Securities Law & Instruments

OSC Bulletin Volume 38, Issue 51 (January 5, 2016)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 1
1.1 Notices (nil)
1.2 Notices of Hearing 1
1.2.1 Good Mining Exploration Inc. – s. 144 1
1.3 Notices of Hearing with Related Statements of Allegations 2
1.3.1 Danish Akhtar Soleja et al. – ss. 127(1), 127(10) 2
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 8
1.5.1 Danish Akhtar Soleja et al 8
1.5.2 RTG Direct Trading Group Ltd. and RTG Direct Trading Limited 8
1.5.3 Lance Kotton and Titan Equity Group Ltd 9
1.5.4 Good Mining Exploration Inc. 9
1.5.5 BMO Nesbitt Burns Inc. et al. 10
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 11
2.1 Decisions 11
2.1.1 Vantage Asset Management Inc. and VPP Management Inc. 11
2.1.2 Manulife Asset Management Limited 14
2.1.3 Middlefield Healthcare & Wellness Dividend Fund 23
2.1.4 RP Investment Advisors LP et al. 25
2.1.5 Elm Park Capital Management, LLC et al 28
2.1.6 MUFG Securities Americas Inc 31
2.2 Orders 33
2.2.1 RTG Direct Trading Group Ltd. and RTG Direct Trading Limited – ss. 127(1), 127(10) 33
2.2.2 Lance Kotton and Titan Equity Group Ltd. – ss. 127(7), 127(8) 34
2.2.3 CGI Group Inc. and The Toronto-Dominion Bank – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 36
2.2.4 Dollarama Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 42
2.2.5 Mawson West Limited 46
2.2.6 Goldeye Explorations Limited 48
2.2.7 Authorization Order – s. 3.5(3) 51
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.1.1 RTG Direct Trading Group Ltd. and RTG Direct Trading Limited – ss. 127(1), 127(10) 53
3.1.2 BMO Nesbitt Burns Inc. et al. – ss. 127(1), 127(2) 57
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 61
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 61
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 61
4.2.2 Outstanding Management & Insider Cease Trading Orders 61
Chapter 5 Rules and Policies

(nil)

Chapter 7 Insider Reporting 63
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 219
Chapter 12 Registrations 221
12.1.1 Registrants 221
Chapter 13 SROs, Marketplaces, and Clearing Agencies 223
13.1 SROs (nil)
13.2 Marketplaces 223
13.2.1 CNSX Markets Inc. – Policy 2 Qualifications for Listing and Policy 3 Suspension Halts and Delistings – Notice of Proposed Amendments and Request for Comment 223
13.3 Clearing Agencies

(nil)

Chapter 25 Other Information (nil)
Index 25