Securities Law & Instruments

OSC Bulletin Volume 40, Issue 13 (March 30, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 2773
1.1 Notices 2773
1.1.1 OSC Staff Notice11-778 Behavioral Insights – Key Concepts, Applications and Regulatory Considerations 2773
1.1.2 MM Café Franchise Inc. et al. 2775
1.1.3 Notice of Ministerial Approval of Amendments to NI 23-101 Trading Rules 2775
1.2 Notices of Hearing 2776
1.2.1 MM Café Franchise Inc. et al. – ss. 127, 127.1 2776
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 2777
1.5.1 MM Café Franchise Inc. et al. 2777
1.5.2 MM Café Franchise Inc. et al. 2777
1.5.3 Steven J. Martel et al. 2778
1.5.4 MM Café Franchise Inc. et al. 2779
1.5.5 MM Café Franchise Inc. et al. 2779
1.5.6 Dennis L. Meharchand and Valt.X Holdings Inc. 2780
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 2781
2.1 Decisions 2781
2.1.1 Excel Funds Management Inc. and Excel Billionaire Leaders Fund 2781
2.1.2 Excel Funds Management Inc. and Excel Latin America Fund 2784
2.1.3 Total Energy Services Inc. 2788
2.1.4 Mackenzie Financial Corporation and IPC Investment Corporation 2791
2.1.5 Enbridge Income Fund et al. 2797
2.1.6 Exxon Mobil Corporation 2802
2.1.7 Cordiant Capital Inc. and Convergence Blended Finance, Inc. 2804
2.1.8 AngelList, LLC and AngelList Advisors, LLC 2807
2.2 Orders 2820
2.2.1 Canadian National Railway Company and The Bank of Nova Scotia – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 2820
2.2.2 The Bank of Nova Scotia and BMO Nesbitt Burns – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 2826
2.2.3 MM Café Franchise Inc. et al. – s. 127 2832
2.2.4 Authorization Order – s. 3.5(3) 2833
2.2.5 Steven J. Martel et al. 2834
2.2.6 Augustine Ventures Inc. 2835
2.2.7 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 2836
2.3 Orders with Related Settlement Agreements 2837
2.3.1 MM Café Franchise Inc. et al. – ss. 127, 127.1 2837
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)
Chapter 4 Cease Trading Orders 2847
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2847
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2847
4.2.2 Outstanding Management & Insider Cease Trading Orders 2847
Chapter 5 Rules and Policies

2849

5.1.1 Amendments to NI 23-101 Trading Rules 2849
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2853
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2971
Chapter 12 Registrations 2979
12.1.1 Registrants 2979
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 2981
13.1 SROs 2981
13.1.1 IIROC – Non-Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Notice of Commission Approval 2981
13.1.2 IIROC – Amendments to Dealer Member Rule 1200 and to Form 1 Relating to the Client Free Credit Cash Usage Limit and Client Free Credit Segregation Requirements – Notice of Commission Approval 2982
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories 2983
Chapter 25 Other Information 2983
25.1.1 Veritas Asset Management Inc. – s. 213(3)(b) of the LTCA 2983
Index 2985