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Exemptive Relief Orders (2019 - 2021): OSA

Sun Life Assurance Company Canada, Sun Life Capital Trust

23-Nov-21


Applicable Legislative Provisions: 

  • Securities Act (Ontario), ss. 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 9.4(2), and 19.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), ss. 2.1 and 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 2 and s. 8.1.
  • Form 44-101F1 Short Form Prospectus, Item 6 and s. 11.1.
  • National Instrument 44-102 Shelf Distributions, Part 2 and s. 11.1.

Fidelity Investments Canada ULC and Fidelity Advantage Bitcoin ETF™

19-Nov-21


Applicable Legislative Provisions: 

  • Securities Act (Ontario), ss. 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.2(1), 9.4(2), and 19.1.

Desjardins Global Asset Management Inc. et al

02-Nov-21


Applicable Legislative Provisions: 

  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5(2)(a) and 15.1.
  • National Instrument 81-102 Investment Funds, ss. 4.1(2) and 19.1.
  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 111(2)(b) and (c), and 113 and 117.

Canopy Growth Corporation and the Supreme Cannabis Company, Inc.

2021-10-01


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., s. 107.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1, 13.3 and 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders, s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.

HEXO Corp. and 48North Cannabis Corp.

2021-08-31


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c.S.5, as am., s. 107.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.3.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders, s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.

CI Investments

2021-08-10


Applicable Legislative Provisions

  • Securities Act (Ontario), ss. 111(2)(a), 111(2)(c)(i), 111(2)(c)(ii), 111(4) and 113.
  • National Instrument 81-102 Investment Funds, ss. 4.1(2) and 19.1.
  • National Instrument 31-103 Registration Requirements and Exemptions, ss. 13.5(2)(a) and 15.1.

Manulife Investment Management Limited

2021-07-29


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as amended, ss. 111(2)(b) and (c), 111(4), 113 and 117.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, ss. 13.5(2)(a) and 15.1.

L Brands, Inc

2021-07-16


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5 as am., ss. 53 and 74(1).

HEXO Corp. and Zenabis Global Inc.

2021-05-28


Applicable Legislative Provisions

  • Securities Act,R.S.O. 1990, c. S.5, as am., s. 107.
  • National Instrument 51-102 Continuous Disclosure Obligations, s. 13.1.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 4.5.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders, ss. 2.1 and 6.1.

Dani Reiss

2021-05-11


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53(1) and 74(1).
  • National Instrument 45-102 Resale of Securities, s. 2.8.

Tobias Lütke

2020-12-01


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53(1), 74(1) and 147.
  • National Instrument 45-102 Resale of Securities, s. 2.8.

Tobias Lütke

2020-12-01


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53(1), 74(1) and 147.
  • National Instrument 45-102 Resale of Securities, s. 2.8.

Chemtrade Logistics Income Fund and BMO Nesbitt Burns Inc.

2020-11-12


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 71 and 147.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 8 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, ss. 6.3 and 6.7, Part 9 and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Sustainable Innovation & Health Dividend Fund

2020-09-14


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53(1) and 74(1).

Citation: Re Sustainable Innovation & Health Dividend Fund, 2020 ABASC 149

Tobias Lütke

2019-12-06


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53(1), 74(1) and 147.
  • National Instrument 45-102 Resale of Securities, s. 2.8.

AXA S.A.

2019-11-05


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25, 53 and 74.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, s. 8.16.
  • National Instrument 45-106 Prospectus Exemptions, s. 2.24.
  • Ontario Securities Commission Rule 72-503 Distributions Outside Canada, ss. 2.8 and 2.9.

Cresco Labs Inc. and Canaccord Genuity Corp.

2019-10-22


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c.S.5, as am., ss. 71 and 147.

Applicable Ontario Rules

  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, s. 6.7, Part 9, s 11.1, s. 2.2 of Part 2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Nuance Communications, Inc.

2019-09-27


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53 and 74.
  • National Instrument 45-106 Prospectus Exemptions, ss. 2.11 and 2.31.
  • National Instrument 45-102 Resale of Securities, s. 2.6.

Pentecostal Financial Services Group Inc. et al.

