Securities Law & Instruments

OSC Bulletin Volume 40, Issue 09 (March 3, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 1877
1.1 Notices 1877
1.1.1 Notice of Co-operation Agreement Concerning Innovative Fintech Businesses with U.K. Financial Conduct Authority 1877
1.1.2 Investar Investment Ltd. et al. 1885
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 1886
1.5.1 Krishna Sammy 1886
1.5.2 Investar Investment Ltd. et al. 1887
1.5.3 Garth H. Drabinsky et al. 1887
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 1889
2.1 Decisions 1889
2.1.1 Crescita Therapeutics Inc. 1889
2.1.2 J.P. Morgan Securities LLC 1893
2.1.3 Brandes Investment Partners & Co. et al. 1901
2.2 Orders 1907
2.2.1 Jourdan Resources Inc. – s. 144 1907
2.2.2 Aveda Transportation and Energy Services Inc. – s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions 1909
2.2.3 Franchise Bancorp Inc. 1913
2.2.4 Toro Oil & Gas Ltd. 1914
2.2.5 Krishna Sammy 1915
2.2.6 Sprott Resource Corp. 1916
2.2.7 Garth H. Drabinsky et al.– ss. 127, 127.1 1917
2.2.8 Gildan Activewear Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 1921
2.2.9 5Banc Split Inc. 1925
2.2.10 Franchise Bancorp Inc. – s. 1(6) of the OBCA 1926
2.2.11 Perk Inc. 1927
2.2.12 Perk Inc. – s. 1(6) of the OBCA 1928
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 1929
2.4.1 Prism Financial Products LLC – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 1929
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 1941
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1941
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1941
4.2.2 Outstanding Management & Insider Cease Trading Orders 1941
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1943
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2041
Chapter 12 Registrations 2053
12.1.1 Registrants 2053
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 2055
13.1 SROs (nil)
13.2 Marketplaces 2055
13.2.1 Canadian Securities Exchange – Public Interest Rule Amendment – Rule 4-113 Commitments and Performance Notice and Request for Comments 2055
13.2.2 Canadian Securities Exchange – Notice of Withdrawal of Proposed Changes to Trading Fees 2058
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 2059