Securities Law & Instruments

OSC Bulletin Volume 40, Issue 19 (May 11, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 4197
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 4197
1.3.1 Dennis Wing – ss. 127, 127.1 4197
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 4199
1.5.1 Issam El-Bouji et al. 4199
1.5.2 Benedict Cheng et al. 4199
1.5.3 Home Capital Group Inc. et al. 4200
1.5.4 Edward Furtak et al. 4200
1.5.5 Dennis Wing 4201
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 4203
2.1 Decisions 4203
2.1.1 Northwest & Ethical Investments L.P. 4203
2.1.2 RBC Global Asset Management Inc. 4207
2.1.3 BMO Investments Inc. 4211
2.1.4 Russell Investments Canada Limited 4215
2.1.5 Nasdaq CXC Limited 4219
2.1.6 Cantor Fitzgerald & Co. 4222
2.1.7 Excel Funds Management Inc. 4225
2.1.8 Excel Funds Management Inc. 4230
2.1.9 Excel Funds Management Inc. et al. 4235
2.1.10 William Blair & Company, L.L.C. 4246
2.1.11 Ubisoft Entertainment S.A. 4248
2.1.12 LOGiQ Asset Management Ltd. and Canadian 50 Advantaged Preferred Share Fund 4254
2.1.13 Canada Jetlines Ltd. 4256
2.2 Orders 4261
2.2.1 Luna Gold Corp. 4261
2.2.2 Benedict Cheng et al. 4263
2.2.3 Home Capital Group Inc. et al. 4263
2.2.4 Edward Furtak et al. – ss. 127, 127.1 4264
2.2.5 Augustine Ventures Inc. – s. 1(6) of the OBCA 4266
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4267
3.1 OSC Decisions 4267
3.1.1 Issam El-Bouji et al. 4267
3.1.2 Edward Furtak et al. – ss. 127, 127.1. 4272
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 4291
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4291
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4291
4.2.2 Outstanding Management & Insider Cease Trading Orders 4291
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4293
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4379
Chapter 12 Registrations 4385
12.1.1 Registrants 2979
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 4387
13.1 SROs (nil)
13.2 Marketplaces 4387
13.2.1 Canadian Securities Exchange − Significant Change Subject to Public Comment − Amendments to Trading System Functionality & Features − Notice and Request for Comment 4387
13.2.2 Canadian Securities Exchange − Significant Change Subject to Public Comment − Amendments to Trading System Functionality & Features − Notice and Request for Comment 4390
13.2.3 Aequitas NEO Exchange Inc. – Amendments to Trading Policies – Auto Execution Facility – Update 4392
13.2.4 TSX – Amendments to Parts IV, VI, and IX, Form 12 and Appendix B of the TSX Company Manual – Notice of Housekeeping Amendments 4393
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 4411
25.1 Approvals 4411
25.1.1 eQuaTe Asset Management Inc. – s. 213(3)(b) of the LTCA 4411
Index 4413