Securities Law & Instruments

OSC Bulletin Volume 43, Issue 35 (August 27, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 6695
1.1 Notices 6695
1.1.1 Notice of Ministerial Approval of Amendmentsto National Instrument 44-102 Shelf Distributions 6695
1.1.2 Notice of Ministerial Approval of Amendments to National Instrument 21-101 Marketplace 6696
1.1.3 CSA Staff Notice 31-359 – OBSI Joint Regulators Committee Annual Report for 2019 6697
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 6700
1.4.1 B 6700
1.4.2 Majd Kitmitto et al. 6700
1.4.3 ESW Capital, LLC and Optiva Inc. 6701
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6703
2.1 Decisions 6703
2.1.1 I.G. Investment Management, Ltd. 6703
2.2 Orders 6707
2.2.1 Horizons ETFs Management (Canada) Inc. and Horizons Global Risk Parity ETF 6707
2.2.2 Green Rise Capital Corporation – s. 9.1 of MI 61-101 and s. 6.1 of NI 62-104 6708
2.2.3 ESW Capital, LLC and Optiva Inc. – s. 104 6713
2.2.4 Torstar Corporation – s. 1(6) of the OBCA 6714
2.2.5 Investment Industry Regulatory Organization of Canada (IIROC) – s. 21.2.3 6715
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6719
3.1 OSC Decisions 6719
3.1.1 B – s. 17 6719
3.1.2 Majd Kitmitto et al. – Rule 29 of OSC Rules of Procedure and Forms 6723
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 6727
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6727
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6727
4.2.2 Outstanding Management & Insider Cease Trading Orders 6727
Chapter 5 Rules and Policies

6729

5.1.1 Amendments to National Instrument 44-102 Shelf Distributions and Changes to Companion Policy 44-102CP Shelf Distributions relating to At-the-Market Distributions 6729
5.1.2 National Instrument 21-101 Marketplace Operation and Companion Policy 21-101CP Marketplace Operation 6736
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6741
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6831
Chapter 12 Registrations 6839
12.1.1 Registrants 6839
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6841
13.1 SROs 6841
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – IIROC IP – Notice of Commission Order 6841
13.1.2 Investment Industry Regulatory Organization of Canada (IIROC) – Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements – Notice of Commission Approval 6842
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 6843