Securities Law & Instruments

OSC Bulletin Volume 40, Issue 11 (March 16, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 2333
1.1 Notices 2333
1.1.1 CSA Multilateral Staff Notice 51-349 Report on the Review of Investment Entities and Guide for Disclosure Improvements 2333
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 2335
1.5.1 Krishna Sammy 2335
1.5.2 Mark Steven Rotstein and Equilibrium Partners Inc. 2335
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 2337
2.1 Decisions 2337
2.1.1 Total S.A. 2337
2.1.2 McEwen Mining Inc. 2345
2.1.3 Compagnie de Saint-Gobain 2347
2.1.4 Horizons ETFs Management (Canada) Inc. and AlphaPro Management Inc. 2352
2.1.5 Schneider Electric S.E. 2356
2.1.6 Sierra Wireless, Inc. 2362
2.1.7 American Hotel Income Properties REIT LP 2365
2.2 Orders 2368
2.2.1 Janus Capital Management LLC – s. 80 of the CFA 2368
2.2.2 Krishna Sammy 2377
2.2.3 Mark Steven Rotstein and Equilibrium Partners Inc. 2377
2.2.4 Estrella International Energy Services Ltd. 2378
2.2.5 Royal Bank of Canada and The Toronto-Dominion Bank – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 2379
2.2.6 Royal Bank of Canada and The Bank of Nova Scotia – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 2386
2.2.7 Global Diversified Investment Grade Income Trust II 2393
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 2394
2.4.1 ABN AMRO Clearing Chicago LLC – ss. 38 and 73 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 2394
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 2405
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2405
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2405
4.2.2 Outstanding Management & Insider Cease Trading Orders 2405
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2407
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2563
Chapter 12 Registrations 2573
12.1.1 Registrants 2573
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 2575
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 2575
13.3.1 CDS – Material Amendments to CDS Rules – Automatic and Discretionary Suspension – Notice of Commission Approval 2575
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 2577