Ontario Securities Commission Bulletin
Issue 42/32 - August 08, 2019
Ont. Sec. Bull. Issue 42/32
Table of Contents
Chapter 1 - Notices
Notices
• OSC Staff Notice 33-750 Compliance and Registrant Regulation -- Summary Report for Dealers, Advisers and Investment Fund Managers
• CSA Staff Notice 51-358 -- Reporting of Climate Change-related Risks
Notices of Hearing
• Sean Daley et al. -- ss. 127(8), 127(1)
Notices from the Office of the Secretary
• Sean Daley et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Foresters Asset Management Inc. et al.
• Freedom International Brokerage Company et al.
Orders
• Delivra Corp.
• Sean Daley et al. -- ss. 127(1), 127(5)
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
SROs
• Investment Industry Regulatory Organization of Canada (IIROC) -- Amendments Respecting Provision of Price Improvement by a Dark Order -- Notice of Commission Approval
Marketplaces
• CSE -- Amendments to Trading System Functionality & Features -- Notice and Request for Comment
• CSE -- Notice of Withdrawal of Proposed Amendments to Trading Rules
Clearing Agencies
• Banque Centrale De Compensation Carrying on Business as LCH SA -- Application for Exemption from Recognition as a Clearing Agency -- OSC Notice and Request for Comment
Chapter 25 - Other Information
Consents
• Newstrike Brands Ltd. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA
Application to Extend Temporary Order
• Sean Daley et al. -- ss. 127(8), 127(1)
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