Securities Law & Instruments

OSC Bulletin Volume 43, Issue 07 (February 13, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 1291
1.1 Notices 1291
1.1.1 CSA Second Notice and Request for Comment – Proposed National Instrument 52-112 Non-GAAP and Other Financial Measure Disclosure – Proposed Companion Policy 52-112 Non-GAAP and Other Financial Measures Disclosure – Related Proposed Consequential Amendments and Changes 1291
1.1.2 Notice of Ministerial Approval of National Instrument 94-102 Customer Clearing and Protection of Customer Collateral and Positions 1336
1.1.3 CSA Staff Notice 23-326 Order Protection Rule: Market Share Threshold for the period April 1, 2020 to March 31, 2021 1337
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 1339
1.4.1 Issam El-Bouji 1339
1.4.2 Solar Income Fund Inc. et al. 1339
1.4.3 First Global Data Ltd. et al. 1340
1.4.4 Sean Daley and Kevin Wilkerson 1340
1.4.5 Joseph Debus 1341
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 1343
2.1 Decisions 1343
2.1.1 Fortrade Canada Ltd. 1343
2.1.2 1832 Asset Management L.P. 1349
2.1.3 Ovintiv Inc. 1354
2.1.4 BlackRock Asset Management Canada Limited 1357
2.2 Orders 1364
2.2.1 Cautivo Mining Inc. 1364
2.2.2 Solar Income Fund Inc. 1365
2.2.3 First Global Data Ltd. et al. 1365
2.2.4 Joseph Debus 1366
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 1367
3.1 OSC Decisions 1367
3.1.1 Issam El-Bouji 1367
3.2 Director's Decisions 1370
3.2.1 Jonathan Covello 1370
Chapter 4 Cease Trading Orders 1373
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1373
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1373
4.2.2 Outstanding Management & Insider Cease Trading Orders 1373
Chapter 5 Rules and Policies

1375

5.1.1 National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion Policy 1375
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1415
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1563
Chapter 12 Registrations 1569
12.1.1 Registrants 1569
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 1571
13.1 SROs 1571
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Housekeeping Amendments to Form 2 for Consistency with the Current Cultural and Business Practices – Notice of Commission Deemed Approval 1571
13.2 Marketplaces (nil)
13.3 Clearing Agencies 1572
13.3.1 CDS Clearing and Depository Services Inc. – Material Amendments to CDS Rules and External Procedures – Liquidity Risk Management – Notice of Commission Approval 1572
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 1573