Securities Law & Instruments

OSC Bulletin Volume 40, Issue 33 (Aug 17, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7033
1.1 Notices (nil)
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 7033
1.5.1 Home Capital Group Inc. et al. 7033
1.5.2 Global 8 Environmental Technologies, Inc. et al. 7033
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7035
2.1 Decisions 7035
2.1.1 Industrial Alliance Securities Inc. and Scotia Capital Inc. 7035
2.1.2 Holliswealth Advisory Services Inc. and Investia Financial Services Inc. 7038
2.1.3 Solium Capital Inc. 7042
2.1.4 Vertex One Asset Management Inc. 7049
2.1.5 Bioamber Inc. 7059
2.1.6 PIMCO Canada Corp. 7061
2.1.7 PIMCO Canada Corp. 7073
2.2 Orders 7080
2.2.1 Twin Butte Energy Ltd. and BBS Securities Inc. – s. 144 7078
2.2.2 Global 8 Environmental Technologies, Inc. et al. – ss. 127(1), 127(10) 7080
2.2.3 SEI Investments Canada Company and SEI Investments Management Corporation – ss. 78(1), 80 of the CFA 7083
2.2.4 Stonegate Agricom Ltd.– s. 1(6) of the OBCA 7088
2.2.5 Exeter Resource Corporation 7090
2.2.6 WesternZagros Resources ULC 7092
2.2.7 Authorization Order – s. 3.5(3) 7093
2.2.8 Zazu Metals Corporation 7094
2.2.9 AQR Capital Management, LLC– s. 80 of the CFA 7096
2.2.10 Lonestar West Inc. 7108
2.2.11 ViXS Systems Inc. 7109
2.3 Orders with Related Settlement Agreements 7110
2.3.1 Home Capital Group Inc. et al.– ss. 127, 127.1 7110
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 7127
3.1 OSC Decisions 7127
3.1.1 Global 8 Environmental Technologies, Inc. et al. – ss. 127(1), 127(10) 7127
3.1.2 Home Capital Group Inc. et al.– ss. 127, 127.1 7136
3.2 Director's Decisions 7140
3.2.1 Sital Singh Dhillon – s. 31 7140
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 7145
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7145
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7145
4.2.2 Outstanding Management & Insider Cease Trading Orders 7145
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7147
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7215
Chapter 12 Registrations 7225
12.1.1 Registrants 7225
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7227
13.1 SROs (nil)
13.2 Marketplaces 7227
13.2.1 Aequitas NEO Exchange – Withdrawal of the AEF Functionality – Notice of Withdrawal 7227
13.3 Clearing Agencies 7228
13.3.1 CDS – Material Amendments to CDS Procedures Related to Canadian Dollar Cash Collateral Management – OSC Staff Notice of Request for Comment 7228
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 7229