Securities Law & Instruments

OSC Bulletin Volume 40, Issue 05 (February 9, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 1235
1.1 Notices 1235
1.1.1 CSA Staff Notice 24-315 Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets 1235
1.1. Notice of Correction – Mackenzie Financial Corporation et al.  1238
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 1238
1.5.1 William Raymond Malone 1238
1.5.2 Lance Kotton        1239
1.5.3 Edward Furtak et al. 1239
1.5.4

Quadrexx Hedge Capital Management Ltd. et al.

1240
1.6 Notices from the Office of the Secretary with Related Statements of Allegations 7676
Chapter 2 Decisions, Orders and Rulings 1241
2.1 Decisions 1241
2.1.1 Credit Suisse Securities (USA) LLC 1241
2.1.2 Citigroup Global Markets Inc. 1243
2.1.3 Helius Medical Technologies, Inc. 1246
2.1.4 Entertainment One Ltd.      1248
2.1.5 Instinet Canada Cross Limited 1251
2.1.6 Tobias Lütke 1253
2.1.7 Middlefield Limited 1257
2.2 Orders 1261
2.2.1 Authorization Order – s. 3.5(3)          1261
2.2.2 William Raymond Malone – ss. 127(1), 127(10) 1262
2.2.3 DEQ Systems Corp. − s. 1(10)(a)(ii) 1263
2.2.4

Irish Life Investment Managers Limited – s. 80 of the CFA

1265
2.2.5 Response Biomedical Corp. 1274
2.2.6 Lance Kotton – s. 127(7) and (8) 1275
2.2.7 Counsel Portfolio Services Inc. and Irish Life Investment Managers Limited – s. 80 of the CFA 1276
2.2.8

Edward Furtak et al.

1280

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 1365
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1365
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1365
4.2.2 Outstanding Management & Insider Cease Trading Orders 1365
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting (nil)
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1493
Chapter 12 Registrations 1501
12.1.1 Registrants 1501
Chapter 13 SROs, Marketplaces, and Clearing Agencies (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
25.1.1 Razor Energy Corp. – s. 4(b) of the Regulation 1503
Index 1505