Securities Law & Instruments

OSC Bulletin Volume 40, Issue 22 (June 1, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

Chapter 1 Notices / News Releases 4777
1.1 Notices 4777
1.1.1 Notice of Amendments – Bills 70 and 127 4777
1.1.2 CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients 4778
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 4784
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 4799
1.5.1 Lance Kotton 4799
1.5.2 Danish Akhtar Soleja et al. 4799
1.5.3 TCM Investments Ltd. carrying on business as OptionRally et al. 4800
1.5.4 Nelson Peter Bradbury 4800
1.5.5 Quadrexx Hedge Capital Management Ltd. et al. 4801
1.5.6 Jonathan Financial Inc. and Gregory Frederick Hilderman 4801
1.5.7 Lance Kotton 4802
1.5.8 AAOption et al. 4802
1.5.9 Money Gate Mortgage Investment Corporation et al. 4803
1.5.10 Krishna Sammy 4803
1.6 Notices from the Office of the Secretary with Related Statements of Allegations 7676
Chapter 2 Decisions, Orders and Rulings 4805
2.1 Decisions 4805
2.1.1 BlackRock Asset Management Canada Limited 4805
2.1.2 CI Investments Inc. 4810
2.1.3 Investment Management Corporation of Ontario 4815
2.1.4 Manulife Financial Capital Trust II et al. 4824
2.1.5 RBC Dominion Securities Inc. et al. 4828
2.2 Orders 4834
2.2.1 Lance Kotton 4834
2.2.2 Danish Akhtar Soleja et al. 4835
2.2.3 Champion Exchange Limited 4837
2.2.4 TCM Investments Ltd. carrying on business as OptionRally et al. – ss. 127(7) 4838
2.2.5 Quadrexx Hedge Capital Management Ltd. et al. 4838
2.2.6 Orbus Pharma Inc. – s. 144 4839
2.2.7 AAOption et al. – ss. 127(1), 127(10) 4843
2.2.8 White Gold Corp. – s. 1(11) 4844
2.2.9 Money Gate Mortgage Investment Corporation et al. – ss. 127(7), 127(8) 4845
2.2.10 Golden Credit Card Trust 4846
2.2.11 Nobel Real Estate Investment Trust 4852
2.2.12 Infor Acquisition Corp.– s. 1(6) of the OBCA 4853
2.3 Orders with Related Settlement Agreements 4855
2.3.1 Lance Kotton – ss. 127, 127.1 4855
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.1.1 Danish Akhtar Soleja et al. – ss. 127(1), 127(10) 4869
3.1.2 AAOption et al. – ss. 127(1), 127(10) 4873
3.1.3 Krishna Sammy – s. 8(3) 4877
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders (nil)
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4885
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 4885
4.2.2 Outstanding Management & Insider Cease Trading Orders 4885
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4887
Chapter 9 Legislation (nil)
9.1.1 Bill 70, Building Ontario Up for Everyone Act (Budget Measures), 2016 4939
9.1.2 Bill 127, Stronger, Healthier Ontario Act (Budget Measures), 2017 4940
Chapter 11 IPOs, New Issues and Secondary Financings 4939
Chapter 12 Registrations 4951
12.1.1 Registrants 4951
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4953
13.1 SROs (nil)
13.2 Marketplaces 4953
13.2.1 Nasdaq CXC Limited – Notice of Proposed Changes and Request for Comment 4953
13.2.2 TSX – Amendments to TSX Company Manual – Request for Comments 4957
13.3 Clearing Agencies 4959
13.3.1 CDS – Material Amendments to CDS Procedures Related to the Continuous Net Settlement Default Fund – OSC Staff 4959
Chapter 25 Other Information (nil)
Index 4961