Securities Law & Instruments

OSC Bulletin Volume 40, Issue 21 (May 25, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 4595
1.1 Notices (nil)
1.2 Notices of Hearing 4595
1.2.1 TCM Investments Ltd. carrying on business as OptionRally et al. – ss. 127, 127.1 4595
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 4596
1.5.1 Michael Patrick Lathigee et al. 4596
1.5.2 Eda Marie Agueci et al. 4597
1.5.3 Jorge Neher 4598
1.5.4 TCM Investments Ltd. carrying on business as OptionRally et al. 4598
1.5.5 Global 8 Environmental Technologies, Inc. et al. 4599
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 4601
2.1 Decisions 4601
2.1.1 Goldman, Sachs & Co. and Goldman Sachs International 4601
2.1.2 Invesco Canada Ltd. and Professional Association of Financial Services Advisors 4604
2.1.3 I.G. Investment Management, Ltd. and Investors Group Funds 4607
2.1.4 I.G. Investment Management, Ltd. and Investors Group Funds 4613
2.1.5 I.G. Investment Management, Ltd. and Investors Group Funds 4618
2.1.6 Vivendi S.A. 4623
2.1.7 Aston Hill Canadian Total Return Fund et al. 4630
2.2 Orders 4634
2.2.1 Michael Patrick Lathigee et al. – ss. 127(1), 127(10) 4634
2.2.2 Eda Marie Agueci et al. 4635
2.2.3 TCM Investments Ltd. carrying on business as OptionRally et al. – ss. 127(1), 127(5) 4636
2.2.4 Global 8 Environmental Technologies,Inc. et al. 4637
2.2.5 Frontier Rare Earths Limited 4638
2.2.6 Niagara Ventures Corporation 4639
2.2.7 Niagara Ventures Corporation – s. 1(6) of the OBCA 4641
2.2.8 Exxon Mobil Corporation 4642
2.3 Orders with Related Settlement Agreements 4645
2.3.1 Jorge Neher – ss. 127, 127.1 4645
2.4 Rulings 4652
2.4.1 Creditex Securities Corporation – s. 38 of the CFA 4652
Chapter 3 Reasons: Decisions, Orders and Rulings 4663
3.1 OSC Decisions 4663
3.1.1 Michael Patrick Lathigee et al. – ss. 127(1), 127(10) 4663
3.1.2 Jorge Neher – ss. 127, 127.1 4671
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 4673
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4673
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4673
4.2.2 Outstanding Management & Insider Cease Trading Orders 4673
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4675
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4757
Chapter 12 Registrations 4763
12.1.1 Registrants 4763
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 4765
13.1 SROs 4765
13.1.1 IIROC – Re-Publication of Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities 4765
13.2 Marketplaces (nil)
13.3 Clearing Agencies 4766
13.3.1 Eurex Clearing AG – Application for Exemption from Recognition as a Clearing Agency – OSC Notice and Request for Comment 4766
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 4775