Ontario Securities Commission Bulletin

Issue 42/04 - January 24, 2019

Ont. Sec. Bull. Issue 42/04

Table of Contents

Chapter 1 - Notices

Notices from the Office of the Secretary

Katanga Mining Limited

Larry Keith Davis

Money Gate Mortgage Investment Corporation et al.

Donna Hutchinson et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

Mackenzie Financial Corporation and Mackenzie Credit Absolute Return Fund

Scotia Capital Inc. et al.

BMO Nesbitt Burns Inc. and BMO InvestorLine Inc.

CMC Markets Canada Inc.

Marquest Asset Management Inc. et al.

SmartBe Wealth Inc.

SmartBe Wealth Inc.

Evolve Funds Group Inc. et al.

Orders

Katanga Mining Limited -- s. 17

Katanga Mining Limited -- s. 17

Katanga Mining Limited -- s. 17

Larry Keith Davis -- ss. 127(1), 127(10)

Authorization Order -- s. 3.5(3)

BlackPearl Resources Inc.

Enbridge Income Fund

Rulings

CCM FS, LLC -- s. 38 of the CFA

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

Katanga Mining Limited -- s. 17

Larry Keith Davis -- ss. 127(1), 127(10)

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 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

Clearing Agencies

Fixed Income Clearing Corporation -- Application for Exemption from Recognition as a Clearing Agency -- Notice and Request for Comment

 

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