Securities Law & Instruments

OSC Bulletin Volume 43, Issue 49 (November 3, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 9037
1.1 Notices 9037
1.1.1 Notice of Memorandum of Understanding for Information Sharing Between the Ontario Securities Commission and the Financial Transactions and Reports Analysis Centre of Canada 9037
1.1.2 OSC Notice of General Order – Ontario Instrument 48-503 Temporary Exemption from Certain Provisions of Ontario Securities Commission Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions 9042
1.1.3 Notice of Memorandum of Understanding Concerning on-going Cooperation, Assistance and Information Sharing with the Financial Services Regulatory Authority of Ontario 9043
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 9050
1.4.1 Dino Paolucci 9050
1.4.2 Daniel Sheehan 9050
1.4.3 First Global Data Ltd. et al. 9051
1.4.4 Aurelio Marrone 9051
1.4.5 Update on Proceedings before the Ontario Securities Commission Tribunal 9052
1.4.6 First Global Data Ltd. et al. 9052
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9053
2.1 Decisions 9053
2.1.1 Questrade, Inc. 9053
2.1.2 Fairfax Africa Holdings Corporation 9060
2.1.3 I.G. Investment Management, Ltd. 9062
2.1.4 Investors Group Financial Services Inc. and Investors Group Securities Inc. 9067
2.2 Orders 9072
2.2.1 Daniel Sheehan 9072
2.2.2 Aurelio Marrone 9072
2.2.3 Ontario Instrument 48–503 Temporary Exemption from Certain Provisions of Ontario Securities Commission Rule 48 501 Trading during Distributions, Formal Bids and Share Exchange Transactions 9073
2.2.4 3 Sixty Risk Solutions Ltd. 9075
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings  9079
3.1 OSC Decisions (nil)
3.2 Director's Decisions 9079
3.2.1 Becksley Capital Inc. and Fabrizio Lucchese – s. 28 9079
Chapter 4 Cease Trading Orders 9081
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9081
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9081
4.2.2 Outstanding Management & Insider Cease Trading Orders 9081
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 9083
6.1.1 CSA Consultation Paper 25-403 – Activist Short Selling 9083
6.1.2 Proposed OSC Rule 32-506 (Under the Commodity Futures Act) Exemptions for International Dealers, Advisers and Sub-Advisers – Proposed Amendment to OSC Rule 91-502 Trades in Recognized Options under the Securities Act 9101
Chapter 7 Insider Reporting 9123
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9199
Chapter 12 Registrations 9211
12.1.1 Registrants 9211
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 9213
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Proposed Amendments to IIROC By-law No. 1 Section 1.1 (Definition of “Marketplace”) – Request for Comment 9213
13.1 SROs 9213
13.2 Marketplaces 9214
13.2.1 NEO Exchange Inc. – Listing Manual and Listing Forms Amendments (December 3, 2020) – Notice of Approval 9214
13.2.2 NEO Exchange Inc. – Proposed Amendment to the Listing Manual December 3, 2020 – Request for Comments 9217
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 9221
25.1 Consents 9221
25.1.1 Engine Media Holdings, Inc. – s. 4(b) of Ont. Reg. 289/00 under the OBCA 9221
Index 9223