Securities Law & Instruments

OSC Bulletin Volume 40, Issue 14 (April 6, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 2987
1.1 Notices 2987
1.1.1 CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers 2987
1.1.2 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 2989
1.1.3

Notice of Ministerial Approval of NI 94-101 Mandatory Central Counterparty Clearing of Derivatives            

2991
1.2 Notices of Hearing 2992
1.2.1 Eco Oro Minerals Corp. – ss. 21.7, 127          2992
1.3 Notices of Hearing with Related Statements of Allegations 2993
1.3.1

Sentry Investments Inc. and Sean Driscoll – ss. 127(1), 127.1 

2993
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 2997
1.5.1 Thomas Arthur Williams et al. 2997
1.5.2 Sentry Investments Inc. and Sean Driscoll 2997
1.5.3 Eco Oro Minerals Corp. 2998
1.6 Notices from the Office of the Secretary with Related Statements of Allegations 7676
Chapter 2 Decisions, Orders and Rulings (nil)
2.1 Decisions 2999
2.1.1 Mackenzie Financial Corporation and IPC Investment Corporation 2999
2.1.2 Manulife Asset Management Limited et al. 3003
2.1.3 1832 Asset Management L.P.          3013
2.1.4 Mackenzie Financial Corporation et al. 3017
2.1.5 Hewlett Packard Enterprise Company 3020
2.1.6 BMO Investments Inc. 3023
2.1.7 Excel Funds Management Inc. 3026
2.1.8 Bloomberg Tradebook Canada Company    3030
2.1.9 Hewlett-Packard Enterprise Company 3032
2.1.10 Expo Event Holdco, Inc.     3035
2.1.11 OMERS Administration Corporation and OMERS Investment Management Inc.   3039
2.1.12 NGAM Canada LP 3039
2.2 Orders 3045
2.2.1 Danier Leather Inc. – s. 144 3051
2.2.2 RBC Global Asset Management Inc. and BlueBay Asset Management LLP – ss. 78(1), 80 of the CFA 3053
2.2.3 Thomas Arthur Williams et al. 3057
2.2.4 Automative Finco Corp. (formerly Ressources Minières Augyva Inc. / Augyva Mining Resources Inc.) – s. 1(11)(b) 3061
2.2.5 Eco Oro Minerals Corp. – Rules 3, 6, 11 and 14 of the OSC Rules of Practice 3063
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 3065
2.4.1

J.P. Morgan Securities LLC – s. 38 of the CFA

3065
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions 3077
3.1.1

Thomas Arthur Williams et al.

3077
3.2 Director’s Decisions 3084
3.2.1

Christopher Aqui

3084
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 3093
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3093
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3093
4.2.2 Outstanding Management & Insider Cease Trading Orders 3093
Chapter 5 Rules and Policies 3095
5.1.1 NI 94-101 Mandatory Central Counterparty Clearing of Derivatives 3095
5.1.2 Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives 3106
Chapter 6 Request for Comments 3113
6.1.1 Proposed NI 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives: Business 3113
Chapter 7 Insider Reporting 3175
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3287
Chapter 12 Registrations 3299
12.1.1 Registrants 3299
Chapter 13 SROs, Marketplaces, and Clearing Agencies 3301
13.1 SROs 3301
13.1.1 IIROC – Proposed Amendments Relating to Personal Financial Dealings with Clients – Notice of Withdrawal 3301
13.2 Marketplaces 3302
13.2.1

TSX – Amendments to TSX Company Manual – Request for Comments             

3302
13.2.2 TSX – Housekeeping Amendments to the TSX Rule Book – Notice of Housekeeping Rule Amendments 3312
13.2.3 Liquidnet Canada – Changes to the Liquidnet Canada Trading System – Notice of Proposed Changes and Request for Comment 3315
13.2.4 Bloomberg Tradebook Canada Company – Filing of Form 21-101F4 – Notice of Cessation of ATS Business             3322
13.2.5 TSX Inc. – Proposed Amendments to TSX Rule Book – OSC Staff Notice and Request for Comments 3323
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 3325