Securities Law & Instruments

OSC Bulletin Volume 40, Issue 09 (March 9, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 2061
1.1 Notices (nil)
1.1.1 CSA Staff Notice 51-348 – Staff’s Review of Social Media Used by Reporting Issuers 2061
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 2063
1.3.1 Dennis L. Meharchand and Valt.X Holdings Inc. – ss. 127, 127.1             2063
1.3.2 Larry Keith Davis – ss. 127(1), 127(10) 2068
1.3.3 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) – ss. 127(1), 127(10) 2073
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 2078
1.5.1 Krishna Sammy   2078
1.5.2 Lance Kotton 2079
1.5.3 Dennis L. Meharchand and Valt.X Holdings Inc. 2079
1.5.4 Waverley Corporate Financial Services Ltd. and Donald McDonald 2080
1.5.5 Optam Holdings Inc. et al. 2080
1.5.6 Steven J. Martel et al. 2081
1.5.7 Larry Keith Davis 2081
1.5.8 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) 2082
1.5.9 Garth H. Drabinsky et al.    2082
1.6 Notices from the Office of the Secretary with Related Statements of Allegations 7676
Chapter 2 Decisions, Orders and Rulings

2083

2.1 Decisions

2083

2.1.1 Common Wealth Pension Services Inc. 2083
2.1.2 Algonquin Capital Corporation 2089
2.1.3 Leith Wheeler Investment Counsel Ltd. 2095
2.1.4 HSBC Global Asset Management (Canada) Limited 2100
2.1.5 SEI Investments Canada Company                2106
2.1.6 Arrow Capital Management Inc. and Exemplar U.S. High Yield Fund 2110
2.1.7 IA Clarington Investments Inc. et al.                2114
2.1.8 NGAM Canada LP 2117
2.2 Orders 2119
2.2.1 Mitec Technologies Inc.     2119
2.2.2 Krishna Sammy 2121
2.2.3 Lance Kotton – ss. 127(7), 127(8)    2122
2.2.4 Thomson Reuters Corporation – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 2123
2.2.5 Thomson Reuters Corporation – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 2127
2.2.6 Optam Holdings Inc. et al. 2132
2.2.7 Steven J. Martel et al. – s. 127 2133
2.2.8 Mettrum Health Corp. –s. 1(6) of the OBCA 2135
2.2.9 Garth H. Drabinsky et al. – ss. 127, 127.1 2136
2.2.10 Campar Capital Corporation 2138
2.2.11 MarketAxess Canada Limited – s. 15.1 of NI 21-101 Marketplace Operation 2141
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.1.1 Waverley Corporate Financial Services Ltd. and Donald McDonald – s. 8             2145
3.1.2 Optam Holdings Inc. et al. – ss. 127(1), 127(10)           2167
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 2171
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2171
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2171
4.2.2 Outstanding Management & Insider Cease Trading Orders 2171
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2173
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings

2317

Chapter 12 Registrations

2317

12.1.1 Registrants 2327
Chapter 13 SROs, Marketplaces, and Clearing Agencies 2329
13.1 SROs 2329
13.1.1 IIROC – The Proposed IIROC Dealer Member Plain Language Rule Book – Request for Comment 2329
13.1.2 IIROC – Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member – Request for Comment 2330
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 2331