Securities Law & Instruments

OSC Bulletin Volume 42, Issue 34 (August 22, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 6869
1.1 Notices 6869
1.1.1 CSA Staff Notice 31-356 Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision 6869
1.1.2 OSC Staff Notice 11-787 Improving Fee Disclosure Through Behavioural Insights 6877
1.1.3 CSA Staff Notice 95-301 Margin and Collateral Requirements for Non-Centrally Cleared Derivatives 6879
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 5429
1.4.1 Sean Daley et al. 6881
1.4.2 BDO Canada LLP 6881
1.5 Notices from the Office of the Secretary with Related Statements of Allegations 6881
Chapter 2 Decisions, Orders and Rulings 6883
2.1 Decisions 5431
2.1.1 Algonquin Capital Corporation and Algonquin Fixed Income 2.0 Fund 6883
2.1.2 Cortland Credit Group Inc. et al. 6887
2.1.3 Connacher Oil and Gas Limited 6891
2.1.4 Allard, Allard & Associés Inc. 6895
2.1.5 TD Asset Management Inc. et al. 6901
2.1.6 Friedberg Mercantile Group Ltd. 6906
2.2 Orders 6913
2.2.1 Sean Daley et al. – ss. 127(1), 127(8) 6913
2.2.2 BDO Canada LLP 6914
2.2.3 Fiera Private Alternative Investments Inc. – s. 1(6) of the OBCA 6915
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
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 6917
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6917
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6917
4.2.2 Outstanding Management & Insider Cease Trading Orders 6917
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6919
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings

7015

Chapter 12 Registrations 7019
12.1.1 Registrants 7019
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7021
13.1 SROs 7021
13.1 SROs 7021
13.1.1 IIROC – Dealer Member Plain Language Rule Book – Notice of Commission Approval 7021
13.1.2 IIROC – Amendments to Client Identification and Verification Requirements – Notice of Commission Approval 7022
13.1.3 IIROC – Amendments to Form 1 for Use in, and Consistency with, the Dealer Member Plain Language Rule Book – Notice of Commission Approval 7023
13.1.4 IIROC – Amendments to Forms and Guidance Respecting Investment in a Dealer Member – Notice of Commission Approval 7024
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 7025