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CSA Publishes Annex B, Amendments to National Instrument 31-303, Registration Requirements and Ongoing Registrant Obligations

On March 14, 2019, the Canadian Securities Administrators (CSA) published Annex B, Amendments to National Instrument 31-103, Registration Requirements, Exemptions and Ongoing Registrant Obligations (The Amendments). Together, the Amendments replace subsections 14.6.1(1) and (2) of National Instrument 31-303, Registration Requirements and Ongoing Registrant Obligations (NI-303):…

Ontario Securities Commission Issues Cease Trade Order for USI-Tech Ltd.

On February 22, 2019, the Ontario Securities Commission (OSC) issued an interjurisdictional order, permanently forbidding USI-Tech Management Limited (USI -Tech) from trading in or acquiring securities, and from trading in derivatives in the province of Ontario (the permanent order). The permanent order was issued after…

BCSC Publishes Variation Order for BC Instrument 21-502, Exemption from Certain Filing Requirements for Out-of-Province Alternative Trading Systems

On February 15, 2019, the British Columbia Securities Commission (BCSC) published a variation order (the Variation Order) for BC Instrument 21-502, Exemption from Certain Filing Requirements for Out-of-Province Alternative Trading Systems (BCI 21-502), removing the exemption for out-of-province alternative trading systems (ATS) from reporting change…