Securities Law & Instruments

OSC Bulletin Volume 40, Issue 25 (June 22, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 5261
1.1 Notices 5261
1.1.1 CSA Staff Notice 93-301 Derivatives Business Conduct Rule – No Overlap with Derivatives Registration Rule Comment Period 5261
1.1.2 CSA Staff Notice 51-350 Extension of Consultation Period – CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers 5263
1.2 Notices of Hearing 5265
1.2.1 Home Capital Group Inc. et al.– ss. 127(1), 127.1 5265
1.3 Notices of Hearing with Related Statements of Allegations 5266
1.3.1 Nixon Lau et al. – ss. 127, 127.1 5266
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 5271
1.5.1 Home Capital Group Inc. et al. 5271
1.5.2 Pro-Financial Asset Management Inc. et al. 5271
1.5.3 Garth H. Drabinsky et al. 5272
1.5.4 Nixon Lau et al. 5272
1.5.5 Eco Oro Minerals Corp. 5273
1.5.6 Home Capital Group Inc. et al. 5273
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 5275
2.1 Decisions 5275
2.1.1 BTIG, LLC 5275
2.1.2 Sanofi 5278
2.1.3 The North West Company Inc. 5284
2.1.4 Vinci S.A. 5289
2.2 Orders 5294
2.2.1 Can-Ameri Agri Co. Inc. 5294
2.2.2 Pro-Financial Asset Management Inc. et al. 5296
2.2.3 Champion Exchange Limited – s. 1(6) of the OBCA 5296
2.2.4 Garth H. Drabinsky et al.– ss. 127(1), 127(10) 5298
2.2.5 Home Capital Group Inc. et al. 5299
2.2.6 Enssolutions Group Inc. – s. 144 5299
2.2.7 Immunotec inc. 5302
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 5305
3.1 OSC Decisions 5305
3.1.1 Garth H. Drabinsky et al. – ss. 127(1), 127(10) 5305
3.1.2 Eco Oro Minerals Corp. – ss. 8(3), 21.7, 127(1) 5321
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 5357
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5357
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5357
4.2.2 Outstanding Management & Insider Cease Trading Orders 5357
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5359
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5423
Chapter 12 Registrations 5437
12.1.1 Registrants 5437
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5439
13.1 SROs (nil)
13.2 Marketplaces 5439
13.2.1 Canadian Securities Exchange – Amendments to Trading System Functionality & Features – Oddlot Trading – Notice of Approval 5439
13.2.2 Canadian Securities Exchange – Amendments to Trading System Functionality & Features – On-Stop Orders – Notice of Approval 5440
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 5441
Index 5443