Securities Law & Instruments

OSC Bulletin Volume 40, Issue 16 (April 20, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 3679
1.1 Notices 3679
1.1.1 CSA Staff Notice 45-323 - Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions 3679
1.1.2 Steven J. Martel et al. 3684
1.2 Notices of Hearing 3685
1.2.1 Crystal Wealth Management System Limited et al. - s. 127(7), 127(8) 3685
1.3 Notices of Hearing with Related Statements of Allegations 3687
1.3.1 Benedict Cheng et al. - s.127(1) 3687
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 3694
1.5.1 Black Panther Trading Corporation and Charles Robert Goddard 3694
1.5.2 MM Café Franchise Inc., Techocan International Co. Ltd., 1727350 Ontario Ltd., Marianne Godwin, Dave Garnet Craig and Haiyan (Helen) Gao Jordan 3694
1.5.3 Benedict Cheng, Frank Soave, John David Rothstein and Eric Tremblay 3695
1.5.4 Crystal Wealth Management System Limited 3695
1.5.5 Steven J. Martel, Martel Group of Companies Inc., and 8446997 Canada Inc. 3696
1.5.6 Benedict Cheng, Frank Soave, John David Rothstein and Eric Tremblay 3696
1.5.7 Crystal Wealth Management System Limited, Clayton Smith, CLJ Everest Ltd and 1150752 Ontario Limited 3697
1.5.8 Benedict Cheng et al. 3697
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 3699
2.1 Decisions 3699
2.1.1 Northwest & Ethical Investments L.P., Nei Northwest Macro Canadian Asset Allocation Fund and Nei Northwest Macro Canadian Asset Allocation Corporate Class 3699
2.1.2 Banwell Financial Inc. and Investia Financial Services Inc. 3704
2.2 Orders 3707
2.2.1 Eurex Clearing AG - s. 144 3707
2.2.2 Black Panther Trading Corporation and Charles Robert Goddard - ss. 127, 127.1 3708
2.2.3 Crystal Wealth Management System Limited - ss. 127(1), (5) 3709
2.2.4 Crystal Wealth Management System Limited - ss. 127(1), (5) 3712
2.2.5 Crystal Wealth Management System Limited, Clayton Smith, CLJ Everest Ltd and 1150752 Ontario Limited - ss. 127(7), (8) 3714
2.3 Orders with Related Settlement Agreements 3716
2.3.1 Benedict Cheng et al. - s.127(1) 3716
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 3727
3.1 OSC Decisions 3727
3.1.1 Black Panther Trading Corporation and Charles Robert Goddard - ss. 127, 127.1 3727
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 3741
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3741
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3741
4.2.2 Outstanding Management & Insider Cease Trading Orders 3741
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 3743
6.1.1 Notice and Request for Comments Regarding the Rules of Procedure and Forms and Practice Guideline of the Ontario Securities Commission 3743
Chapter 7 Insider Reporting 3779
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3837
Chapter 12 Registrations 3847
12.1.1 Registrants 3847
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories 3849
13.1 SROs 3849
13.1.1 IIROC - Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression Requirements 3849
13.2 Marketplaces (nil)
13.3 Clearing Agencies 3850
13.3.1 Eurex Clearing AG 3850
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 3851