Securities Law & Instruments

OSC Bulletin Volume 43, Issue 31 (July 30, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 6063
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 6063
1.4.1 Goldenwise Capital Management Inc. 6063
1.4.2 Paramount Equity Financial Corporation et al. 6063
1.4.3 Canada Cannabis Corporation et al. 6064
1.4.4 Canada Cannabis Corporation et al. 6064
1.4.5 Joseph Debus 6065
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6067
2.1 Decisions 6067
2.1.1 HSBC Global Asset Management (Canada) Limited and HSBC Investment Funds (Canada) Inc. 6067
2.1.2 SEI Investments Canada Company and Richardson GMP Limited 6076
2.1.3 SEI Investments Canada Company and Richardson GMP Limited 6081
2.1.4 Ninepoint Partners LP and Ninepoint Enhanced Balanced Fund 6084
2.2 Orders 6089
2.2.1 Novelion Therapeutics Inc. 6089
2.2.2 Alio Gold Inc. 6093
2.2.3 Goldenwise Capital Management Inc. – s. 60(1) of the CFA 6094
2.2.4 Paramount Equity Financial Corporation et al. 6097
2.2.5 Joseph Debus 6097
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 6098
2.4.1 CalRock Brokers Inc. – s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options 6098
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 6111
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6111
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6111
4.2.2 Outstanding Management & Insider Cease Trading Orders 6111
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6113
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6165
Chapter 12 Registrations 6171
12.1.1 Registrants 6171
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6173
13.1 SROs 6173
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Changes to Harmonize and Streamline the Oversight of IIROC – OSC Notice 6173
13.1.2 Mutual Fund Dealers Association of Canada (MFDA) – Changes to Harmonize and Streamline the Oversight of the MFDA – OSC Notice 6175
13.2 Marketplaces 5561
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 6177