Securities Law & Instruments

OSC Bulletin Volume 40, Issue 28 (July 13, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 5999
1.1 Notices 5999
1.1.1 National Instrument 24-101 Institutional Trade Matching and Settlement - Notice of Ministerial Approval 5999
1.1.2 OSC Staff Notice 33-748 Compliance and Registrant Regulation - Annual Summary Report for Dealers, Advisers and Investment Fund Managers 6000
1.1.3 CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions 6001
1.1.4 CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration 6008
1.1.5 OSC Staff Notice 11-739 (Revised) - Policy Reformulation Table of Concordance and List of New Instruments 6015
1.2 Notices of Hearing 6017
1.2.1 Hanane Bouji et al. - s. 8 6017
1.3 Notices of Hearing with Related Statements of Allegations 6017
1.3.1 Manulife Securities Incorporated and Manulife Securities Investment Services Inc. - ss. 127(1), 127(2) 6017
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 6019
1.5.1 Money Gate Mortgage Investment Corporation et al. 6019
1.5.2 TCM Investments Ltd. et al. 6020
1.5.3 Manulife Securities Incorporated and Manulife Securities Investment Services Inc. 6020
1.5.4 Hanane Bouji et al. 6021
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6023
2.1 Decisions 6023
2.1.1 NGAM Canada LP et al. 6023
2.1.2 Desjardins Investments Inc. and Desjardins Québec Balanced Fund 6026
2.1.3 Manulife Asset Management Limited et al. 6030
2.1.4 TransCanada Corporation - s. 5.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions 6036
2.1.5 The Intertain Group Limited 6038
2.1.6 Canadian Natural Resources Limited 6045
2.1.7 Frankly Inc. 6049
2.2 Orders 6052
2.2.1 Eleven Biotherapeutics, Inc. 6052
2.2.2 TCM Investments Ltd. et al. - s. 127(8) 6055
2.2.3 Savanna Energy Services Corp. 6055
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 6057
2.4.1 TFS Energy Futures LLC - s. 38 of the CFA 6057
Chapter 3 Reasons: Decisions, Orders and Rulings 6069
3.1.1 Money Gate Mortgage Investment Corporation et al. - s. 127(1) 6069
3.2 Director’s Decisions 6079
3.2.1 Kashmir Singh Marok 6079
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 6085
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6085
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6085
4.2.2 Outstanding Management & Insider Cease Trading Orders 6085
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6087
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6211
Chapter 12 Registrations 6223
12.1.1 Registrants 6223
Chapter 13 SROs, Marketplaces, and Clearing Agencies 6225
13.1 SROs 6225
13.1.1 IIROC - Proposed Amendments Relating to the New Methodology for Margining Equity Securities - Notice of Withdrawal 6225
13.1.2 IIROC - Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits 6226
13.1.3 IIROC - Proposed Amendments to Simplify the Equity Margin Project Notice of Withdrawal 6227
13.1.4 IIROC - Proposed Dark Rules Anti-Avoidance Provision - Notice of Withdrawal 6228
13.2 Marketplaces 6229
13.2.1 TSX - Housekeeping Amendments to the TSX Rule Book - Notice of Housekeeping Rule Amendments 6229
13.2.2 TSX - Amendments to the TSX Company Manual - Notice of Housekeeping Rule Amendments 6232
13.3 Clearing Agencies 6240
13.3.1 CDCC - Amendments Related to Establishing the Recovery Powers - Notice of Commission Approval 6240
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 6421