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 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
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
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