Securities Law & Instruments

OSC Bulletin Volume 42, Issue 36 (September 5, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 7157
1.1 Notices (nil)
1.2 Notices of Hearing 7157
1.2.1 Sentry Investments Inc. and Sean Driscoll – s. 144 7157
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 7158
1.4.1 Sentry Investments Inc. and Sean Driscoll 7158
1.4.2 The Toronto-Dominion Bank 7158
1.4.3 Royal Bank of Canada 7159
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7161
2.1 Decisions 7161
2.1.1 Purpose Investments Inc. et al. 7161
2.1.2 Canoe Financial LP et al. 7166
2.1.3 Canoe Financial LP et al. 7172
2.1.4 Mercer Park Brand Acquisition Corp. 7176
2.1.5 Stewards Canada 7181
2.1.6 Pentecostal Financial Services Group Inc. et al. 7190
2.1.7 Canaccord Genuity Growth II Corp. 7201
2.2 Orders 7207
2.2.1 Mercal Capital Corp. 7207
2.2.2 Financial & Risk Transaction Services Ireland Limited – s. 147 7208
2.2.3 Western Asset Management Company, LLC – s. 80 of the CFA 7219
2.2.4 M2 Cobalt Corp. 7228
2.2.5 Delivra Corp. – s. 1(6) of the OBCA 7231
2.3 Orders with Related Settlement Agreements 7232
2.3.1 The Toronto-Dominion Bank – ss. 127, 127.1 7232
2.3.2 Royal Bank of Canada – ss. 127, 127.1 7253
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 7273
3.1 OSC Decisions 7273
3.1.1 The Toronto-Dominion Bank – ss. 127, 127.1 7273
3.1.2 Royal Bank of Canada – ss. 127, 127.1 7275
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 7277
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7277
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7277
4.2.2 Outstanding Management & Insider Cease Trading Orders 7277
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 7279
6.1.1 CSA Notice and Request for Comment – Proposed Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements 7279
Chapter 7 Insider Reporting 7293
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7367
Chapter 12 Registrations 7375
12.1.1 Registrants 7375
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7377
13.1 SROs 7377
13.1.1 IIROC – Proposed Amendments Respecting Non-Clients – Request for Comment 7377
13.2 Marketplaces 7378
13.2.1 Financial & Risk Transaction Services Ireland Limited – Application for Exemptive Relief – Notice of Commission Order 7378
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 7379