Securities Law & Instruments

OSC Bulletin Volume 42, Issue 13 (March 28, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 2797
1.1 Notices 2797
1.1.1 OSC Notice 11-785 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2020 2797
1.2 Notices of Hearing 2799
1.2.1 3iQ Corp. and The Bitcoin Fund – s. 8 2799
1.3 Notices of Hearing with Related Statements of Allegations

2800

1.3.1 Clifton Blake Asset Management Ltd. et al. – s. 127 2800
1.3.2 Alain Armand Theroux – ss. 127(1), 127(10) 2804
1.4 Notices from the Office of the Secretary 2808
1.4.1 Donna Hutchinson et al. 2808
1.4.2 3iQ Corp. and The Bitcoin Fund 2808
1.4.3 Martin Bernholtz 2809
1.4.4 Clifton Blake Asset Management Ltd. et al. 2809
1.4.5 Alain Armand Theroux 2810
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 2811
2.1 Decisions 2811
2.1.1 The Depository Trust & Clearing Corporation 2811
2.1.2 Citizens Bank, National Association 2814
2.1.3 Russell Investments Canada Limited 2820
2.1.4 Fixed Income Clearing Corporation– s. 6.1 of NI 24-102 Clearing Agency Requirements 2825
2.1.5 Pernod Ricard S.A. 2827
2.1.6 IMAX Corporation 2834
2.1.7 Hydro One Inc. and Hydro One Limited 2838
2.1.8 BMO Investments Inc. et al. 2842
2.2 Orders 2847
2.2.1 Fixed Income Clearing Corporation– s. 147 2847
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 2853
2.4.1 Global Asset Advisors LLC– s. 38 of the CFA 2853
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 2863
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2863
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2863
4.2.2 Outstanding Management & Insider Cease Trading Orders 2863
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2865
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2999
Chapter 12 Registrations 3009
12.1.1 Registrants 3009
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 3011
13.1 SROs 3011
13.1.1

MFDA – Proposed Amendments to MFDA By-Law No. 1, ss. 1 (Definitions) and 22 (Investigatory Powers) – Request for Comments

3011
13.1.2

MFDA – Proposed Amendments to MFDA By-Law No. 1, s. 24.A (Ombudservice)– Request for Comment

3012
13.1.3

IIROC – Amendments to Transaction Reporting for Debt Securities –Notice of Commission Approval

3013
13.2 Marketplaces 3014
13.3 Clearing Agencies 3015
13.3.1

Fixed Income Clearing Corporation – Notice of Commission Order – Application for Exemptive Relief

3015
13.4 Trade Repositories (nil)
Chapter 25 Other Information 3017
25.1 Consents 3017
25.1.1 Plymouth Realty Capital Corp. – s. 4(b) of Ont. Reg. 289/00 under the OBCA 3017
Index 3019