Ontario Securities Commission Bulletin
Issue 42/50 - December 12, 2019
Ont. Sec. Bull. Issue 42/50
Table of Contents
Chapter 1 - Notices
Notices
• CSA Staff Notice 13-315 (Revised) -- Securities Regulatory Authority Closed Dates 2020
• Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notices from the Office of the Secretary
• Aly Babu Husein Mawji
• The Catalyst Group Inc. et al.
• The Catalyst Group Inc. et al.
• Majd Kitmitto et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Strathbridge Asset Management Inc. et al.
• RP Investment Advisors LP
• First Mining Gold Corp. and Cantor Fitzgerald Canada Corporation
• Lincluden Investment Management Limited
• TerrAscend Corp.
Orders
• Aly Babu Husein Mawji -- ss. 127(1), 127(10)
• Karmin Exploration Inc.
• The Catalyst Group Inc. et al. -- s. 127
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Aly Babu Husein Mawji -- 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 5 - Rules and Policies
• Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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
• Mutual Fund Dealers Association of Canada (MFDA) -- Amendment to MFDA By-Law No. 1 Section 24.A (Ombudservice) -- Notice of Commission Approval
• Investment Industry Regulatory Organization of Canada (IIROC) -- Amendments to Dealer Member Rule 1200.3 and Notes to Statement D of Form 1 Regarding Free Credit Cash Segregated in Trust for Clients -- Notice of Commission Approval
Marketplaces
• Toronto Stock Exchange -- Notice of Housekeeping Rule Amendments to the TSX Company Manual
• Neo Exchange -- Listing Manual & Forms Amendments -- Request for Comments
Clearing Agencies
• CDS Clearing and Depository Services Inc. (CDS®) -- Material Amendments to CDS External Procedures Related to Liquidity Risk Management -- OSC Staff Notice of Request for Comment
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