Securities Law & Instruments

OSC Bulletin Volume 42, Issue 43 (October 22, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 8191
1.1 Notices 8191
1.1.1 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 8191
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 8193
1.3.1 Vernon Ray Fauth – ss. 127(1), 127(10) 8193
1.4 Notices from the Office of the Secretary 8198
1.4.1 First Global Data Ltd. et al. 8198
1.4.2 Douglas John Eley 8198
1.4.3 Sean Daley et al. 8199
1.4.4 Vernon Ray Fauth 8199
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8201
2.1 Decisions 8201
2.1.1 Fidelity Investments Canada ULC et al. 8201
2.1.2 NCM Asset Management Ltd. et al. 8206
2.1.3 Jefferies LLC 8210
2.1.4 3IQ Corp. and The Bitcoin Fund 8214
2.2 Orders 8216
2.2.1 Phivida Holdings Inc. 8216
2.2.2 Canadian Investor Protection Fund – s. 144 of the Act and s. 78(1) of the CFA 8218
2.2.3 Mutual Fund Dealers Association of Canada Investor Protection Corporation (MFDA IPC) and the Mutual Fund Dealers A8227ssociation of Canada – s. 144 8227
2.2.4 Douglas John Eley – ss. 8, 21.7 8235
2.2.5 Sean Daley et al. – ss. 127(8), 127(1) 8236
2.2.6 Stuart Olson Inc. 8236
2.2.7 Painted Pony Energy Ltd. 8237
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 8239
3.1 OSC Decisions 8239
3.1.1 Sean Daley et al. – ss. 127(8), 127(1) 8239
3.2 Director's Decisions 8239
Chapter 4 Cease Trading Orders 8243
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5465
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5465
4.2.2 Outstanding Management & Insider Cease Trading Orders 5465
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8245
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8305
Chapter 12 Registrations 8313
12.1.1 Registrants 8313
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8315
13.1 SROs 8315
13.1.1 Canadian Investor Protection Fund (CIPF) – New MOU regarding the Oversight of CIPF and Notice of Termination of the Existing MOU – Notice of Commission Approval 8315
13.1.2 Mutual Fund Dealers Association of Canada Investor Protection Corporation (MFDA IPC) – New MOU regarding the Oversight of MFDA IPC – Notice of Commission Approval 8330
13.1.3 Canadian Investor Protection Fund (CIPF) – Variation and Restatement of Approval Order – Notice of Commission Approval 8342
13.1.4 Mutual Fund Dealers Association of Canada Investor Protection Corporation (MFDA IPC) – Variation and Restatement of Approval Order – Notice of Commission Approval 8343
13.2 Marketplaces 8344
13.2.1 TSX Inc. and Alpha Exchange Inc. – Dynamic OPR – Notice of Withdrawal 8344
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8345