Ontario Securities Commission Bulletin
Issue 43/10 - March 05, 2020
Ont. Sec. Bull. Issue 43/10
Table of Contents
Chapter 1 - Notices
Notices
• CSA Staff Notice 21-328 -- Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities
• CSA Notice 43-310 Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)
Notices from the Office of the Secretary
• Paramount Equity Financial Corporation et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Andlauer Healthcare Group Inc.
• IA Clarington Investments Inc.
• AGF Investments Inc. and the Terminating Funds
Orders
• Paramount Equity Financial Corporation et al.
Rulings
• E D & F Man Capital Markets Limited and E D & F Man Capital Markets Inc. -- s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options
Chapter 3 - Reasons: Decisions, Orders and Rulings
Director's Decisions
• Arie Papernick
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 6 - Request for Comments
• CSA Notice and Request for Comment -- Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Changes to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance Protection of Older and Vulnerable Clients
• Proposed National Instrument 45-110 Start-up Crowdfunding Registration and Prospectus Exemptions -- Notice and Request for Comment
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) -- Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Following Implementation of IIROC Rules -- Notice of Commission Deemed Approval
Marketplaces
• Trumid Financial LLC -- Application for Exemption from Marketplace Rules -- Notice and Request for Comment
• FX Connect MTF and Currenex MTF -- Application for Exemption from Recognition as an Exchange -- Notice and Request for Comment
• Lynx ATS -- Notice of Proposed Changes and Request for Comment
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