Securities Law & Instruments

OSC Bulletin Volume 40, Issue 01 (January 12, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 227
1.1 Notices 227
1.1.1 CSA Consultation Paper 81-408 – Consultation on the Option of Discontinuing Embedded Commissions   227
1.1.2 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 334
1.1.3 Multilateral CSA Staff Notice 45-322 Potential Concerns with the Structure of Rights Offerings 336
1.1.4 OSC Staff Notice 11-742 (Revised) – Securities Advisory Committee    338
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary (nil)
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 339
2.1 Decisions 339
2.1.1 BMO Nesbitt Burns Inc. 339
2.1.2 BMO Nesbitt Burns Inc. et al. 341
2.1.3 Fidelity Investments Canada ULC   348
2.1.4

Mackenzie Financial Corporation et al.  

352
2.1.5 BMO Nesbitt Burns Inc. 362
2.1.6 Educators Financial Group Inc. 367
2.1.7 Next Edge Capital Corp.    372
2.1.8

Franklin Templeton Investments Corp. and FTC Investor Services Inc.  

377
2.2 Orders 385
2.2.1 The Bank of Nova Scotia – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids   385
2.2.2 Metro Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids               389
2.2.3 Metro Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids               393
2.2.4 Metro Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids               397
2.2.5 Mutual Fund Dealers Association of Canada/Association Canadienne des Courtiers de Fonds Mutuels – s. 147 402
2.2.6 Pacific Safety Products Inc. 404
2.2.7 U.S. Tactical Allocation Fund 405
2.2.8 Canadian Imperial Venture Corp. – s. 144 406
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)
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 409
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 409
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 409
4.2.2 Outstanding Management & Insider Cease Trading Orders 409
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 411
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 579
Chapter 12 Registrations 585
12.1.1 Registrants 585
Chapter 13 SROs, Marketplaces, and Clearing Agencies 585
13.1 SROs 585
13.2 Marketplaces 585
13.3 Clearing Agencies 585
Chapter 25 Other Information 587
25.1 Approvals 587
25.1.1 Algonquin Capital Corporation – s. 213(3)(b) of the LTCA 587
Index 589