 1934
2.1.3 AGF Investments Inc. and the Terminating Funds 1939
2.2 Orders 1945
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 1946
Chapter 3 Reasons: Decisions, Orders and Rulings 1959
3.1 OSC Decisions (nil)
3.2 Director's Decisions 1959
Chapter 4 Cease Trading Orders 1965
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1965
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1965
4.2.2 Outstanding Management & Insider Cease Trading Orders 1965
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 1967
6.1.1 CSA Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients 1967
6.1.2 Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions – Notice and Request for Comment 2082
Chapter 7 Insider Reporting 2153
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2269
Chapter 12 Registrations 2279
12.1.1 Registrants 2279
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 2281
13.1 SROs 2281
13.1.1     Investment Industry Regulatory Organization of Canada (IIROC) – Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Following Implementation of IIROC Rules – Notice of Commission Deemed Approval                 2281
13.2 Marketplaces 2283
13.2.1 Trumid Financial LLC – Application for Exemption from Marketplace Rules – Notice and Request for Comment 2283
13.2.2 FX Connect MTF and Currenex MTF – Application for Exemption from Recognition as an Exchange – Notice and Request for Comment 2314
13.2.3 Lynx ATS – Notice of Proposed Changes and Request for Comment 2372
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index

2383