Ontario Securities Commission Bulletin
Issue 42/45 - November 07, 2019
Ont. Sec. Bull. Issue 42/45
Table of Contents
Chapter 1 - Notices
Notices from the Office of the Secretary
• 3iQ Corp. and The Bitcoin Fund
• MOAG Copper Gold Resources Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Evolve Funds Group Inc.
• FT Portfolios Canada Co. and First Trust Short Duration High Yield Bond ETF (CAD-Hedged)
• TD Investment Services Inc.
• Triple Flag Precious Metals Corp.
• TD Asset Management Inc. et al.
• Caldwell Investment Management Ltd. and Clearpoint Global Dividend Fund
Orders
• 3iQ and The Bitcoin Fund -- s. 8
• Portfolio 22 Multi-Family REIT LP
• Silk Road Energy Inc.
• Holloway Lodging Corporation
Rulings
• ICAP Securities Limited -- s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• 3iQ Corp. and The Bitcoin Fund -- s. 8
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
• CDS Clearing and Depository Services Inc. -- Material Amendments to CDS Rules Related to Liquidity Risk Management -- Notice of Request for Comment
• Canadian Derivatives Clearing Corporation (CDCC) -- Proposed Amendments to the Rules, Risk Manual and Operations Manual with Respect to Liquidity Risk Management -- Notice of Request for Comment
• CDS Clearing and Depository Services Inc. -- Material Amendments to CDS Rules Related to Tiered Participation Information Sharing -- Notice of Request for Comment
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