Ontario Securities Commission Bulletin
Issue 42/13 - March 28, 2019
Ont. Sec. Bull. Issue 42/13
Table of Contents
Chapter 1 - Notices
Notices
• OSC Notice 11-785 -- Statement of Priorities -- Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2020
Notices of Hearing
• 3iQ Corp. and The Bitcoin Fund -- s. 8
Notices of Hearing with Related Statements of Allegations
• Clifton Blake Asset Management Ltd. et al. -- s. 127
• Alain Armand Theroux -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Donna Hutchinson et al.
• 3iQ Corp. and The Bitcoin Fund
• Martin Bernholtz
• Clifton Blake Asset Management Ltd. et al.
• Alain Armand Theroux
Chapter 2 - Decisions, Orders and Rulings
Decisions
• The Depository Trust & Clearing Corporation
• Citizens Bank, National Association
• Russell Investments Canada Limited
• Fixed Income Clearing Corporation -- s. 6.1 of NI 24-102 Clearing Agency Requirements
• Pernod Ricard S.A.
• IMAX Corporation
• Hydro One Inc. and Hydro One Limited
• BMO Investments Inc. et al.
Orders
• Fixed Income Clearing Corporation -- s. 147
Rulings
• Global Asset Advisors LLC -- s. 38 of the CFA
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 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
SROs
• MFDA -- Proposed Amendments to MFDA By-Law No. 1, ss. 1 (Definitions) and 22 (Investigatory Powers) -- Request for Comments
• MFDA -- Proposed Amendments to MFDA By-Law No. 1, s. 24.A (Ombudservice) -- Request for Comment
• IIROC -- Amendments to Transaction Reporting for Debt Securities -- Notice of Commission Approval
Marketplaces
• Canadian Securities Exchange -- Amendments to Trading System Functionality & Features -- Notice and Request for Comment
Clearing Agencies
• Fixed Income Clearing Corporation -- Notice of Commission Order -- Application for Exemptive Relief
Chapter 25 - Other Information
Consents
• Plymouth Realty Capital Corp. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA
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