Securities Law & Instruments

OSC Bulletin Volume 40, Issue 15 (April 13, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 3327
1.1 Notices 3327
1.1.1 Notice of Ministerial Approval of Arrangements Regarding the Access, Collection, Storage and Use of Derivatives Data 3327
1.2 Notices of Hearing (3328
1.2.1 Mark Steven Rotstein and Equilibrium Partners Inc. - ss. 127(1), 127.1 3328
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 3328
1.5.1 Garth H. Drabinsky et al. 3328
1.5.2 Lance Kotton 3329
1.5.3 Sentry Investments Inc. and Sean Driscoll 3330
1.5.4 Mark Steven Rotstein and Equilibrium Partners Inc. 3330
1.5.5 Quadrexx Hedge Capital Management Ltd. et al. 3331
1.5.6 Eco Oro Minerals Corp. 3331
1.5.7 Mark Steven Rotstein and Equilibrium Partners Inc. 3332
Chapter 2 Decisions, Orders and Rulings 3333
2.1 Decisions 3333
2.1.1 Enstar Group Limited 3333
2.1.2 Brookfield Investment Management (Canada) Inc. 3337
2.1.3 Desjardins Global Asset Management Inc. et al. 3342
2.1.4 Frankly Inc. 3352
2.1.5 Mackenzie Financial Corporation and Mackenzie Global High Yield Fixed Income ETF 3355
2.1.6 Franklin Templeton Investments Corp. and Franklin Target Return Fund 3358
2.1.7 Fidelity Investments Canada ULC 3361
2.1.8 BMO Nesbitt Burns Inc. et al. 3368
2.1.9 Canadian Imperial Bank of Commerce and CIBC Asset Management Inc. 3371
2.2 Orders 3375
2.2.1 Garth H. Drabinsky et al. 3375
2.2.2 Lance Kotton - ss. 127(7), (8) 3378
2.2.3 Manitoba Telecom Services Inc - s. 1(10)(a)(ii) 3379
2.2.4 Quadrexx Hedge Capital Management Ltd. et al. 3382
2.2.5 Wilmington Trust, National Association and Barrick Gold Corporation - s. 46(4) 3383
2.2.6 Eco Oro Minerals Corp. 3386
2.2.7 Dollarama Inc. and BMO Nesbitt Burns Inc. 3387
2.2.8 Dollarama Inc. and Bank of Montreal 3393
2.3 Orders with Related Settlement Agreements 3399
2.3.1 Sentry Investments Inc. and Sean Driscoll - ss. 127(1), 127.1 3399
2.3.2 Mark Steven Rotstein and Equilibrium Partners Inc. - ss. 127, 127.1 3422
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 3435
3.1 OSC Decisions 3435
3.1.1 Sentry Investments Inc. and Sean Driscoll 3435
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 3439
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3439
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3439
4.2.2 Outstanding Management & Insider Cease Trading Orders 3439
Chapter 5 Rules and Policies 3441
5.1.1 CSA Staff Notice 11-335 Notice of Local Amendments and Changes in Certain Jurisdictions 3441
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3453
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3663
Chapter 12 Registrations 3673
12.1.1 Registrants 3673
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories 3675
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 3675
13.3.1 CDCC - Amendments to Sections A-102, A-220 and A-701 of the CDCC Rules - Notice of Commission Approval 3675
13.3.2 CDCC - Amendments to Sections A-1A04 and A-401 of the CDCC Rules - Notice of Commission Approval 3676
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 3677