Securities Law & Instruments

OSC Bulletin Volume 40, Issue 07 (February 23, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 1721
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 1721
1.5.1 Black Panther Trading Corporation and Charles Robert Goddard 1721
1.6 Notices from the Office of the Secretary with Related Statements of Allegations 7676
Chapter 2 Decisions, Orders and Rulings 1723
2.1 Decisions 1723
2.1.1 Goldman, Sachs & Co. 1723
2.1.2 UBS Securities LLC 1731
2.2 Orders 1739
2.2.1 Brookfield Asset Management Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids  1739
2.2.2 Brookfield Asset Management Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 1743
2.2.3 Brookfield Asset Management Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 1748
2.2.4 Brigadier Gold Limited – s. 144 1752
2.2.5 Black Panther Trading Corporation and Charles Robert Goddard 1755
2.2.6 Mettrum Health Corp. 1755
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)
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 1779
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1779
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1779
4.2.2 Outstanding Management & Insider Cease Trading Orders 1779
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1781
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1861
Chapter 12 Registrations 1869
12.1.1 Registrants 1869
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1871
13.1 SROs (nil)
13.2 Marketplaces 1871
13.2.1 Canadian Securities Exchange – Housekeeping Amendments to Rules, Policies and Forms – Form 1B Listing Application – Notice of Approval                1871
13.2.2 Canadian Securities Exchange – Housekeeping Amendments to Rules, Policies and Forms – Policy 8 – Notice of Approval  1873
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 1875