Ontario Securities Commission Bulletin
Issue 42/34 - August 22, 2019
Ont. Sec. Bull. Issue 42/34
Table of Contents
Chapter 1 - Notices
Notices
• CSA Staff Notice 31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision
• OSC Staff Notice 11-787 Improving Fee Disclosure Through Behavioural Insights
• CSA Staff Notice 95-301 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives
Notices from the Office of the Secretary
• Sean Daley et al.
• BDO Canada LLP
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Algonquin Capital Corporation and Algonquin Fixed Income 2.0 Fund
• Cortland Credit Group Inc. et al.
• Connacher Oil and Gas Limited
• Allard, Allard & Associés Inc.
• TD Asset Management Inc. et al.
• Friedberg Mercantile Group Ltd.
Orders
• Sean Daley et al. -- ss. 127(1), 127(8)
• BDO Canada LLP
• Fiera Private Alternative Investments Inc. -- s. 1(6) of the OBCA
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
• IIROC -- Dealer Member Plain Language Rule Book -- Notice of Commission Approval
• IIROC -- Amendments to Client Identification and Verification Requirements -- Notice of Commission Approval
• IIROC -- Amendments to Form 1 for Use in, and Consistency with, the Dealer Member Plain Language Rule Book -- Notice of Commission Approval
• IIROC -- Amendments to Forms and Guidance Respecting Investment in a Dealer Member -- Notice of Commission Approval
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