Securities Law & Instruments

OSC Bulletin Volume 43, Issue 16 (April 16, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 3633
1.1 Notices 3633
1.1.1 CSA Notice 31-357 – Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 3633
1.1.2 OSC Notice of General Order – Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 3637
1.1.3 OSC Notice of General Order – Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 3638
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 3639
1.4.1

Money Gate Mortgage Investment Corporation et al

3639
1.5 Notices from the Office of the Secretary with Related Statements of Allegations 3639
Chapter 2 Decisions, Orders and Rulings 3641
2.1 Decisions 3641
2.1.1

National Financial Services LLC

3641
2.1.2

Fidelity Prime Financing LLC

3649
2.1.3

Eurex Clearing AG

3656
2.2 Orders 3658
2.2.1

MBMI Resources Inc.

3658
2.2.2

Ontario Instrument 31-511 Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

3659
2.2.3

Ontario Instrument 31-512 Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

3661
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 3663
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3663
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3663
4.2.2 Outstanding Management & Insider Cease Trading Orders 3663
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3665
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3779
Chapter 12 Registrations 3779
12.1.1 Registrants 3779
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 3781
13.1 SROs (nil)
13.2 Marketplaces 3781
13.2.1

Creditex Securities Corporation – Application for Exemption from Marketplace Rules – Notice and Request for Comment

3781
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index

3819