Securities Law & Instruments

OSC Bulletin Volume 40, Issue 43 (October 26, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8651
1.1 Notices 8651
1.1.1 CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence 8651
1.1.2 Notice of Co-operation Agreement Concerning Innovative Fintech Businesses with the Abu Dhabi Global Market Financial Services Regulatory Authority 8653
1.1.3 Notice of Ministerial Approval of the Memorandum of Understanding Between Financial Planning Standards Council and Ontario Securities Commission 8660
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 8660
1.3.1 Execution Access, LLC – s. 127, 127.1 8660
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 8662
1.5.1 Execution Access, LLC 8662
1.5.2 Execution Access, LLC 8662
1.5.3 Dennis L. Meharchand and Valt.X Holdings Inc. 8663
1.5.4 Donna Hutchinson et al. 8663
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8665
2.1 Decisions 8665
2.1.1 Token Funder Inc. 8665
2.1.2 Cheverny Capital Inc. and Cordiant Capital Inc. 8668
2.1.3 BMG Management Services Inc. et al. 8670
2.1.4 Equium Capital Management Inc. 8672
2.1.5 Equium Capital Management Inc. 8678
2.2 Orders 8682
2.2.1 OneREIT 8682
2.2.2 IMPACT Silver Corp. – s. 1(11)(b) 8683
2.2.3 The Bank of Nova Scotia – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 8685
2.2.4 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 8689
2.2.5 Donna Hutchinson et al. 8689
2.3 Orders with Related Settlement Agreements 8690
2.3.1 Execution Access, LLC – ss. 127, 127.1 8690
2.4 Rulings 8696
2.4.1 EOX Holdings LLC – s. 74(1) 8696
2.4.2 EOX Holdings LLC – s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options 8701
Chapter 3 Reasons: Decisions, Orders and Rulings 8713
3.1 OSC Decisions 8713
3.1.1 Execution Access, LLC – ss. 127, 127.1 8713
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 8715
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8715
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8715
4.2.2 Outstanding Management & Insider Cease Trading Orders 8715
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8717
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8785
Chapter 12 Registrations 8791
12.1.1 Registrants 8791
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8793
13.1 SROs (nil)
13.2 Marketplaces 8793
13.2.1 Nasdaq CXC Limited – Proposed GEF Facility for an Exchange – OSC Staff Notice and Request for Comment 8793
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8801