Securities Law & Instruments

OSC Bulletin Volume 40, Issue 26 (June 29, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 5445
1.1 Notices 5445
1.1.2 OSC Notice 11-777 Notice of Statement of Priorities for Financial Year to End March 31, 2018 5449
1.1.2 Notice of Arrangements Regarding the Access, Collection Storage and Use of Derivatives Data 888
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 5455
1.3.1 RBC Dominion Securities Inc. et al.– ss. 127(1), 127(2) 5453
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary (nil)
1.5.1 RBC Dominion Securities Inc. et al. 5455
1.5.2 Dennis L. Meharchand and Valt.X Holdings Inc. 5455
1.5.3 Dennis Wing 5456
1.5.4 RBC Dominion Securities Inc. et al. 5456
1.5.5 Nixon Lau et al. 5457
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 5459
2.1 Decisions 5459
2.1.1 First Nations Finance Authority 5459
2.1.2 Secure Energy Services Inc. and Rene Amirault 5462
2.1.3 CI Investments Inc. 5466
2.1.4 Marquest Asset Management Inc. 5469
2.1.5 Scotia Managed Companies Administration Inc. and Moneda Latam Corporate Bond Fund 5474
2.2 Orders 5480
2.2.1 Janus Capital Management LLC – s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 5480
2.2.2 Battle Mountain Gold Inc. 5483
2.2.3 Era Resources Inc. 5485
2.2.4 Borealis Exploration Limited – s. 144(1) 5487
2.2.5 Bank of Montreal and The Bank of Nova Scotia – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 5488
2.2.6 NEX SEF Limited – s. 147 5495
2.2.7 Bluewater Technologies Inc. – s. 80 of the CFA 5506
2.2.8 Dennis L. Meharchand and Valt.X Holdings Inc. 5515
2.2.9 Dennis Wing 5515
2.3 Orders with Related Settlement Agreements 5516
2.3.1 RBC Dominion Securities Inc. et al. – ss. 127(1), 127(2) 5516
2.3.2 Nixon Lau et al. – ss. 127, 127.1 5531
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.1.1 RBC Dominion Securities Inc. et al. – ss. 127(1), 127(2) 5551
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
3.2.1 Hanane Bouji – s. 31 5553
Chapter 4 Cease Trading Orders 961
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5559
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 5559
4.2.2 Outstanding Management & Insider Cease Trading Orders 5559
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 5561
6.1.1 Proposed Amendments to National Instrument 45-102 Resale of Securities, Proposed Changes to Companion Policy 45-102CP to National Instrument 45-102 Resale of Securities, Proposed Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and Proposed Consequential Changes to National Policy 11-206 Process for Cease to be a Reporting Issuer Applications 5561
6.1.2 Proposed OSC Rule 72-503 Distributions Outside Canada and Proposed Companion Policy 72-503 Distributions Outside Canada 5576
Chapter 7 Insider Reporting 5603
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5677
Chapter 12 Registrations 1073
12.1.1 Registrants 5687
Chapter 13 SROs, Marketplaces, and Clearing Agencies 5689
13.1 SROs 5689
13.1.1 MFDA – Revised Proposed Requirements Relating to the Disclosure of MFDA Membership – Request for Comment 5689
13.1.2 IIROC – Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement – Notice of Commission Approval 5690
13.2 Marketplaces 1075
13.2.1 Liquidnet Canada Inc. – Significant Changes to Trading Functionality – Notice of Approval 5691
13.2.2 Nasdaq CXC Limited – Proposed Access to Nasdaq Fixed Income Trading System – Request for Comment 5692
13.2.3 NEX SEF Limited – Notice of Commission Order – Application for Exemptive Relief 5693
13.2.4 TriAct Canada Marketplace LP – Changes to the MATCHNow Trading System – Notice of Proposed Changes and 5694
13.3 Clearing Agencies (nil)
Chapter 25 Other Information 5701
25.1 Approvals 5701
25.1.1 Level 3 Investment Management Inc. – s. 213(3)(b) of the LTCA 5701
Index 1077