Securities Law & Instruments

OSC Bulletin Volume 44, Issue 01 (January 7, 2021)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases (nil)
1.1 Notices (nil)
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 (nil)
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings (nil)
2.1 Decisions 1
2.1.1 Allianz Investment Management U.S. LLC 185
2.2 Orders 3
2.2.1 SouthGobi Resources Ltd 3
2.2.2 Rockwell Diamonds Inc 7l
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 11
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 11
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 11
4.2.2 Outstanding Management & Insider Cease Trading Orders 11
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 13
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 179
Chapter 12 Registrations 185
12.1.1 Registrants 185
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 187
13.1 SROs 187
13.1.1 Canadian Investor Protection Fund (CIPF) – MOU regarding the Oversight of CIPF – Notice of Coming into Effect 187
13.1.2 MFDA Investor Protection Corporation (MFDA IPC) – MOU regarding the Oversight of MFDA IPC – Notice of Coming into Effect 188
13.2 Marketplaces 189
13.2.1 Tradelogiq Markets Inc. - Lynx 2.0 – Notice of Approval 189
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1 Exemptions (nil)
Index 191