Securities Law & Instruments

OSC Bulletin Volume 42, Issue 08 (February 21, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 1509
1.1 Notices 1509
1.1.1 CSA Staff Notice 45-324 Update on the Start-up Crowdfunding Registration and Prospectus Exemptions 1509
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.3.1 AlphaNorth Asset Management and Steven Douglas Palmer – ss. 127, 127.1 1511
1.4 Notices from the Office of the Secretary 1518
1.4.1 AlphaNorth Asset Management and Steven Douglas Palmer 1518
1.4.2 AlphaNorth Asset Management and Steven Douglas Palmer 1518
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 1519
2.1 Decisions 1519
2.1.1 Northwest & Ethical Investments L.P. et al. 1519
2.1.2 Just Energy Group Inc. 1521
2.2 Orders 5460
2.2.1 Aequitas Innovations Inc. and Neo Exchange Inc. et al. – ss. 21, 144 1526
2.2.2 CNSX Markets Inc. – ss. 21, 144 1560
2.2.3 Nasdaq CXC Limited and Ensoleillement Inc. – ss. 21, 144 1580
2.2.4 TMX Group Limited et al. – ss. 21, 144 1610
2.2.5 Ikkuma Resources Corp. 1654
2.3 Orders with Related Settlement Agreements 1656
2.3.1 AlphaNorth Asset Management and Steven Douglas Palmer – ss. 127, 127.1 1656
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 1669
3.1 OSC Decisions 1669
3.1.1 AlphaNorth Asset Management and Steven Douglas Palmer – ss. 127, 127.1 1669
3.2 Director's Decisions 1671
3.2.1 3iQ Corp. and The Bitcoin Fund 1671
Chapter 4 Cease Trading Orders 1679
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1679
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1679
4.2.2 Outstanding Management & Insider Cease Trading Orders 1679
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1681
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1749
Chapter 12 Registrations 1755
12.1.1 Registrants 1755
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 1757
13.1 SROs 1757
13.1.1 IIROC – Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements – Request for Comment 1757
13.2 Marketplaces 1758
13.2.1 TMX Group Limited et al. – Notice of Variation Orders 1758
13.2.2 CSE – Policy 6 Distributions – Summary of Comments and Notice of Approval 1759
13.2.3 Neo Exchange Inc. – Proposed Amendments to the Listing Manual and Listing Forms – OSC Staff Notice of Request for Comment 1760
13.2.4 TSX Inc. – Dynamic Order Protection Rule Repricing – Notice of Proposed Changes and Request for Comment 1761
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1.1 RHC Capital Corporation – s. 4(b) of Ont. Reg. 289/00 under the OBCA 1765
Index 1767