Securities Law & Instruments

OSC Bulletin Volume 42, Issue 19 (May 16, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 4421
1.1 Notices 4421
1.1.1 Notice of Administrative Arrangement for the Transfer of Personal Data with EEA Authorities 4421
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 4429
1.3.1 NextBlock Global Limited and Alex Tapscott – ss. 127, 127.1 4429
1.4 Notices from the Office of the Secretary 4433
1.4.1 BDO Canada LLP 4433
1.4.2 Issam El-Bouji 4433
1.4.3 BDO Canada LLP 4434
1.4.4 NextBlock Global Limited and Alex Tapscott 4434
1.4.5 Paramount Equity Financial Corporation et al. 4435
1.4.6 Money Gate Mortgage Investment Corporation et al. 4436
1.4.7 NextBlock Global Limited and Alex Tapscott 4436
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 4437
2.1 Decisions 4437
2.1.1 LCH Limited 4437
2.1.2 Vision Capital Corporation and Vision Alternative Income Fund 4439
2.1.3 Pembroke Private Wealth Management Ltd. and GBC Corporate Bond Fund (previously named “The Pembroke 4449
2.2 Orders 4453
2.2.1 BDO Canada LLP 4453
2.2.2 FX Connect Multilateral Trading Facility – s. 147 4454
2.2.3 ZCL Composites Inc. 4459
2.2.4 Pershing Gold Corporation 4460
2.2.5 Big 8 Split Inc. 4461
2.3 Orders with Related Settlement Agreements 4463
2.3.1 NextBlock Global Limited and Alex Tapscott – ss. 127, 127.1 4463
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4473
3.1 OSC Decisions 4473
3.1.1 NextBlock Global Limited and Alex Tapscott – ss. 127, 127.1 4473
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 4477
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4477
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4477
4.2.2 Outstanding Management & Insider Cease Trading Orders 4477
Chapter 5 Rules and Policies

4479

5.1.1 Notice of Amendments and Changes to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees and Corresponding Companion Policies 4479
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4485
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4581
Chapter 12 Registrations 4585
12.1.1 Registrants

4585

Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 4587
13.1 SROs (nil)
13.2 Marketplaces 4587
13.2.1 FX Connect Multilateral Trading Facility– Application for Exemptive Relief – Notice of Commission Interim Order 4587
13.3 Clearing Agencies 4588
13.3.1 CDCC – Proposed Amendments to the Rules and Operations Manual to Shorten Time Frames for Monthly Options Expiry – OSC Staff Notice of Request for Comment                 4588
13.3.2 CDS – Technical Amendments to CDS Procedures – Housekeeping Changes – April 2019 – Notice of Effective Date 4589
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 4591