Securities Law & Instruments

OSC Bulletin Volume 41, Issue 42 (October 18, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8127
1.1 Notices 8127
1.1.1 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 8127
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 8129
1.3.1 Larry Lee – ss. 127(1), 127(10) 8129
1.3.2 BDO Canada LLP – ss. 127(1), 127.1 8133
1.4 Notices from the Office of the Secretary 8142
1.4.1 Larry Lee 8142
1.4.2 eToro (Europe) Limited 8142
1.4.3 BDO Canada LLP 8143
1.4.4 Caldwell Investment Management Ltd. 8143
1.4.5 Money Gate Mortgage Investment Corporation et al. 8144
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8145
2.1 Decisions 8145
2.1.1 Parkland Fuel Corporation and Canaccord Genuity Corp. 8145
2.1.2 Frontenac Mortgage Investment Corporation 8151
2.1.3 First Block Capital Inc. and FBC Distributed Ledger Technology Adopters ETF 8153
2.1.4 Purpose Investments Inc. and Purpose Gold Bullion Fund 8159
2.2 Orders 8165
2.2.1 LCH.Clearnet Limited – s. 144 8165
2.2.2 1832 Asset Management L.P. et al. 8166
2.2.3 Caldwell Investment Management Ltd. 8169
2.2.4 Money Gate Mortgage Investment Corporation et al. 8170
2.3 Orders with Related Settlement Agreements 8171
2.3.1 eToro (Europe) Limited – ss. 127, 127.1 8171
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 8179
3.1 OSC Decisions 8179
3.1.1 eToro (Europe) Limited – ss. 127, 127.1 8179
3.1.2 Caldwell Investment Management Ltd. 8183
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 8189
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8189
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8189
4.2.2 Outstanding Management & Insider Cease Trading Orders 8189
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 8191
6.1.1 Proposed Amendments to Nationa Instrument 24-102 Clearing Agency Requirements and Proposed Changes to Companion Policy 24-102 Clearing Agency Requirements 8191
Chapter 7 Insider Reporting 8275
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8349
Chapter 12 Registrations 8361
12.1.1 Registrants 8361
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8363
13.1 SROs (nil)
13.2 Marketplaces 8363
13.2.1 Alpha Exchange Inc. – Introduction of Alpha Liquidity Provider Program – Notice of Commission Approval 8363
13.3 Clearing Agencies 8364
13.3.1 CDS – Material Amendments to CDS Rules Related to the Introduction of the China Bond Link Service – OSC Staff Notice of Request for Comment 8364
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8365