Securities Law & Instruments

OSC Bulletin Volume 41, Issue 35 (August 30, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 6809
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 6809
1.5.1 Maria Psihopedas 6809
1.5.2 Muchoki Fungai Simba 6809
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6811
2.1 Decisions 6811
2.1.1 State Farm Investor Services (Canada)Co. and Desjardins Financial Security Investments Inc. 6811
2.1.2 Fidelity Investments Canada ULC 6814
2.1.3 Yorkville Asset Management Inc. 6819
2.1.4 Interactive Brokers Canada Inc. 6824
2.1.5 Purpose Investments Inc. et al. 6831
2.1.6 IA Clarington Investments Inc. 6838
2.1.7 Interactive Brokers Canada Inc. 6843
2.1.8 Asanko Gold Inc. et al. 6850
2.1.9 Oncolytics Biotech Inc. and Canaccord Genuity Corp. 6856
2.1.10 Knowledge First Financial Inc. and Heritage Education Funds Inc. 6862
2.2 Orders 6865
2.2.1 Trillium Credit Card Trust II 6865
2.2.2 Muchoki Fungai Simba 6868
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 6869
2.4.1 PFL Futures Limited – s. 38 of the CFA 6869
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 6879
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6879
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6879
4.2.2 Outstanding Management & Insider Cease Trading Orders 6879
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6881
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6947
Chapter 12 Registrations 6955
12.1.1 Registrants 6955
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6957
13.1 SROs (nil)
13.2 Marketplaces 6957
13.2.1 Alpha Exchange Inc. – Introduction of Alpha Liquidity Provision Program – Notice of Proposed Fee Changes and Request for Comments 6957
13.2.2 CSE – Form 9 Notice of Proposed Issuance of Listed Securities and Policy 6 Distributions – Notice and Request for Comments to Form 9 and Policy 6 6961
13.3 Clearing Agencies 6962
13.3.1 CDS – Material Amendments to CDS Participant Rules Related to Lines of Credit Requirements for Non-Contributing Receivers of Credit Making Canadian Dollar Settlements – OSC Staff Notice of Request for Comment 6962
13.3.2 CDS – Material Amendments to CDS Rules Related to the Removal of the Central Counterparty (CCP) Cap for CDS Participants Who Use the Continuous Net Settlement Service (CNS) – OSC Staff Notice of Request for Comment 6963
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 6965