Securities Law & Instruments

OSC Bulletin Volume 42, Issue 40 (October 8, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

Chapter 1 Notices / News Releases 7831
1.1 Notices 7831
1.1.1 Notice of Correction – 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 – Annex F 7831
1.1.2 OSC Staff Notice 11-737 (Revised) – Securities Advisory Committee – Vacancies 7832
1.2 Notices of Hearing 7833
1.2.1 Bardya Ziaian – ss. 8, 21.7 7833
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 7834
1.4.1 First Global Data Ltd. et al. 7834
1.4.2 Aurelio Marrone 7834
1.4.3 Joseph Debus 7835
1.4.4 Derek F.C. Elliott 7835
1.4.5 Bardya Ziaian 7836
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7837
2.1 Decisions 7837
2.1.1 Russell Investments Canada Limited 7837
2.1.2 Purpose Investments Inc. and Purpose Structured Equity Yield Portfolio 7839
2.1.3 Summit Industrial Income REIT et al. 7841
2.1.4 SEI Investments Canada Company and 7847
2.1.5 Summit Industrial Income REIT – s. 5.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions 7851
2.1.6 Evolve Funds Group Inc. 7855
2.1.7 I.G. Investment Management, Ltd. 7858
2.1.8 I.G. Investment Management, Ltd. 7862
2.2 Orders 7867
2.1.1 Aurelio Marrone 7867
2.1.2 Joseph Debus 7868
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 7869
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7869
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7869
4.2.2 Outstanding Management & Insider Cease Trading Orders 7869
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7871
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8023
Chapter 12 Registrations 8033
12.1.1 Registrants 8033
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8035
13.1 SROs 8035
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Notice of Proposed Amendments Respecting the Trading of Derivatives on a Marketplace – Request for Comment 8035
13.1.2 Investment Industry Regulatory Organization of Canada (IIROC) – Proposed Amendments Regarding Exemptions for Bulk Account Movements – Request for Comment 8036
13.2 Marketplaces (nil)
13.3 Clearing Agencies 8037
13.3.1 CDS Clearing and Depository Services Inc. –    Material Amendments to CDS External  Procedures – Interest Charges 8037
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8039