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