Ontario Securities Commission Bulletin
Issue 43/16 - April 16, 2020
Ont. Sec. Bull. Issue 43/16
Table of Contents
Chapter 1 - Notices
Notices
• CSA Notice 31-357 -- Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• OSC Notice of General Order -- Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• OSC Notice of General Order -- Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Notices from the Office of the Secretary
• Money Gate Mortgage Investment Corporation et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• National Financial Services LLC
• Fidelity Prime Financing LLC
• Eurex Clearing AG
Order
• MBMI Resources Inc.
• Ontario Instrument 31-511 Relief in respect of Client Focused Reforms Conflict of Interest Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• Ontario Instrument 31-512 Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
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
• Creditex Securities Corporation -- Application for Exemption from Marketplace Rules -- Notice and Request for Comment
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