Securities Law & Instruments

OSC Bulletin Volume 40, Issue 38 (September 21, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


1.1 Notices 7731
1.1.1 OSC Staff Notice 51-728 Corporate Finance Branch 2016-2017 Annual Report 7731
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 7733
1.5.1 Sino-Forest Corporation et al. 7733
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7735
2.1 Decisions 7735
2.1.1 Two Harbors Investment Corp. 7735
2.1.2 Hewlett Packard Enterprise Company 7738
2.1.3 BNP Paribas Securities Corp. 7741
2.1.4 East Coast Fund Management Inc. and Top Funds 7749
2.1.5 Impak Finance Inc. 7755
2.1.6 Pacific Road Capital Management Pty Ltd. et al. 7758
2.2 Orders 7761
2.2.1 Sensato Investors, LLC – ss. 78(1), 80 of the CFA 7761
2.2.2 CME Clearing Europe Limited – s. 144 7770
2.2.3 Sino-Forest Corporation et al. 7771
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 7772
2.4.1 Bruce Power L.P. – s. 38 of the CFA 7772
Chapter 3 Reasons: Decisions, Orders andRulings (nil)
3.1 OSC Decisions (nil)
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 7777
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7777
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 7777
4.2.2 Outstanding Management & Insider Cease Trading Orders 7777
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7779
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7857
Chapter 12 Registrations 7865
12.1.1 Registrants 7865
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories 7867
13.1 SROs (nil)
13.2 Marketplaces 7867
13.2.1 Canadian Securities Exchange – Significant Change Subject to Public Comment – Amendments to Trading System Functionality & Features – Notice and Request for Comment 7867
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)