Securities Law & Instruments

OSC Bulletin Volume 41, Issue 01 (January 4, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


1.1 Notices 1
1.1.1 OSC Staff Notice 21-711 Multilateral Trading Facilities – Exemption from Requirement to be Recognized as an Exchange 1
1.2 Notices of Hearing 2
1.2.1 John Richard Wolfenden – ss. 8, 21.7 2
1.2.2 The Mutual Fund Dealers Association of Canada – ss. 8, 21.7 3
1.3 Notices of Hearing with Related Statements of Allegations 4
1.3.1 Money Gate Mortgage Investment Corporation et al. – ss. 127(1), 127.1 4
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 11
1.5.1 Aurora Cannabis Inc. et al. 11
1.5.2 Assante Capital Management Ltd. and Assante Financial Management Ltd. 11
1.5.3 Money Gate Mortgage Investment Corporation et al. 12
1.5.4 John Richard Wolfenden 12
1.5.5 The Mutual Fund Dealers Association of Canada 13
1.5.6 Aurora Cannabis Inc. et al. 13
1.5.7 Money Gate Mortgage Investment Corporation et al. 14
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 15
2.1 Decisions 15
2.1.1 RBC Global Asset Management Inc. 15
2.1.2 Franklin Templeton Investments Corp. and Bissett Canadian Core Bond Trust 18
2.1.3 Franklin Templeton Investments Corp. and Bissett Canadian Core Bond Trust 21
2.1.4 H&R Real Estate Investment Trust and H&R Finance (2017) Trust 24
2.1.5 1832 Asset Management L.P. 37
2.1.6 Counsel Portfolio Services Inc. 41
2.1.7 Firm Capital Mortgage Investment Corporation and Canaccord Genuity Corp. 46
2.1.8 Mackenzie Financial Corporation and LBC Financial Services Inc. 52
2.1.9 Superior Plus Corp. and Canaccord Genuity Corp. 58
2.2 Orders 64
2.2.1 Richmont Mines Inc. 64
2.2.2 Bloomberg Trading Facility Limited – s. 147 65
2.2.3 CAE Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 74
2.2.4 The Bank of Nova Scotia and The Toronto-Dominion Bank – ss. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 78 78
2.2.5 Aurora Cannabis Inc. et al. – ss. 104, 127 84
2.2.6 Gaming Nation Inc. – s. 1(6) of the OBCA 86
2.2.7 NewCastle Gold Ltd. 87
2.2.8 Money Gate Mortgage Investment Corporation et al. – s. 127(8) 88
2.3 Orders with Related Settlement Agreements 89
2.3.1 Assante Capital Management Ltd. and Assante Financial Management Ltd.– s. 127(1) 89
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 99
3.1 OSC Decisions 99
3.1.1 Assante Capital Management Ltd. and Assante Financial Management Ltd.– s. 127 99
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 103
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 103
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 103
4.2.2 Outstanding Management & Insider Cease Trading Orders 103
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 105
December 24, 2017 106
December 31, 2017 257
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5247
Chapter 12 Registrations 5257
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories 313
13.1 SROs 313
13.1.1 MFDA – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)– Notice of Commission Deemed Approval 313
13.2 Marketplaces 314
13.2.1 Nasdaq CXC Limited and Ensoleillement Inc. – Application for Recognition as Exchanges – Notice of Commission Recognition 314
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 349
25.1 Exemptions 349
25.1.1 Franklin Templeton Investments Corp. and Franklin Bissett Canadian Bond Fund – s. 6.1 of NI 81-101 Mutual Fund Prospectus Disclosure 349
25.2 Approvals 350
25.2.1 Tacita Capital Inc.– s. 213(3)(b) of the LTCA 350
25.3 Consents 351
25.3.1 NewCastle Gold Ltd. – s. 4(b) of Ont. Reg. 289/00 under the OBCA 351
Index 353