Securities Law & Instruments

OSC Bulletin Volume 40, Issue 20 (May 18, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 4417
1.1 Notices 4417
1.1.1 CSA Staff Notice 31-350 Guidance on Small Firms Compliance and Regulatory Obligations 4417
1.2 Notices of Hearing 4417
1.2.1 Eda Marie Agueci et al. – s. 144 4424
1.3 Notices of Hearing with Related Statements of Allegations 4425
1.3.1 Jorge Neher – ss. 127, 127.1 4425
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 4428
1.5.1 Benedict Cheng et al. 4428
1.5.2 MM Café Franchise Inc. et al. 4428
1.5.3 Money Gate Mortgage Investment Corporation et al. 4429
1.5.4 Eda Marie Agueci et al. 4429
1.5.5 Jorge Neher 4430
1.5.6 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) 4430
1.5.7 Larry Keith Davis 4431
1.6 Notices from the Office of the Secretary with Related Statements of Allegations 7676
Chapter 2 Decisions, Orders and Rulings 4433
2.1 Decisions 4433
2.1.1 Genus Capital Management Inc. 4433
2.2 Orders 4439
2.2.1 INFOR Acquisition Corp. 4439
2.2.2 Money Gate Mortgage Investment Corporation et al. – ss. 127(7), 127(8) 4440
2.2.3 Lexam VG Gold Inc. 4440
2.2.4 Dundee Acquisition Ltd. – s. 1(6) of the OBCA 4441
2.2.5 Dundee Acquisition Ltd. 4443
2.2.6 Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa) – ss. 127(1), 127(10) 4444
2.2.7 Halogen Software Inc. – s. 1(6) of the OBCA 4445
2.2.8 Halogen Software Inc. 4446
2.2.9 Lexam VG Gold Inc. – s. 1(6) of the OBCA 4447
2.2.10 Larry Keith Davis – ss. 127(1), 127(10) 4449
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 4463
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4463
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4463
4.2.2 Outstanding Management & Insider Cease Trading Orders 4463
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4465
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4547
Chapter 12 Registrations 4555
12.1.1 Registrants 4555
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4557
13.1 SROs 4557
13.1.1

IIROC – Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and PortabilityCustomer-Protection Regime – Request for Comment

4557
13.2 Marketplaces 4558
13.2.1 NEX SEF Limited – Application for Exemption from Recognition as an Exchange – Notice and Request for Comment 4558
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index #