Securities Law & Instruments

OSC Bulletin Volume 43, Issue 34 (August 20, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 6491
1.1 Notices 6491
1.1.1 CSA Notice of Amendments to National Instrument 51-102 Continuous Disclosure Obligations and Changes to Certain Policies Related to the Business Acquisition Report Requirements 6491
1.1.2 Joint CSA/IIROC Staff Notice 23-327 – Update on Internalization within the Canadian Equity Market 6504
1.2 Notices of Hearing 6533
1.2.1 ESW Capital, LLC and Optiva Inc. – s. 104 6533
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 6534
1.4.1 ESW Capital, LLC and Optiva Inc. 6534
1.4.2 First Global Data Ltd. et al. 6534
1.4.3 Joseph Debus 6535
1.4.4 Canada Cannabis Corporation et al. 6535
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6537
2.1 Decisions 6537
2.1.1 Picton Mahoney Asset Management et al. 6537
2.1.2 Georgeson Shareholder Communications Canada Inc. 6543
2.1.3 Wealthsimple Digital Assets Inc. 6548
2.1.4 Mercer Global Investments Canada Limited 6562
2.1.5 Ninepoint Partners LP 6565
2.2 Orders 6568
2.2.1 Alchemist Mining Incorporated 6568
2.2.2 First Global Data Ltd. et al. 6569
2.2.3 Horizons ETFs Management (Canada) Inc. 6570
2.2.4 Lendified Holdings Inc. 6572
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6577
3.1 OSC Decisions 6577
3.1.1 Joseph Debus 6577
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 6581
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6581
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6581
4.2.2 Outstanding Management & Insider Cease Trading Orders 6581
Chapter 5 Rules and Policies

6583

5.1.1 Start-up Crowdfunding Guide for Businesses 6583
5.1.2 Start-up Crowdfunding Guide for Funding Portals 6593
5.1.3 Start-up Crowdfunding Guide for Investors 6600
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6607
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6679
Chapter 12 Registrations 6687
12.1.1 Registrants 6687
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6689
13.1 SROs (nil)
13.2 Marketplaces 6689
13.2.1 Canadian Securities Exchange – Amendments to Trading System Functionality & Features – Notice and Request for Comment 6689
13.3 Clearing Agencies 6692
13.3.1 Canadian Derivatives Clearing Corporation (CDCC) – Proposed Amendments to the Rules of CDCC with Respect to the CGZ Futures Contract – OSC Staff Notice of Request for Comment 6692
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 6693