Securities Law & Instruments

OSC Bulletin Volume 43, Issue 36 (September 3, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 6845
1.1 Notices 6845
1.1.1 Amendment of Agreement among Certain Provincial Securities Regulators in respect of the Ownership and Licensing of the Intellectual Property comprising the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), and the National Registration Database (NRD) (CSA National Systems) to Extend Scope to New CSA National Systems 6845
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 6846
1.3.1 Derek F.C. Elliott – ss. 127(1), 127(10) 6846
1.4 Notices from the Office of the Secretary 6849
1.4.1 Derek F.C. Elliott 6849
1.4.2 Canada Cannabis Corporation et al. 6849
1.4.3 First Global Data Ltd. et al. 6850
1.4.4 ESW Capital, LLC and Optiva Inc. 6850
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6851
2.1 Decisions 6851
2.1.1 CI Investments Inc. 6851
2.1.2 Franklin Templeton Investments Corp. et al. 6854
2.1.3 Franklin Templeton Investments Corp. and Templeton Growth Fund 6861
2.1.4 1832 Asset Management L.P. et al. 6865
2.1.5 HSBC Global Asset Management (Canada) Limited 6872
2.1.6 First Avenue Investment Counsel Inc. 6876
2.2 Orders 6882
2.2.1 CME Amsterdam B.V. – s. 147 6882
2.2.2 Seven Aces Limited 6896
2.2.3 Canada Cannabis Corporation et al. 6897
2.2.4 BlackRock Asset Management Canada Limited and BlackRock Institutional Trust Company, N.A. – s. 80 of the CFA 6898
2.2.5 First Global Data Ltd. et al. – s. 152 6902
2.2.6 Mellon Investments Corporation – s. 80 of the CFA 6903
2.2.7 Authorization Order – s. 3.5(3) 6913
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 6915
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6915
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6915
4.2.2 Outstanding Management & Insider Cease Trading Orders 6915
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 6917
6.1.1 CSA Notice and Second Request for Comment – Proposed Amendments to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Proposed Changes to Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives 6917
Chapter 7 Insider Reporting 6949
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7017
Chapter 12 Registrations 7025
12.1.1 Registrants 7025
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7027
13.1 SROs (nil)
13.2 Marketplaces 7027
13.2.1 CME Amsterdam B.V. – Application for Exemptive Relief – Notice of Commission Order 7027
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 7029