Securities Law & Instruments

OSC Bulletin Volume 40, Issue 50 (December 14, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


1.1 Notices 9803
1.1.1 CSA Staff Notice 13-315 (Revised) – Securities Regulatory Authority Closed Dates 2018 9803
1.1.2 CSA Staff Notice 23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada 9805
1.1.3 CSA Staff Notice 21-320 Update: National Instrument 21-101 Marketplace Operation and Related Companion Policy – Dealing with Government Debt Transparency 9807
1.2 Notices of Hearing 9808
1.2.1 Aurora Cannabis Inc. and CanniMed Therapeutics Inc. – ss. 104, 127 9808
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 9809
1.5.1 Aurora Cannabis Inc. and CanniMed Therapeutics Inc. 9809
1.5.2 Aurora Cannabis Inc. and CanniMed Therapeutics Inc. 9809
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9811
2.1 Decisions 9811
2.1.1 RBC Global Asset Management Inc. 9811
2.1.2 Algoma Central Corporation 9814
2.1.3 Invesco Canada Ltd. 9818
2.1.4 Freedom International Brokerage Company et al. 9823
2.1.5 MD Financial Management Inc. 9828
2.1.6 Credential Securities Inc. 9834
2.2 Orders 9841
2.2.1 Dollarama Inc. and Canadian Imperial Bank of Commerce – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 9841
2.2.2 Aurora Cannabis Inc. and CanniMed Therapeutics Inc. – s. 3.5(2) 9847
2.2.3 Dominion Diamond Corporation 9848
2.2.4 Canadian Pacific Railway Limited and Canadian Imperial Bank of Commerce – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 9850
2.2.5 Canadian Pacific Railway Limited and National Bank of Canada – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bid 9856
2.2.6 Bison Gold Resources Inc. – s. 1(6) of the OBCA 9862
2.2.7 Gaming Nation Inc. 9864
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 9867
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9867
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 9867
4.2.2 Outstanding Management & Insider Cease Trading Orders 9867
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9869
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9993
Chapter 12 Registrations 10001
12.1.1 Registrants 10001
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories 10003
13.1 SROs 10003
13.1.1 Notice of Agreement with CFA Institute 10003
13.2 Marketplaces 10006
13.2.1 TSX – Amendments to the TSX Company Manual – Notice of Approval 10006
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 10011
25.1 Exemptions 10011
25.1.1 CST Spark Inc. – Part 19 of National Instrument 41-101 General Prospectus Requirements 10011