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 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

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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