Securities Law & Instruments

OSC Bulletin Volume 40, Issue 29 (July 20, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 6243
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 6243
1.3.1 Gregory Deacon – ss. 127, 127.1 6243
1.3.2 Virginia Tan – ss. 127(1), 127(10) 6246
1.3.3 EagleMark Ventures, LLC et al.– ss. 127(1), 127(10) 6250
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 6256
1.5.1 Manulife Securities Incorporated and Manulife Securities Investment Services Inc. 6256
1.5.2 Pro-Financial Asset Management Inc. et al. 6256
1.5.3 Sino-Forest Corporation et al. 6257
1.5.4 Gregory Deacon 6257
1.5.5 Virginia Tan 6258
1.5.6 EagleMark Ventures, LLC et al. 6258
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6259
2.1 Decisions 6259
2.1.1 1832 Asset Management L.P. et al. 6259
2.1.2 Wells Fargo Securities, LLC 6267
2.2 Orders 6269
2.2.1 Pro-Financial Asset Management Inc. et al. 6269
2.2.2 Nesscap Energy Inc. 6270
2.2.3 Nesscap Energy Inc.– s. 1(6) of the OBCA 6273
2.2.4 International Road Dynamics Inc. 6275
2.3 Orders with Related Settlement Agreements 6277
2.3.1 Manulife Securities Incorporated and Manulife Securities Investment Services Inc.
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6291
3.1 OSC Decisions 6291
3.1.1 Sino-Forest Corporation et al. 6291
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 6487
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6487
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6487
4.2.2 Outstanding Management & Insider Cease Trading Orders 6487
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6489
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6563
Chapter 12 Registrations 6571
12.1.1 Registrants 6571
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6573
13.1 SROs 6573
13.1.1 MFDA – New MFDA Policy No. 8 (Proficiency Standard for Approved Persons Selling ETFs) – OSC Staff Notice of Commission Approval 6573
13.2 Marketplaces (nil)
13.3 Clearing Agencies 6574
13.3.1 CDS – Technical Amendments to CDS Procedures – T+2 – Notice of Effective Date 6574
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 6575