Securities Law & Instruments

OSC Bulletin Volume 40, Issue 23 (June 8, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 4965
1.1 Notices 4965
1.1.1 OSC Requests Members for Market Structure Advisory Committee 4965
1.2 Notices of Hearing (nil)
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 4966
1.5.1 Quadrexx Hedge Capital Management Ltd. et al. 4966
1.5.2 Home Capital Group Inc. et al. 4966
1.5.3 Dennis Wing 4967
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 4969
2.1 Decisions 4969
2.1.1 Whitehaven Securities Inc. and Whitehaven Asset Management Inc. 4969
2.1.2 BMO Nesbitt Burns Securities Ltd. and BMO Nesbitt Burns Inc. 4972
2.1.3 Liquidnet Canada, Inc. – s. 15.1 of NI 21-101 Marketplace Operation 4981
2.1.4 CI Investments Inc. 4984
2.1.5 Brandes Investment Partners & Co. 4989
2.2 Orders 4994
2.2.1 European Commercial Real Estate Limited – s. 1(6) of the OBCA 4994
2.2.2 Quadrexx Hedge Capital Management Ltd. et al. 4995
2.2.3 Home Capital Group Inc. et al. 4996
2.2.4 Dennis Wing 4996
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)
Chapter 4 Cease Trading Orders 4997
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4997
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4997
4.2.2 Outstanding Management & Insider Cease Trading Orders 4997
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 4999
6.1.1 Proposed Amendments to National Instrument 45-106 Prospectus Exemptions relating to Reports of Exempt Distribution 4999
Chapter 7 Insider Reporting 5007
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5097
Chapter 12 Registrations 5111
12.1.1 Registrants 5111
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5113
13.1 SROs (nil)
13.2 Marketplaces 5113
13.2.1 Aequitas NEO Exchange Inc. – Amendments to Trading Policies – Notice of Approval 5113
13.2.2 Liquidnet Canada Inc. – Changes to Form 21-101F2 – Notice of Commission Approval 5114
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 5115