Ontario Securities Commission Bulletin
Issue 42/36 - September 05, 2019
Ont. Sec. Bull. Issue 42/36
Table of Contents
Chapter 1 - Notices
Notices of Hearing
• Sentry Investments Inc. and Sean Driscoll -- s. 144
Notices from the Office of the Secretary
• Sentry Investments Inc. and Sean Driscoll
• The Toronto-Dominion Bank
• Royal Bank of Canada
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Purpose Investments Inc. et al.
• Canoe Financial LP et al.
• Canoe Financial LP et al.
• Mercer Park Brand Acquisition Corp.
• Stewards Canada
• Pentecostal Financial Services Group Inc. et al.
• Canaccord Genuity Growth II Corp.
Orders
• Mercal Capital Corp.
• Financial & Risk Transaction Services Ireland Limited -- s. 147
• Western Asset Management Company, LLC -- s. 80 of the CFA
• M2 Cobalt Corp.
• Delivra Corp. -- s. 1(6) of the OBCA
Orders with Related Settlement Agreements
• The Toronto-Dominion Bank -- ss. 127, 127.1
• Royal Bank of Canada -- ss. 127, 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• The Toronto-Dominion Bank -- ss. 127, 127.1
• Royal Bank of Canada -- ss. 127, 127.1
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 6 - Request for Comments
• CSA Notice and Request for Comment -- Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements
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 -- Proposed Amendments Respecting Non-Clients -- Request for Comment
Marketplaces
• Financial & Risk Transaction Services Ireland Limited -- Application for Exemptive Relief -- Notice of Commission Order
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