Securities Law & Instruments

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OSC STAFF NOTICE 11-739 (REVISED)

POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS

 

The following revisions have been made to the Table of Concordance and List of New Instruments. A full version of the Table of Concordance and List of New Instruments as of June 30, 2020 has been posted to the OSC Website at www.osc.gov.on.ca.

Table of Concordance

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Item Key

The third digit of each instrument represents the following: 1-National/Multilateral Instrument; 2-National/Multilateral Policy;

3-CSA Notice; 4-CSA Concept Release; 5-Local Rule; 6-Local Policy; 7-Local Notice; 8-Implementing Instrument;

9-Miscellaneous

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Reformulation

Instrument

Title

Status

51-405

Consideration of an Access Equals Delivery Model for Non-Investment Fund Reporting

Published for comment January 9, 2020

23-325

Trading Fee Rebate Pilot Study

Published January 23, 2020

11-739

Policy Reformulation of Concordance and List of New Instruments (Revised)

Published January 30, 2020

52-112

Proposed NI 52-112 Non-GAAP and Other Financial Measures Disclosure

Published for comment February 13, 2020

94-102

Customer Clearing and Protection of Customer Collateral and Positions

Notice of Ministerial Approval published on February 13, 2020

23-326

Order Protection Rule: Market Share threshold for the period April 1, 2020 to March 31, 2021

Published February 13, 2020

81-502

Restrictions on the Use of the Deferred Sales Charge Option for Mutual Funds

Published for comment February 20, 2020

21-328

Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities

Published March 5, 2020

43-310

Confidential Pre-File Review of Prospectuses (for non-investment fund issuers)

Published March 5, 2020

31-103

Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations to Enhance the Protection of Older and Vulnerable Clients

Published for comment March 5, 2020

45-110

Start-up Crowdfunding Registration and Prospectus Exemptions

Published for comment March 5, 2020

24-102

Amendments to NI 24-102 Clearing Agency Requirements

Commission approval published on March 19, 2020

25-502

Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carry on Business in Ontario -- General Order

Published March 26, 2020

81-503

Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds -- General Order

Published March 26, 2020

31-510

Temporary Exemption from Certain Financial Statement and Information Delivery Requirements for Registrants and Unregistered Capital Markets Participants -- General Order

Published March 26, 2020

51-502

Temporary Exemption from Certain Corporate Finance Requirements -- Notice of General Order

Published March 26, 2020

24-101

Amendments to NI 24-101 Institutional Trade Matching and Settlement -- Notice of Amendment

Commission approval published on March 26, 2020

31-357

Blanket Orders/Class Orders in respect of Certain Client Focused Reforms Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Published April 16, 2020

31-103

Relief in respect of Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration requirements, Exemptions and Ongoing Registrant Obligations

Published April 16, 2020

13-504

Temporary Relief from Accrual of Late Fees Charged under OSC Rule 13-502 Fees -- Notice of General Order

Published April 23,2020

13-505

Temporary Relief from Accrual of Late Fees Charged under OSC Rule 13-503

Published April 23, 2020

81-504

Temporary Exemption from Borrowing Limit to Accommodate Redemption Requests of Mutual Funds Investing in Fixed Income Securities

Published April 23, 2020

11-788

Statement of Priorities -- Request for Comments Regarding Statement of Priorities for Financial Year to end March 31, 2021

Published for Comment April 30, 2020

51-360

Frequently Asked Questions Regarding Filing Extension Relief Granted by Way of a Blanket Order in Response to COVID-19

Published May 7, 2020

51-504

Temporary Exemptions from Certain Requirements to File or Send Securityholder Materials

Published May 7, 2020

51-360

Frequently Asked Questions Regarding Filing Extension Relief Granted by Way of a Blanket Order in Response to COVID-19 (Revised)

Published May 21, 2020

51-505

Ontario Instrument 51-505 Temporary Exemption from Certain Corporate Finance Requirements with Deadlines during the Period from June 2 to August 31, 2020 -- General Order

