Securities Law & Instruments

OSC Bulletin Volume 40, Issue 47 (November 23, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9321
1.1 Notices 9321
1.1.1 Sandpiper Real Estate Fund Limited Partnership et al. 9321
1.2 Notices of Hearing 9322
1.2.1 Omega Securities Inc.– ss. 127(1), 127(5) 9322
1.2.2 Land and Buildings Investment Management, LLC – ss. 8, 21.7 9323
1.3 Notices of Hearing with Related Statements of Allegations 9324
1.3.1 Omega Securities Inc. – ss. 127, 127.1 9324
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 9332
1.5.1 Omega Securities Inc. 9332
1.5.2 Sandpiper Real Estate Fund Limited Partnership et al. 9332
1.5.3 Land and Buildings Investment Management, LLC 9333
1.5.4 Benedict Cheng et al. 9334
1.5.5 Omega Securities Inc. 9335
1.5.6 Land and Buildings Investment Management, LLC 9335
1.5.7 Pro-Financial Asset Management Inc. et al. 9336
1.5.8 Land and Buildings Investment Management, LLC 9336
1.5.9 Omega Securities Inc. 9337
1.5.10 Omega Securities Inc. 9337
1.5.11 Omega Securities Inc. 9338
1.5.12 Omega Securities Inc. 9338
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9339
2.1 Decisions 9339
2.1.1 HNZ Group Inc. 9339
2.1.2 Invesco Canada Ltd. 9343
2.2 Orders 9348
2.2.1 Benedict Cheng et al. 9348
2.2.2 Land and Buildings Investment Management, LLC – ss. 8, 21.7 9349
2.2.3 Pro-Financial Asset Management Inc. et al. – s. 9(1)(b) of the SPPA 9350
2.2.4 Land and Buildings Investment Management, LLC 9350
2.2.5 Flaherty & Crumrine Incorporated and Brompton Funds Limited– ss. 78(1) and 80 of the CFA 9351
2.2.6 Timbercreek U.S. Multi-Residential Opportunity Fund #1 9355
2.2.7 Omega Securities Inc. 9358
2.2.8 Omega Securities Inc. 9358
2.2.9 Jiminex Inc. – s. 144 9359
2.2.10 Omega Securities Inc. 9361
2.2.11 Omega Securities Inc. 9362
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 9363
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9363
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9363
4.2.2 Outstanding Management & Insider Cease Trading Orders 9363
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9365
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9445
Chapter 12 Registrations 9457
12.1.1 Registrants 9457
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 9459
13.1 SROs (nil)
13.2 Marketplaces 9459
13.2.1 TSX Inc. – Enhancements to Dark Trading Functionality -- Notice of Proposed Changes and Request for Comment 9459
13.3 Clearing Agencies 9464
13.3.1 CDS – Material Amendments to CDS Rules Related to the Elective System-Operating Cap for Extenders of Credit – OSC Staff Notice of Request for Comment 9464
13.3.2 CDCC – Amendments to CDCC Rules – Minor Changes to the Eligibility Criteria for Membership in the Corporation – OSC Staff Notice of Request for Comment 9465
13.3.3 CDCC – Proposed Amendments to the Rules and Operations Manual of CDCC to Accommodate the Extension of the Trading Hours at Bourse de Montréal Inc.– OSC Staff Notice of Request for Comment
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 9467