Securities Law & Instruments

OSC Bulletin Volume 40, Issue 03 (January 19, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 591
1.1 Notices 591
1.1.1 CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions 591
1.1.2 Uranium308 Resources Inc. et al. 598
1.1.3 The Investment Funds Practitioner – December 2016 [Corrected] 601
1.1.4 CSA Multilateral Staff Notice 51-347 – Disclosure of cyber security risks and incidents 605
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 609
1.3.1 Thomas Arthur Williams et al.– ss. 127(1), 127(10) 609
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 620
1.5.1 Good Mining Exploration Inc. 620
1.5.2 Steven J. Martel et al. 620
1.5.3 Uranium308 Resources Inc. et al. 621
1.5.4 Thomas Arthur Williams et al. 621
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 623
2.1 Decisions 623
2.1.1 BKC Capital Inc. and Sun Life Institutional Investments (Canada) Inc. 623
2.2 Orders 625
2.2.1 GoldON Resources Ltd. – s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions and s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 625
2.2.2 Dollarama Inc. and Canadian Imperial Bank of Commerce – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 628
2.2.3 Good Mining Exploration Inc. – s. 144 634
2.2.4 Steven J. Martel et al. – s. 127 637
2.2.5 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. – s. 144 638
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 640
2.4.1 Foresters Investment Management Company, Inc. – s. 74 640
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 643
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 643
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 643
4.2.2 Outstanding Management & Insider Cease Trading Orders 643
Chapter 5 Rules and Policies 645
5.1.1 National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Related Companion Policy 645
5.1.2 National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion Policy 672
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 729
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 833
Chapter 12 Registrations 839
12.1.1 Registrants 839
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 841
13.1 SROs 841
13.1.1 MFDA – Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – OSC Staff Notice of Commission Approval 841
13.2 Marketplaces (nil)
13.3 Clearing Agencies 842
13.3.1 CDS – Material Amendments to CDS Procedures Relating to Transfer Agents– Notice of Approval 842
13.3.2 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. – Variation Order 845
13.4 Trade Repositories (nil)
Chapter 25 Other Information 847
25.1 Consents 847
25.1.1 MD Financial Management Inc.– s. 213(3)(b) of the LTCA 847
Index 849