Securities Law & Instruments

OSC Bulletin Volume 43, Issue 50 (December 10, 2020)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 9225
1.1 Notices 9225
1.1.1 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2021 9225
1.1.2 OSC Notice of Amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions relating to Syndicated Mortgages 9227
1.1.3 CSA Staff Notice 55-317 – Automatic Securities Disposition Plans 9238
1.1.4 OSC Staff Notice 45-717 Ontario’s Exempt Market 9242
1.1.5 Notice of Ministerial Approval 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 9243
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 9244
1.4.1 Joseph Debus 9244
1.4.2 Jonathan Cartu et al. 9244
1.4.3 Trevor Rosborough et al. 9245
1.4.4 Douglas John Eley 9245
1.4.5 Majd Kitmitto et al. 9246
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9247
2.1 Decisions 9247
2.1.1 BMO Nesbitt Burns Inc. et al. 9247
2.1.2 E-L Financial Corporation Limited 9250
2.1.3 Worldline S.A. 9254
2.2 Orders 9259
2.2.1 Joseph Debus 9259
2.2.2 Jonathan Cartu et al. 9259
2.2.3 Trevor Rosborough et al. 9260
2.2.4 Dealnet Capital Corp. 9260
2.2.5 Majd Kitmitto et al. 9261
2.2.6 Pivot Technology Solutions, Inc. – s. 1(6) of the OBCA 9262
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 9263
2.4.1 Royal Bank of Canada – s. 38 of the CFA and s. 6.1 of Rule 91-502 9263
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 9273
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9273
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9273
4.2.2 Outstanding Management & Insider Cease Trading Orders 9273
Chapter 5 Rules and Policies

9275

5.1.1 Amendments to National Instrument 81-105 Mutual Fund Sales Practices 9275
5.1.2 Changes to Companion Policy 81-105CP Mutual Fund Sales Practices 9277
5.1.3 Amendments to National Instrument 41-101 General Prospectus Requirements 9278
5.1.4 Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure 9279
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9281
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9413
Chapter 12 Registrations 9421
12.1.1 Registrants 9421
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 9423
13.1 SROs 9423
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) – Amendments to Dealer Member Rules to Early Adopt Certain IIROC 9423
13.2 Marketplaces 9424
13.2.1 TSX Inc. and TSX Venture Exchange Inc. – Notice of Proposed Amendments and Request for Comments 9424
13.2.2 Canadian Securities Exchange – Significant Change Subject to Public Comment – Amendments to Trading System Functionality & Features – Notice and Request for Comment 9426
13.2.3 Canadian Securities Exchange – Significant Change Subject to Public Comment – Amendments to Trading System Functionality & Features – Notice and Request for Comment 9432
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 9435