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 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
• 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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