Securities Law & Instruments

OSC Bulletin Volume 38, Issue 04 (January 26, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 851
1.1 Notices 851
1.1.1 CSA Staff Notice 54-305 Meeting Vote Reconciliation Protocols             851
1.1.2 Notice of Arrangements Regarding the Access, Collection Storage and Use of Derivatives Data 888
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)
1.5.1 Michael Patrick Lathigee et al. 898
1.5.2 Lance Kotton and Titan Equity Group Ltd. 898
1.5.3 AAOption et al.     898
1.5.4 Danish Akhtar Soleja et al.                899
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 901
2.1 Decisions 901
2.1.1 National Bank Investments Inc. 901
2.1.2 Hampton Securities Limited et al. 905
2.1.3 Sun Life Assurance Company of Canada and Sun Life Capital Trust 908
2.1.4 The Manufacturers Life Insurance Company and Manulife Financial Capital Trust II 924
2.2 Orders 943
2.2.1 Michael Patrick Lathigee et al. 943
2.2.2 GuestLogix Inc. – s. 144     944
2.2.3 GuestLogix Inc.    946
2.2.4 Lance Kotton and Titan Equity Group Ltd. 948
2.2.5 AAOption et al.     949
2.2.6 Inovio Pharmaceuticals, Inc. 951
2.2.7 Danish Akhtar Soleja et al.                955
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 CIBC World Markets Inc. et al. – ss. 127(1), 127(2)      957
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 961
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 961
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 961
4.2.2 Outstanding Management & Insider Cease Trading Orders 961
Chapter 5 Rules and Policies 963
5.1.1 CSA Notice of Approval – Amendments to National Instrument 23-101 Trading Rules and Companion Policy 23-101CP to National Instrument 23-101 Trading Rules 963
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 977
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1063
Chapter 12 Registrations 1073
12.1.1 Registrants 1073
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1075
13.1 SROs (nil)
13.2 Marketplaces 1075
13.2.1 Aequitas NEO Exchange Inc. - Amendments to Trading Policies - Notice of Approval 1075
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 1077