Securities Law & Instruments

OSC Bulletin Volume 40, Issue 12 (March 23, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 2579
1.1 Notices 2579
1.1.1 OSC Notice 11-777 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2018 2579
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 2581
1.5.1 Larry Keith Davis 2581
1.5.2 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) 2581
1.6 Notices from the Office of the Secretary with Related Statements of Allegations 7676
Chapter 2 Decisions, Orders and Rulings 2583
2.1 Decisions 2583
2.1.1 Restaurant Brands International Inc. 2583
2.1.2 Excel Funds Management Inc. and Excel Latin America Fund 2588
2.1.3 UBS Securities LLC 2591
2.2 Orders 2594
2.2.1 Larry Keith Davis 2594
2.2.2 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) 2594
2.2.3 Ryan Labs Asset Management Inc. – s. 80 of the CFA                2596
2.2.4 InterOil Corporation 2605
2.2.5 Column Canada Issuer Corporation               2606
2.2.6 5Banc Split Inc. – s. 1(6) of the OBCA 2607
2.2.7 Magna International Inc. and CIBC World Markets Inc. – s. 6.1 of NI Take-Over Bids and Issuer Bids 2609
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 2615
2.4.1 Credit Suisse Securities (USA) LLC – s. 38 of the CFA 2615
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 2627
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2627
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2627
4.2.2 Outstanding Management & Insider Cease Trading Orders 2627
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2629
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2757
Chapter 12 Registrations 2757
12.1.1 Registrants 2767
Chapter 13 SROs, Marketplaces, and Clearing Agencies 2769
13.1 SROs (nil)
13.2 Marketplaces 2769
13.2.1 Aequitas NEO Exchange Inc. – Proposed Amendments to Trading Policies – OSC Staff Notice and Request for Comment 2769
13.3 Clearing Agencies 2770
13.3.

CDS – Material Amendments to CDS Procedures – CDS-DTCC Payment Service – Notice of Commission Approval              

2770
Chapter 25 Other Information (nil)
Index 2771