2019-08-30


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, ss. 53(1), 74(1) and 144.
  • Multilateral Instrument 11-102 Passport System, s. 4.7(1).
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.
  • National Instrument 45-102 Resale of Securities, s. 2.5.
  • National Instrument 45-106 Prospectus Exemptions, ss. 1.1, 2.3, 2.9, 2.38, 6.1, 6.3, 6.4, 6.5, Form 45-106F1, Form 45-106F2, Form 45-106F4, Form 45-106F16, and Form 45-106F17.

Stewards Canada

2019-08-30


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, ss. 53(1) and 74(1).
  • Multilateral Instrument 11-102 Passport System, s. 4.7(1).
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.
  • National Instrument 45-102 Resale of Securities, s. 2.5.
  • National Instrument 45-106 Prospectus Exemptions, ss. 1.1, 2.3, 2.9, 2.38, 6.1, 6.3, 6.4, 6.5, Form 45-106F1, Form 45-106F2, Form 45-106F4, Form 45-106F16, and Form 45-106F17.

First Mining Gold Corp. and Cantor Fitzgerald Canada Corporation

2019-08-13


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 71 and 147.
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1, and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, s. 5.5, items 2 and 3; s. 6.7, Part 9, s. 11.1, and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

Friedberg Mercantile Group Ltd.

2019-08-12


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53 and 74(1).
  • OSC Rule 91-502 Trades in Recognized Options.
  • OSC Rule 91-503 Trades in Commodity Futures Contracts and Commodity Futures Options Entered into on Commodity Futures Exchanges Situate Outside of Ontario.
  • Proposed OSC Rule 91-504 OTC Derivatives (not adopted)

Emera Incorporated et al.

2019-06-25


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c.S.5, as am., ss. 71 and 147.

Applicable Rules

  • National Instrument 44-101 Short Form Prospectus Distributions, Part 8 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, ss. 6.3 and 6.7, Part 9 and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

SEB S.A.

2019-05-31


Applicable Legislative Provisions

  • National Instrument 45-106 Prospectus Exemptions.
  • National Instrument 45-102 Resale of Securities.
  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25, 53 and 74(1).

HEXO Corp. and Newstrike Brands Ltd.

2019-05-31


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 107 and 121(2)(a)(ii).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.3.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders, s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.

HEXO Corp. and Newstrike Brands Ltd.

May 31, 2019


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 107 and 121(2)(a)(ii).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1 and 13.3.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders, s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.

V.F. Corporation

2019-05-14


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5 as am., ss. 53, 74(1).

Getchell Gold Corporation

2019-05-09


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53, 74(1).

Aleafia Health Inc. et al.

April 26, 2019


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 107, 121(2)(a)(ii).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1, 13.3.
  • Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 4.5.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders, s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.

Oanda (Canada) Corporation ULC

2019-04-23


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., s. 53 and 74(1).
  • OSC Rule 91-502 Trades in Recognized Options.
  • OSC Rule 91-503 Trades in Commodity Futures Contracts and Commodity Futures Options Entered into on Commodity Futures Exchanges Situate Outside of Ontario.
  • Proposed OSC Rule 91-504 OTC Derivatives (not adopted).

AngelList Holdings, LLC and AngelList Advisors, LLC

2019-03-26


Applicable Legislative Provisions

Statutes Cited

  • Securities Act, R.S.O. 1990, c. S.5, as am., sections 53, 74 and 144.

Instrument Cited

  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, sections 13.2(2)(c)(i), 13.3, 13.16, 14.2(2)(i), (j) and (k), and 15.1 and Division 5.

Pernod Ricard S.A.

2019-03-22


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 25, 53, 74.
  • National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, s. 8.16.
  • National Instrument 45-106 Prospectus Exemptions, s. 2.24.
  • Ontario Securities Commission Rule 72-503 Distributions Outside Canada, ss. 2.8, 2.9.

MedMen Enterprises Inc. and Canaccord Genuity Corp.

2019-03-22


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53, 74(1).
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 8 and Item 20 of Form 44-101F1.
  • National Instrument 44-102 Shelf Distributions, ss. 5.5, 6.3, and 6.7, Part 9 and ss. 2.1 and 2.2 of Appendix A.
  • National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions.

DowDuPont Inc.

2019-03-22


Applicable Legislative Provisions

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 53, 74(1).

