Securities Law & Instruments

OSC Bulletin Volume 40, Issue 30 (July 27, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 6577
1.1 Notices 6577
1.1.1 Multilateral CSA Staff Notice 61-302 Staff Review and Commentary on Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions 6577
1.1.2

CSA Staff Notice 51-351 Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2017             

6586
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 6588
1.5.1 Eda Marie Agueci et al 6588
1.5.2 Nixon Lau et al 6588
1.5.3 Manulife Securities Incorporated and Manulife Securities Investment Services Inc 6589
1.5.4 Gregory Deacon 6589
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6591
2.1 Decisions 6591
2.1.1 BRP Inc 6591
2.1.2 Canoe Financial LP et al 6596
2.1.3 Invesco Canada Ltd. et al. 6601
2.1.4 TD Asset Management Inc 6604
2.1.5 BMO Investments Inc 6607
2.1.6 Aberdeen Asset Management Inc. and Aberdeen Asia-Pacific Income Investment Company Limited 6610
2.2 Orders 6612
2.2.1 Fort, L.P. – s. 80 of the CFA 6612
2.2.2 Eda Marie Agueci et al. – s. 144 6621
2.2.3 Colossus Minerals Inc. – s. 144 6622
2.2.4 Mariana Resources Limited 6625
2.2.5 National Bank of Canada and The Toronto-Dominion Bank – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 6627
2.2.6 Eurex Clearing AG – s. 147 6633
2.3 Orders with Related Settlement Agreements 6640
2.3.1 Gregory Deacon – ss. 127, 127.1 6640
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6647
3.1 OSC Decisions 6647
3.1.1 Nixon Lau et al. – ss. 127, 127.1 6647
3.1.1 Manulife Securities Incorporated and Manulife Securities Investment Services Inc. – ss. 127(1), 127(2) 6650
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil) (nil)
Chapter 4 Cease Trading Orders 6653
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6653
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6653
4.2.2 Outstanding Management & Insider Cease Trading Orders 6653
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6655
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6731
Chapter 12 Registrations 6741
12.1.1 Registrants 6741
Chapter 13 SROs, Marketplaces, and Clearing Agencies 6743
13.1 SROs 6743
13.1.1 IIROC – Proposed Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Notice of Withdrawal 6743
13.2 Marketplaces 6744
13.2.1 Aequitas NEO Exchange – Housekeeping Amendments to Listing Manual and Trading Policies – Notice of Housekeeping Rule Amendments 6744
13.2.2 Canadian Securities Exchange – Industry Transition to T+2 Securities Settlement – Notice of Housekeeping Rule Amendments 6747
13.3 Clearing Agencies 6750
13.3.1 CDS – Proposed Amendments to CDS Fee Schedule – CDS Marketplace Set-Up Fees – Notice of Withdrawal 6750
13.3.2 Eurex Clearing AG – Application for Exemptive Relief – Notice of Commission Order 6751
Chapter 25 Other Information (nil)
Index (nil)