Published May 28, 2020

81-505

Extension of Certain Filing, Delivery and Prospectus Renewal Requirements of Investment Funds with Deadlines during the Period from June 2, to September 30, 2020

Published May 28, 2020

13-506

Ontario Instrument 13-506 Temporary Relief from Accrual of Late Fees Charged under OSC Rule 13-502 Fees, No. 2 -- General Order

Published June 4, 2020

13-507

Ontario Instrument 13-507 Temporary Relief from Accrual of Late Fees Charged under OSC Rule 13-503 Fees No. 2

Published June 4, 2020

43-311

Review of Mineral Resource Estimates in Technical Reports

Published June 4, 2020

45-505

Relief in Respect of the Distribution of Securities Through a Funding Portal Operated by Silver Maple Ventures Inc.- General Order

Published June 4, 2020

21-101

Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Amendments to NI 21-101 Marketplace Operation

Commission approval published June 4, 2020

24-101

Amendments to NI 24-101

Notice of Ministerial Approval published June 4, 2020

44-102

Amendments to NI 44-102 Shelf Distributions -- Related to at-the-Market Distributions

Commission approval published on June 4, 2020

24-102

Amendments to NI 24-102 Clearing Agency Requirement

Notice of Ministerial Approval published June 18, 2020

21-101

Amendments to NI 21-101 Marketplace Operation

Commission approval published on June 28, 2020

11-789

Notice of Statement of Priorities for Financial Year to end March 31, 2021

Published June 25, 2020

For further information, contact:

Darlene Watson
Project Specialist
Ontario Securities Commission
416-593-8148

July 16, 2020

Sean Daley et al.

FOR IMMEDIATE RELEASE

July 10, 2020

SEAN DALEY; and SEAN DALEY carrying on business as the ASCENSION FOUNDATION, OTO.Money, SilentVault, and CryptoWealth; WEALTH DISTRIBUTED CORP.; CYBERVISION MMX INC.; KEVIN WILKERSON; and AUG ENTERPRISES INC., File No. 2019-28

TORONTO -- The Commission issued an Order in the above named matter.

A copy of the Order dated July 10, 2020 is available at www.osc.gov.on.ca.

OFFICE OF THE SECRETARY
GRACE KNAKOWSKI
SECRETARY TO THE COMMISSION

For Media Inquiries:

media_inquiries@osc.gov.on.ca

For General Inquiries:

1-877-785-1555 (Toll Free)
inquiries@osc.gov.on.ca

Sean Daley and Kevin Wilkerson

FOR IMMEDIATE RELEASE

July 10, 2020

SEAN DALEY and KEVIN WILKERSON, File No. 2019-39

TORONTO -- The Commission issued an Order in the above named matter.

A copy of the Order dated July 10, 2020 is available at www.osc.gov.on.ca.

OFFICE OF THE SECRETARY
GRACE KNAKOWSKI
SECRETARY TO THE COMMISSION

For Media Inquiries:

media_inquiries@osc.gov.on.ca

For General Inquiries:

1-877-785-1555 (Toll Free)
inquiries@osc.gov.on.ca

Stanislaw A. Pasyk

FOR IMMEDIATE RELEASE

July 14, 2020

STANISLAW A. PASYK, File No. 2020-17

TORONTO -- The Commission issued its Reasons and Decision and an Order pursuant to Subsections 127(1) and 127(10) of the Securities Act in the above named matter.

A copy of the Reasons and Decision and the Order dated July 13, 2020 are available at www.osc.gov.on.ca.

OFFICE OF THE SECRETARY
GRACE KNAKOWSKI
SECRETARY TO THE COMMISSION

For Media Inquiries:

media_inquiries@osc.gov.on.ca

For General Inquiries:

1-877-785-1555 (Toll Free)
inquiries@osc.gov.on.ca

Chapter 2 -- Decisions, Orders and Rulings