Securities Law & Instruments

OSC Bulletin Volume 40, Issue 07 (February 17, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 1507
1.1 Notices 1507
1.1.1 Notice of Ministerial Approval of Amendments to Ontario Securities Commission Rule 13-502 Fees and Ontario Securities Commission Rule 13-503 (Commodity Futures Act) Fees 1507
1.1.2 Notice of Ministerial Approval of Amendments to National Instrument 81-102 Investment Funds and National Instrument 81-101 Mutual Fund Prospectus Disclosure 1508
1.1.3 Notice of Ministerial Approval of Amendments to National Instrument 41-101 General Prospectus Requirements and National Instrument 81-106 Investment Fund Continuous Disclosure 1509
1.1.4 Notice of Ministerial Approval of the Multilateral Arrangement for Regulatory, Supervisory and Oversight Cooperation on LCH.Clearnet Ltd 1510
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 1511
1.5.1 Black Panther Trading Corporation and Charles Robert Goddard 1511
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 1513
2.1 Decisions 1513
2.1.1 CI Investments Inc. et al. 1513
2.1.2 American Hotel Income Properties REIT LP 1518
2.1.3 Chicago Mercantile Exchange Inc. – s. 42 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting 1521
2.1.4 DTCC Data Repository (U.S.) LLC – s. 42 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting 1523
2.1.5 Credit Suisse Securities (USA) LLC and Credit Suisse Prime Securities Services (USA) LLC 1525
2.1.6 BNP Paribas Prime Brokerage, Inc. 1533
2.1.7 Sirius XM Canada Holdings Inc. and 2517835 Ontario Inc. 1541
2.2 Orders 1550
2.2.1 Sparrow Ventures Corp. – s. 144 1550
2.2.2 Black Panther Trading Corporation and Charles Robert Goddard 1552
2.2.3 DirectCash Payments ULC 1552
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 1554
2.4.1 RBS Securities Inc. – s. 38 of the CFA 1554
2.4.2 UBS Securities LLC – s. 38 of the CFA 1565
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 1577
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1577
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1577
4.2.2 Outstanding Management & Insider Cease Trading Orders 1577
Chapter 5 Rules and Policies 1579
5.1.1 Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees 1579
5.1.2 Amendments to National Instrument 81-102 Investment Funds 1580
5.1.3 Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure 1584
5.1.4 Amendments to National Instrument 41-101 General Prospectus Requirements 1585
5.1.5 Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure 1607
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1609
Chapter 9 Legislation 1697
9.1.1 Ontario Regulation 446/16, amending Ontario Regulation 1015 1697
Chapter 11 IPOs, New Issues and Secondary Financings 1701
Chapter 12 Registrations 1707
12.1.1 Registrants 1707
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 1709
13.1 SROs 1709
13.1.1 IIROC – Universal Market Integrity Rules – Amendments Respecting Designations and Identifiers – Notice of Commission Approval 1709
13.2 Marketplaces 1710
13.2.1 Canadian Securities Exchange – Market Maker Participation and Peg Orders – Notice of Approval 1710
13.3 Clearing Agencies 1718
13.3.1 CDCC – Proposed Amendments to Sections A-102, A-1A09, Rule A-6 and Default Manual, and New Section A-411 and New Rule A-10 Establishing the Recovery Powers – OSC Staff Notice of Request for Comment 1718
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 1719