Securities Law & Instruments

OSC Bulletin Volume 40, Issue 31 (August 3, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 6755
1.1 Notices 6755
1.1.1 CSA Staff Notice 24-316 Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment 6755
1.1.2 CSA Staff Notice 94-302 Delivery of Forms Required under National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions 6765
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 6767
1.5.1 Quadrexx Hedge Capital Management Ltd. et al. 6767
1.5.2 Gregory Deacon 6767
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6769
2.1 Decisions 6769
2.1.1 Forrester Metals Inc. (formerly Vena Resources Inc.) 6769
2.1.2 Starlight U.S. Multi-Family (No. 1) Value-Add Fund 6771
2.1.3 Marquest Asset Management Inc. 6774
2.1.4 National Bank Investments Inc. 6778
2.1.5 SPR & Co LP 6784
2.1.6 TD Asset Management Inc. 6793
2.1.7 Evolve Funds Group Inc. et al. 6797
2.1.8 CI Investments Inc. 6807
2.1.9 Jefferies International Limited et al. 6812
2.2 Orders

6819

2.2.1 Forrester Metals Inc. (formerly Vena Resources Inc.) – s. 1(6) of the OBCA 6819
2.2.2 STT Enviro Corp. 6820
2.2.3 Quadrexx Hedge Capital Management Ltd. et al. 6821
2.2.4 DH Corporation – s. 1(6) of the OBCA 6821
2.2.5 Integra Gold Corp. 6822
2.2.6 Stonegate Agricom Ltd. 6823
2.2.7 DH Corporation 6824
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 6826
2.4.1 ICBC Standard Bank PLC. – s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options 6826
2.4.2 J.P. Morgan Securities PLC – s. 38 of the CFA 6838
Chapter 3 Reasons: Decisions, Orders and Rulings

6849

3.1 OSC Decisions

6849

3.1.1 Gregory Deacon – ss. 127, 127.1 6849
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 6851
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6851
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6851
4.2.2 Outstanding Management & Insider Cease Trading Orders 6851
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting

6853

Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6899
Chapter 12 Registrations 6911
12.1.1 Registrants 6911
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6913
13.1 SROs (nil)
13.2 Marketplaces 6913
13.2.1 TSX Inc. – Enhancements to Dark Trading Functionality – Notice of Approval 6913
13.2.2 TSX Inc. – Enhancement to the Opening Auction Functionality – Notice of Approval 6916
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 6917
25.1 Approvals 6917
25.1.1 East Coast Fund Management Inc. – s. 213(3)(b) of the LTCA 6917
25.1.2 Rocklinc Investment Partners Inc. – s. 213(3)(b) of the LTCA 6918
Index 6919