Securities Law & Instruments

OSC Bulletin Volume 43, Issue 29 (July 16, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 5747
1.1 Notices 5747
1.1.1 Notice of Memorandum of Understanding for Oversight of CNSX Markets Inc. Between the Ontario Securities Commission and the British Columbia Securities Commission 5747
1.1.2 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 5752
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 5755
1.4.1 Sean Daley et al. 5755
1.4.2 Sean Daley and Kevin Wilkerson 5755
1.4.3 Stanislaw A. Pasyk 5756
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 5757
2.1 Decisions 5757
2.1.1 Chou Associates Management Inc. et al. 5757
2.1.2 Fiera Investments LP et al. 5761
2.1.3 Arrow Capital Management Inc. et al. 5776
2.1.4 HEXO Corp. et al. 5779
2.2 Orders 5786
2.2.1 Sean Daley et al. – ss. 127(8), 127(1) 5786
2.2.2 Sean Daley and Kevin Wilkerson 5787
2.2.3 Stanislaw A. Pasyk – ss. 127(1), 127(10) 5788
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 5789
2.4.1 Marex Spectron International Limited – s. 38 of the CFA 5789
Chapter 3 Reasons: Decisions, Orders and Rulings 5801
3.1 OSC Decisions 5801
3.1.1 Stanislaw A. Pasyk – ss. 127(1), 127(10) 5801
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 5805
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5805
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5805
4.2.2 Outstanding Management & Insider Cease Trading Orders 5805
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5807
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5893
Chapter 12 Registrations 5899
12.1.1 Registrants 5899
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5901
13.1 SROs 5901
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Proposed Amendments to Swap Counterparty Margin Requirements – Request for Comment 5901
13.2 Marketplaces (nil)
13.3 Clearing Agencies 5902
13.3.1 CDS Clearing and Depository Services Inc. – Material Amendments to CDS External Procedures Related to Interest Charges – Notice of Request for Comment 5902
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 5913