Securities Law & Instruments

OSC Bulletin Volume 40, Issue 45 (November 9, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8945
1.1 Notices 8945
1.1.1 Notice of Ministerial Approval of Amendments to NI 81-102 Investment Funds and NI 81-104 Commodity Pools 8945
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 8946
1.5.1 Sital Singh Dhillon 8946
1.5.2 Lance Sandford Cook and CBM Canada’s Best Mortgage Corp. 8946
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8947
2.1 Decisions 8947
2.1.1 Wells Fargo Securities, LLC 8947
2.1.2 AHI Holdings Inc. et al. 8955
2.1.3 CI Investments Inc. et al. 8958
2.1.4 Enerflex Ltd. 8964
2.1.5 National Bank Financial Inc. et al. 8966
2.2 Orders 8969
2.2.1 Putnam Investments Canada ULC et al. – s. 78 of the Act and s. 80 of the CFA 8969
2.2.2 betterU Education Corp. (formerly Open Gold Corp.) – s. 1(11)(b) 8974
2.2.3 Sital Singh Dillon – s. 8(3) 8976
2.2.4 Lance Sandford Cook and CBM Canada’s Best Mortgage Corp. 8977
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 8979
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8979
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8979
4.2.2 Outstanding Management & Insider Cease Trading Orders 8979
Chapter 5 Rules and Policies

8981

5.1.1 Notice of Adoption of the Ontario Securities Commission’s New Rules of Procedure and Forms and New Practice Guideline 8981
5.1.2 OSC Rules of Procedure and Forms 8988
5.1.3 OSC Practice Guideline 9009
5.1.4 Amendments to NI 81-102 Investment Funds 9023
5.1.5 Amendments to NI 81-104 Commodity Pools 9024
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9025
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9097
Chapter 12 Registrations 9105
12.1.1 Registrants 9105
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 9107