Ontario Securities Commission Bulletin

Issue 42/51 - December 19, 2019

Ont. Sec. Bull. Issue 42/51

Table of Contents

Chapter 1 - Notices

Notices

CSA Staff Notice 45-326 -- Update on: Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 45-106CP Prospectus Exemptions and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages

OSC Staff Notice 51-730 -- Corporate Finance Branch 2019 Annual Report

CSA Staff Notice 81-332 -- Next Steps on Proposals to Prohibit Certain Investment Fund Embedded Commissions

OSC Staff Notice 81-730 -- Consideration of Alternative Approaches to Address Concerns Related to Deferred Sales Charges

Notices of Hearing with Related Statements of Allegations

Miner Edge Inc. et al. -- ss. 127(1), 127.1

Notices from the Office of the Secretary

Amendments to the Ontario Securities Commission Rules of Procedure and Forms and Practice Guideline as of December 10, 2019

Sean Daley and Kevin Wilkerson

The Catalyst Capital Group Inc. et al.

Miner Edge Inc. et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

RBC Global Asset Management Inc.

Tobias Lütke

Fiduciary Trust Company of Canada and Franklin Templeton Investments Corp.

NBC Asset TrustTM

Venator Capital Management Ltd. and Venator Income Fund

National Bank Investments inc. et al.

Blackrock Asset Management Canada Limited

Orders

Gelum Capital Ltd.

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

The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- s. 144

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

Notice of Adoption of Amendments to the Ontario Securities Commission's Rules of Procedure and Forms and Practice Guideline

OSC Rules of Procedure and Forms

OSC Practice Guideline

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

SROs

Investment Industry Regulatory Organization of Canada (IIROC) -- Amendments to Continuing Education Rules -- Notice of Commission Approval

Investment Industry Regulatory Organization of Canada (IIROC) -- Proposed Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime -- Notice of Withdrawal

Marketplaces

Nasdaq CXC Limited -- Notice of Proposed Changes and Request for Comment

Clearing Agencies

CDS -- Technical Amendment to CDS Procedures -- Application for Participation Changes -- October 2019 -- Notice of Effective Date

The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- Notice of Issuance of Variation Order

CDS Clearing and Depository Services Inc. (CDS) -- Proposed Significant Change to Eliminate CDS Fee Rebates and Proposed Amendments to Eliminate Network Connectivity Fees -- OSC Staff Notice of Request for Comment

 

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