Securities Law & Instruments

OSC Bulletin Volume 40, Issue 5 (February 1, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 953
1.1 Notices 953
1.1.1 CSA Staff Notice 23-321 Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019 953
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 956
1.3.1 National Bank Financial Inc. et al.– ss. 127, 127.1 956
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 962
1.5.1 Quadrexx Hedge Capital Management Ltd. et al. 962
1.5.2 National Bank Financial Inc. et al. 962
1.5.3 Omega Securities Inc. 963
1.5.4 National Bank Financial Inc. et al. 963
1.5.5 Dennis L. Meharchand and Valt.X Holdings Inc. 964
1.5.6 National Bank Financial Inc. et al. 964
1.5.7 Donald Mason 965
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 967
2.1 Decisions 967
2.1.1 Sphere Investment Management Inc. et al. 967
2.1.2 Marret Asset Management Inc. et al. 975
2.1.3 AltaGas Ltd. 979
2.1.4 Ithaca Energy Inc. 981
2.1.5 The Toronto-Dominion Bank and TD Bank, N.A. 984
2.2 Orders 987
2.2.1 Quadrexx Hedge Capital Management Ltd. et al. – ss. 127, 127.1 987
2.2.2 AuRico Metals Inc. – s. 1(6) of the OBCA 988
2.2.3 Kirkland Lake Gold Inc. 989
2.2.4 Paladin Energy Ltd 990
2.2.5 ClareGold Trust 993
2.2.6 EA Education Group Inc. 994
2.2.7 Omega Securities Inc. – s. 127(7) 996
2.2.8 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 996
2.2.9 Donald Mason – s. 8 997
2.2.10 Deer Horn Capital Inc. 997
2.2.11 TMX Group Limited et al. – s. 147 998
2.3 Orders with Related Settlement Agreements 1000
2.3.1 National Bank Financial Inc. et al.– ss. 127, 127.1 1000
2.4 Rulings 1009
2.4.1 BGC Financial LP et al. – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 1009
Chapter 3 Reasons: Decisions, Orders and Rulings 1023
3.1 OSC Decisions 1023
3.1.1 Quadrexx Hedge Capital Management Ltd. et al. – ss. 127, 127.1 1023
3.1.2 National Bank Financial Inc. et al. – ss. 127, 127.1 1039
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 1041
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1041
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1041
4.2.2 Outstanding Management & Insider Cease Trading Orders 1041
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1043
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1115
Chapter 12 Registrations 1123
12.1.1 Registrants 1123
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 1125
13.1 SROs (nil)
13.2 Marketplaces 1125
13.2.1 TSX – Housekeeping Amendments to TSX Form 11 Notice of Private Placement – Notice of Housekeeping Rule Amendments to the TSX Company Manual 1125
13.2.2 Canadian Securities Exchange – Notice of Withdrawal of Proposed Amendments to Trading Rules 1126
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 1127