Securities Law & Instruments

OSC Bulletin Volume 43, Issue 38 (September 17, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 7297
1.1 Notices 7297
1.1.1 OSC Staff Notice 33-751 Summary Report for Dealers, Advisers and Investment Fund Managers 7297
1.1.2 CSA Notice of Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments Prohibition of Mutual Fund Trailing Commissions Where No Suitability Determination Was Required 7299
1.1.3 Notice of Ministerial Approval of Memorandum of Understanding for Oversight of CNSX Markets Inc. Between the Ontario Securities Commission and the British Columbia Securities Commission 7320
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 7321
1.4.1 First Global Data Ltd. et al. 7321
1.4.2 Paramount Equity Financial Corporation et al. 7321
1.4.3 Canada Cannabis Corporation et al. 7322
1.4.4 Sean Daley et al. 7322
1.4.5 Sean Daley and Kevin Wilkerson 7323
1.4.6 ESW Capital, LLC and Optiva Inc. 7323
1.4.7 VRK Forex & Investments Inc. and Radhakrishna Namburi 7324
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7325
2.1 Decisions 7325
2.1.1 Manulife Investment Management Limited and Manulife Floating Rate Income Fund 7325
2.1.2 CI Investments Inc. and CI First Asset U.S. Trendleaders Index ETF 7330
2.1.3 Shandong Gold Mining (HongKong) Co., Limited and Cardinal Resources 7334
2.1.4 WPT Industrial Real Estate Investment Trust 7337
2.1.5 BMO Asset Management Inc. 7341
2.1.6 Sustainable Innovation & Health Dividend Fund 7344
2.2 Orders 7346
2.2.1 Paramount Equity Financial Corporation et al. 7346
2.2.2 Sean Daley et al. – ss. 127(8), 127(1) 7347
2.2.3 Sean Daley and Kevin Wilkerson 7347
2.2.4 ESW Capital, LLC and Optiva Inc. – s. 104 7348
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 7349
3.1 OSC Decisions 7349
3.1.1 First Global Data Ltd. et al. 7349
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 7357
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7357
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7357
4.2.2 Outstanding Management & Insider Cease Trading Orders 7357
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 7359
6.1.1 Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions Relating to the Offering Memorandum Prospectus Exemption 7359
Chapter 7 Insider Reporting 7499
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7565
Chapter 12 Registrations 7569
12.1.1 Registrants 7569
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5561
13.1 SROs (nil)
13.2 Marketplaces 5561
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 7571