Securities Law & Instruments

OSC Bulletin Volume 41, Issue 14 (April 5, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 2759
1.1 Notices 2759
1.1.1 CSA Staff Notice 51-354 Report on Climate change-related Disclosure Project 2759
1.1.2 OSC Notice 11-780 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2019 2761
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 2763
1.3.1 David Tuan Seng Lim and Michael Mugford – ss. 127(1), 127(10) 2763
1.3.2 Martin Bernholtz – ss. 127(1), 127.1 2768
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 2772
1.5.1 David Tuan Seng Lim and Michael Mugford 2772
1.5.2 Martin Bernholtz 2772
1.5.3 Brian Michael Sutton and Investment Industry Regulatory Organization of Canada 2773
1.5.4 Miles S. Nadal 2773
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 2775
2.1 Decisions 2775
2.1.1 Arkema S.A. 2775
2.1.2 Brompton Funds Limited 2781
2.1.3 Franklin Templeton Investments Corp. 2787
2.1.4 Evolve Funds Group Inc. 2792
2.1.5 Beutel, Goodman & Company Ltd. 2793
2.1.6 Beutel, Goodman & Company Ltd. 2801
2.1.7 OceanRock Investments Inc. 2807
2.2 Orders 2812
2.2.1 European Metals Corp. – s. 144 2812
2.2.2 Brian Michael Sutton and Investment Industry Regulatory Organization of Canada – ss. 8, 21.7 2815
2.2.3 Miles S. Nadal 2816
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 2817
2.4.1 MEAG MUNICH ERGO Asset Management GmbH 2817
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 2823
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2823
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2823
4.2.2 Outstanding Management & Insider Cease Trading Orders 2823
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 2825
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2941
Chapter 12 Registrations 2949
12.1.1 Registrants 2949
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 2951
13.1 SROs 2951
13.1.1 IIROC – Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents – Request for Comment 2951
13.1.2 IIROC − Amendments to the Minimum Dealer Regulation Fee Component of IIROC’s Dealer Member Fee Model − Notice of Commission Approval 2952
13.2 Marketplaces (nil)
13.3 Clearing Agencies 2953
13.3.1 CDCC − Omnibus Amendments to Rule A and D-6, The Operations, Risk and Default Manuals of the Canadian Derivatives Clearing Corporation, Introducing the Limited Clearing Members Category and Establishing Additional Recovery Powers (Recovery Phase 2) 2953
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 2955