Ontario Securities Commission Bulletin

Issue 42/49 - December 05, 2019

Ont. Sec. Bull. Issue 42/49

Table of Contents

Chapter 1 - Notices

Notices

Reducing Regulatory Burden in Ontario's Capital Markets 2019

Notice of Ministerial Approval of Amended and Restated Memorandum of Understanding with the UK Financial Conduct Authority -- Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Alternative Investment Fund Managers

Notices of Hearing

The Catalyst Capital Group Inc. et al. -- s. 127

Notices from the Office of the Secretary

Farhang (Fred) Dagostar Nikoo

First Global Data Ltd. et al.

The Catalyst Group Inc. et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

HEXO Corp. et al.

Cascades inc.

Cowan Asset Management Limited and the Fund

Caldwell Investment Management Ltd.

ClearStream Energy Services Inc.

Orders

Street Capital Group Inc. -- s. 1(6) OBCA

Farhang (Fred) Dagostar Nikoo -- ss. 127(1), 127(10)

Energy Conversion Technologies Inc. -- s. 144

Silver Maple Ventures Inc.

PetroQuest Energy, Inc.

Banque Centrale de Compensation -- s. 147 of the OSA

Freckle Ltd. (formerly, Knol Resources Corp.) -- s. 1(11)(b)

First Global Data Ltd. et al. -- ss. 127, 127.1

Rulings

Marex North America LLC et al. -- s. 38 of the CFA

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

Farhang (Fred) Dagostar Nikoo -- ss. 127(1), 127(10)

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 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

Registrants

Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories

Marketplaces

Canadian Securities Exchange -- Significant Change Subject to Public Comment -- Amendments to Trading System Functionality & Features -- Notice and Request for Comment

Clearing Agencies

Banque Centrale de Compensation Carrying on Business as LCH SA -- Application for Exemptive Relief -- Notice of Commission Order

Chapter 25 - Other Information

Sandspring Resources Ltd. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA

Trillium Therapeutics Inc. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA

 

Top