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OSC Bulletin Volume 42, Issue 32 (August 8, 2019)

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OSC Bulletin Volume 42, Issue 32 (August 8, 2019) The Ontario Securities Commission OSC Bulletin August 8, 2019 Volume 42, Issue 32 (2019), 42 OSCB The Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and the Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20) The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Thomson Reuters 22nd Floor, Box 55 One Corporate Plaza 20 Queen Street West 2075 Kennedy Road Toronto, Ontario Toronto, Ontario M5H 3S8 M1T 3V4 416-593-8314 or Toll Free 1-877-785-1555 416-609-3800 or 1-800-387-5164 Contact Centre – Inquiries, Complaints: Fax: 416-593-8122 TTY: 1-866-827-1295 Office of the Secretary: Fax: 416-593-2318 The OSC Bulletin is published weekly by Thomson Reuters Canada, under the authority of the Ontario Securities Commission. Thomson Reuters Canada offers every issue of the Bulletin, from 1994 onwards, fully searchable on SecuritiesSource™, Canada’s pre-eminent web-based securities resource. SecuritiesSource™ also features comprehensive securities legislation, expert analysis, precedents and a weekly Newsletter. For more information on SecuritiesSource™, as well as ordering information, please go to: http://www.westlawecarswell.com/SecuritiesSource/News/default.htm or call Thomson Reuters Canada Customer Support at 1-416-609-3800 (Toronto & International) or 1-800-387-5164 (Toll Free Canada & U.S.). Claims from bona fide subscribers for missing issues will be honoured by Thomson Reuters Canada up to one month from publication date. Space is available in the Ontario Securities Commission Bulletin for advertisements. The publisher will accept advertising aimed at the securities industry or financial community in Canada. Advertisements are limited to tombstone announcements and professional business card announcements by members of, and suppliers to, the financial services industry. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior written permission of the publisher. The publisher is not engaged in rendering legal, accounting or other professional advice. If legal advice or other expert assistance is required, the services of a competent professional should be sought. © Copyright 2019 Ontario Securities Commission ISSN 0226-9325 Except Chapter 7 ©CDS INC. One Corporate Plaza Customer Support 2075 Kennedy Road 1-416-609-3800 (Toronto & International) Toronto, Ontario 1-800-387-5164 (Toll Free Canada & U.S.) M1T 3V4 Fax 1-416-298-5082 (Toronto) Fax 1-877-750-9041 (Toll Free Canada Only) Email [email protected] Table of Contents Chapter 1 Notices ................................................... 6615 Chapter 12 Registrations ......................................... 6707 1.1 Notices .......................................................... 6615 12.1.1 Registrants ..................................................... 6707 1.1.1 OSC Staff Notice 33-750 Compliance and Registrant Regulation – Summary Report for Chapter 13 SROs, Marketplaces, Dealers, Advisers and Investment Fund Clearing Agencies and Managers ....................................................... 6615 Trade Repositories ............................... 6709 1.1.2 CSA Staff Notice 51-358 – Reporting of 13.1 SROs ............................................................. 6709 Climate Change-related Risks ........................ 6617 13.1.1 Investment Industry Regulatory Organization 1.2 Notices of Hearing ........................................ 6619 of Canada (IIROC) – Amendments Respecting 1.2.1. Sean Daley et al. – ss. 127(8), 127(1) ............ 6619 Provision of Price Improvement by a Dark 1.3 Notices of Hearing with Related Order – Notice of Commission Approval ........ 6709 Statements of Allegations ............................ (nil) 13.2 Marketplaces ................................................ 6710 1.4 Notices from the Office 13.2.1 CSE – Amendments to Trading System of the Secretary ............................................ 6620 Functionality & Features – Notice and 1.4.1. Sean Daley et al. ............................................ 6620 Request for Comment ................................... 6710 1.5 Notices from the Office 13.2.2 CSE – Notice of Withdrawal of Proposed of the Secretary with Related Amendments to Trading Rules ...................... 6713 Statements of Allegations ............................ (nil) 13.3 Clearing Agencies ....................................... 6714 13.3.1 Banque Centrale De Compensation Carrying Chapter 2 Decisions, Orders and Rulings ............ 6621 on Business as LCH SA – Application for 2.1 Decisions ...................................................... 