Solium Capital Inc. and Brian Craig

December 14, 2018


Applicable Legislative Provisions:

  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 3.3.
  • Ontario Securities Act, s.107

Brookfield Infrastructure Partners L.P.

October 29, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, ss. 107, 121(2)(a)(ii).
  • National Instrument 44-101 Short Form Prospectus Distributions, s. 8.1.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1, 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 52-110 Audit Committees, s. 8.1.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1(2).
  • National Instrument 58-101 Disclosure of Corporate Governance Practices, ss. 1.3(c), 3.1.

Ian Robertson et al.

October 9, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990. c. S.5. ss. 107(2), 121(2)(a)(ii).
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, ss. 2.2, 3.3

Pierre Beaudoin et al. and Bombardier Inc.

September 14, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., s. 107(2).
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 3.3.

Brookfield Property Partners L.P. et al.

May 4, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, ss. 107, 121(2)(a)(ii).
  • National Instrument 44-101 Short Form Prospectus Distributions, ss. 2.4, 2.8, 8.1(2).
  • Form 44-101F1 Short Form Prospectus, ss. 6.1, 11.1(1), 12.1, 13.3.
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1, 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, ss. 8.5, 8.6.
  • National Instrument 52-110 Audit Committees, ss. 1.2(g), 8.1.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1(2).
  • National Instrument 58-101 Disclosure of Corporate Governance Practices, ss. 1.3(c), 3.1(2).

MYM Nutraceuticals Inc.

May 2, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., s. 107(2).
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 3.3

Kaushik Rakhit et al.

February 9, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., s. 107(2).
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 3.3.

Solium Capital Inc. and Michael Broadfoot

February 6, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., s. 107(2).
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 3.3.

Source Energy Services Ltd. and James McMahon

January 2, 2018


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., s. 107(2).
  • National Instrument 55-104 Insider Reporting Require-ments and Exemptions, s. 3.3.

Secure Energy Services Inc. and Rene Amirault

June 23, 2017


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, as am., ss. 107(2).
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 3.3.

The Intertain Group Limited

May 9, 2017


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, ss. 107, 121(2)(a)(ii).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1, 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 52-110 Audit Committees, s. 8.1.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), s. 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1(2).
  • National Instrument 58-101 Disclosure of Corporate Governance Practices, s. 3.1.

Sirius XM Canada Holdings Inc. and 2517835 Ontario Inc.

February 10, 2017


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c. S.5, ss. 107, 121(2)(a)(ii).
  • National Instrument 51-102 Continuous Disclosure Obligations, s. 13.3.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, ss. 8.4, 8.6(2).
  • National Instrument 52-110 Audit Committees, ss. 1.2(f), 8.1(2).
  • National Instrument 58-101 Disclosure of Corporate Governance Practices, ss. 1.3(c), 3.1(2).
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), s. 6.1(2).
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1(2).
  • Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions, ss. 6.3(1)(c), 6.3(2).

The Manufacturers Life Insurance Company and Manulife Financial Capital Trust II

January 13, 2017


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c.S-5, as amended, ss.107, 121(2)(a)(ii).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1, 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), ss. 2.1, 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 2 and s. 8.1.
  • Form 44-101F1 Short Form Prospectus, Item 6 and s. 11.1.
  • National Instrument 44-102 Shelf Distributions, Part 2 and s. 11.1.

Sun Life Assurance Company of Canada and Sun Life Capital Trust

January 13, 2017


Applicable Legislative Provisions:

  • Securities Act, R.S.O. 1990, c.S-5, as amended, ss.107, 121(2)(a)(ii).
  • National Instrument 51-102 Continuous Disclosure Obligations, ss. 13.1, 13.4.
  • National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings, s. 8.6.
  • National Instrument 55-102 System for Electronic Disclosure by Insiders (SEDI), ss. 2.1, 6.1.
  • National Instrument 55-104 Insider Reporting Requirements and Exemptions, s. 10.1.
  • National Instrument 44-101 Short Form Prospectus Distributions, Part 2 and s. 8.1.
  • Form 44-101F1 Short Form Prospectus, Item 6 and s. 11.1.
  • National Instrument 44-102 Shelf Distributions, Part 2 and s. 11.1.

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