Ontario Securities Commission Bulletin
Issue 41/42 - October 18, 2018
Ont. Sec. Bull. Issue 41/42
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments
Notices of Hearing with Related Statements of Allegations
• Larry Lee -- ss. 127(1), 127(10)
• BDO Canada LLP -- ss. 127(1), 127.1
Notices from the Office of the Secretary
• Larry Lee
• eToro (Europe) Limited
• BDO Canada LLP
• Caldwell Investment Management Ltd.
• Money Gate Mortgage Investment Corporation et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Parkland Fuel Corporation and Canaccord Genuity Corp.
• Frontenac Mortgage Investment Corporation
• First Block Capital Inc. and FBC Distributed Ledger Technology Adopters ETF
• Purpose Investments Inc. and Purpose Gold Bullion Fund
Orders
• LCH.Clearnet Limited -- s. 144
• 1832 Asset Management L.P. et al.
• Caldwell Investment Management Ltd.
• Money Gate Mortgage Investment Corporation et al.
Orders with Related Settlement Agreements
• eToro (Europe) Limited -- ss. 127, 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• eToro (Europe) Limited -- ss. 127, 127.1
• Caldwell Investment Management Ltd.
Chapter 4 - Cease Trading Orders
• Temporary, Permanent & Rescinding Issuer Cease Trading Orders
• Temporary, Permanent & Rescinding Management Cease Trading Orders
• Outstanding Management & Insider Cease Trading Orders
Chapter 6 - Request for Comments
• Proposed Amendments to Nationa Instrument 24-102 Clearing Agency Requirements and Proposed Changes to Companion Policy 24-102 Clearing Agency Requirements
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
Marketplaces
• Alpha Exchange Inc. -- Introduction of Alpha Liquidity Provider Program -- Notice of Commission Approval
Clearing Agencies
• CDS -- Material Amendments to CDS Rules Related to the Introduction of the China Bond Link Service -- OSC Staff Notice of Request for Comment
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