6621 Exemption from Recognition as a Clearing 2.1.1 Foresters Asset Management Inc. et al. ......... 6621 Agency – OSC Notice and Request for 2.1.2 Freedom International Brokerage Company Comment ....................................................... 6714 et al. ............................................................... 6625 13.4 Trade Repositories ........................................ (nil) 2.2 Orders............................................................ 6628 2.2.1 Delivra Corp. .................................................. 6628 Chapter 25 Other Information ................................. 6723 2.2.2 Sean Daley et al. – ss. 127(1), 127(5) ............ 6630 25.1 Consents ...................................................... 6723 2.3 Orders with Related Settlement 25.1.1 Newstrike Brands Ltd. – s. 4(b) of Ont. Agreements .................................................... (nil) Reg. 289/00 under the OBCA ........................ 6723 2.4 Rulings ........................................................... (nil) 25.2 Application to Extend Temporary Order 25.2.1 Sean Daley et al. – ss. 127(8), 127(1) ........... 6725 Chapter 3 Reasons: Decisions, Orders and Rulings .................................................... (nil) Index ............................................................................ 6727 3.1 OSC Decisions ............................................... (nil) 3.2 Director’s Decisions ...................................... (nil) Chapter 4 Cease Trading Orders ........................... 6631 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders ......................... 6631 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders .............. 6631 4.2.2 Outstanding Management & Insider Cease Trading Orders .................................... 6631 Chapter 5 Rules and Policies.................................. (nil) Chapter 6 Request for Comments .......................... (nil) Chapter 7 Insider Reporting................................... 6633 Chapter 9 Legislation .............................................. (nil) Chapter 11 IPOs, New Issues and Secondary Financings ............................................. 6697 August 8, 2019 (2019), 42 OSCB Chapter 1 Notices 1.1 Notices 1.1.1 OSC Staff Notice 33-750 Compliance and Registrant Regulation – Summary Report for Dealers, Advisers and Investment Fund Managers OSC Staff Notice 33-750 Compliance and Registrant Regulation – Summary Report for Dealers, Advisers and Investment Fund Managers is reproduced on the following separately numbered pages. Bulletin pagination resumes at the end of the Staff Notice. August 8, 2019 (2019), 42 OSCB 6615 Notices This page intentionally left blank August 8, 2019 (2019), 42 OSCB 6616 Summary Report for Dealers, Advisers and Investment Fund Managers Compliance OSC Staff Notice 33-750 and Registrant Regulation August 8, 2019 CONTENTS - 3 - Director’s message - 4 - Introduction - 8 - Outreach - 14 - Information for dealers, advisers and investment fund managers - 43 - Initiatives impacting registrants - 46 - Acting on registrant misconduct - 53 - Staff directory OSC Staff Notice 33-750 Director’s message We are happy to publish this year’s Summary contact list with the names and phone numbers Report for Dealers, Advisers and Investment Fund of all CRR team members. This year we’ve also Managers (Summary Report) that provides an provided information to clarify our CRR team overview of our work during the 2018-2019 fiscal structure which is focused on each of our primary year. direct registrant categories. If you have a question, comment or want to discuss regulatory policy, In addition to the work set out in this year’s compliance practices, registration processes or any Summary Report, the Compliance and Registrant matter impacting your business model, you’ll have Regulation Branch (CRR) is actively engaged in the tools to know who to contact! the Ontario Securities Commission’s new Burden Reduction Task Force. We understand the We continue to update our Registrant Outreach frustration of duplicative, unclear or inconsistent program which includes educational seminars, requirements and are moving as an organization to the Topical Guide for Registrants and a listing of tackle these issues. Through the Burden Reduction Director’s Decisions by topic and year. initiative, we are evaluating stakeholder comments to identify areas that CRR can focus on to reduce This year, our compliance reviews will focus on the burden. It’s important that compliance with our following areas: requirements is not unduly burdensome and does • suitability assessments, including not stand in the way of economic growth and concentration and prospectus
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