Ontario Securities Commission Bulletin
Issue 41/51 - December 20, 2018
Ont. Sec. Bull. Issue 41/51
Table of Contents
Chapter 1 - Notices
Notices
• Notice of Ministerial Approval of Amendments to National Instrument 81-102 Investment Funds, National Instrument 81-104 Commodity Pools, National Instrument 81-101 Mutual Fund Prospectus Disclosure, National Instrument 41-101 General Prospectus Requirements, National Instrument 81-106 Investment Fund Continuous Disclosure, and National Instrument 81-107 Independent Review Committee for Investment Funds
Notices from the Office of the Secretary
• Larry Keith Davis
• MOAG Copper Gold Resources Inc. et al.
• Caldwell Investment Management Ltd.
• Katanga Mining Limited et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• DPS Capital Inc.
• Quadrus Investment Services Ltd.
• Yorkville Asset Management Inc.
• Mackenzie Financial Corporation
• Husky Energy Inc.
Orders
• Mitel Networks Corporation
• Larry Keith Davis
• MOAG Copper Gold Resources Inc. et al.
• Bloomberg Trading Facility Limited -- s. 144
• Xplore Technologies Corp.
• DBRS Limited
• Marlin Gold Mining Ltd.
• Caldwell Investment Management Ltd.
• Katanga Mining Limited et al. -- ss. 127(1), 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Katanga Mining Limited et al. -- ss. 127, 127.1
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 5 - Rules and Policies
• Amendments to National Instrument 81-102 Investment Funds
• Changes to Commentary to National Instrument 81-102 Investment Funds
• Changes to Companion Policy 81-102CP to National Instrument 81-102 Investment Funds
• Amendments to National Instrument 81-104 Commodity Pools
• Withdrawal of Companion Policy 81-104CP to National Instrument 81-104 Commodity Pools
• Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure
• Amendments to National Instrument 41-101 General Prospectus Requirements
• Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure
• Amendments to National Instrument 81-107 Independent Review Committee for Investment Funds
• Changes to Commentary to National Instrument 81-107 Independent Review Committee for Investment Funds
Chapter 6 - Request for Comments
• CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study
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
• Bloomberg Trading Facility Limited -- Notice of Commission Order
• TSX -- Notice of Housekeeping Rule Amendments to the TSX Company Manual
• Canadian Securities Exchange -- Form 9 Notice of Proposed Issuance of Listed Securities and Policy 6 Distributions -- Notice of Approval
• Canadian Securities Exchange -- Introduction of Monthly Tier Credits -- Top of Book -- Notice of Approval
• Liquidnet Canada Inc. -- Changes to Broker Blocks Functionality -- Notice of Approval
• TriAct Canada Marketplace LP -- Amendments to Trading System Functionality -- Notice of Approval
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