Securities Law & Instruments

OSC Bulletin Volume 40, Issue 40 (October 5, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


1.1 Notices 8041
1.1.1 CSA Multilateral Staff Notice 58-309 Staff Review of Women on Boards and in Executive Officer Positions –Compliance with NI 58-101 Disclosure of Corporate Governance Practices 8041
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 8043
1.5.1 Khalid Walid Jawhari 8043
1.5.2 David Gregor McClure 8043
1.5.3 TCM Investments Ltd. et al. 8044
1.5.4 TCM Investments Ltd. et al. 8044
1.5.5 Pro-Financial Asset Management Inc. et al. 8045
1.5.6 Dennis L. Meharchand and Valt.X Holdings Inc. 8046
1.5.7 Sital Singh Dhillon 8047
1.5.8 EagleMark Ventures, LLC et al. 8047
1.5.9 David Gregor McClure 8048
1.5.10 Crystal Wealth Management System Limited et al. 8049
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8051
2.1 Decisions 8051
2.1.1 CI Investments Inc. and Assante Capital Management Ltd. 8051
2.1.2 The European Stability Mechanism and the European Financial Stability Facility 8062
2.1.3 Pentecostal Financial Services Group Inc. et al. 8066
2.1.4 Sentry Investments Inc. 8079
2.1.5 IA Clarington Investments Inc. and Investia Financial Services Inc. 8086
2.1.6 Pattern Energy Group Inc. 8091
2.1.7 The Royal Bank of Scotland PLC and National Westminster Bank PLC 8093
2.2 Orders 8100
2.2.1 Novadaq Technologies Inc. 8100
2.2.2 Khalid Walid Jawhari 8101
2.2.3 David Gregor McClure – ss. 127(1), 127(10) 8101
2.2.4 TCM Investments Ltd. et al. – s. 127(8) 8102
2.2.5 TCM Investments Ltd. et al.– s. 127(1) 8103
2.2.6 Bitumen Capital Inc. 8103
2.2.7 Pro-Financial Asset Management Inc. et al. – s. 144 8104
2.2.8 CanAsia Financial Inc. – s. 144 8105
2.2.9 INNOVA Gaming Group Inc. 8107
2.2.10 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 8108
2.2.11 Sital Singh Dhillon 8108
2.2.12 Nodal Exchange, LLC – s. 144 of the Act and s. 78 of the CFA 8109
2.2.13 Nodal Clear, LLC – s. 144 8122
2.2.14 EagleMark Ventures, LLC et al. – ss. 127(1), 127(10) 8127
2.2.15 Crystal Wealth Management System Limited et al. – s. 127(8) 8129
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders andRulings 8131
3.1 OSC Decisions 8131
3.1.1 EagleMark Ventures, LLC et al. – ss. 127(1), 127(10) 8131
3.1.2 David Gregor McClure– ss. 127(1), 127(10) 8135
3.2 Director’s Decisions 8138
3.2.1 Acker Finley Asset Management Inc. – s. 31 8138
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 8153
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8153
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 8153
4.2.2 Outstanding Management & Insider Cease Trading Orders 8153
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8155
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8211
Chapter 12 Registrations 8219
12.1.1 Registrants 7865
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories 8221
13.1 SROs (nil)
13.2 Marketplaces 8221
13.2.1 Nodal Exchange, LLC and Nodal Clear, LLC – Variation Orders – Notice of Commission Order 8221
13.3 Clearing Agencies 8222
13.3.1 Nodal Exchange, LLC and Nodal Clear, LLC – Variation Orders – Notice of Commission Order 8222
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8223