Securities Law & Instruments

OSC Bulletin Volume 41, Issue 15 (April 12, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 2957
1.1 Notices 2957
1.1.1 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 2957
1.1.2 CSA Staff Notice 61-303 and Request for Comment – Soliciting Dealer Arrangements 2960
1.1.3 CSA Staff Notice 52-329 Distribution Disclosures and Non-GAAP Financial Measures in the Real Estate Industry 2965
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.3.1 Mackenzie Financial Corporation – ss. 127, 127.1 2967
1.3.2 Muchoki Fungai Simba (also previously known as Henderson MacDonald Alexander Butcher) – ss. 127(1), 127.1 2971
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 2967
1.5.1 Sital Singh Dhillon 2975
1.5.2 Mackenzie Financial Corporation 2975
1.5.3 Muchoki Fungai Simba (also known as Henderson MacDonald Alexander Butcher) 2976
1.5.4 Muchoki Fungai Simba (also previously known as Henderson MacDonald Alexander Butcher) 2976
1.5.5 USI Tech Limited et al. 2977
1.5.6 Mackenzie Financial Corporation 2977
1.5.7 Crystal Wealth Management System Limited et al. 2978
1.5.8 USI Tech Limited et al. 2978
1.5.9 Dennis L. Meharchand and Valt.X Holdings Inc. 2979
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 2981
2.1 Decisions 2981
2.1.1 Lionguard Capital Management Inc. 2981
2.1.2 CI Investments Inc. et al. 2987
2.2 Orders 2990
2.2.1 Muchoki Fungai Simba (also known as Henderson MacDonald Alexander Butcher) 2990
2.2.2 USI Tech Limited et al. – s. 127(8) 2992
2.2.3 Dominion Citrus Limited – s. 1(6) of the OBCA 2993
2.2.4 Chicago Mercantile Exchange Inc. et al. – s. 144 of the OSA and ss. 38 and 78 of the CFA 2995
2.2.5 Investment Industry Regulatory Organization of Canada – s. 144 of the Act and s. 78(1) of the CFA 3009
2.2.6 Mutual Fund Dealers Association of Canada/Association Canadienne des Courtiers de Fonds Mutuels – s. 144 3023
2.2.7 Crystal Wealth Management System Limited et al. – s. 127(8) 3035
2.2.8 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 3035
2.3 Orders with Related Settlement Agreements 3036
2.3.1 Mackenzie Financial Corporation – ss. 127(1), 127.1 3036
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 3053
3.1 OSC Decisions 3053
3.1.1 Sital Singh Dhillon – ss. 8(2), 8(3) 3053
3.1.2 Muchoki Fungai Simba (also known as Henderson MacDonald Alexander Butcher) 3067
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 5143
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3069
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 3069
4.2.2 Outstanding Management & Insider Cease Trading Orders 3069
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5145
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3205
Chapter 12 Registrations 3205
12.1.1 Registrants 3205
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories (nil)
13.1 SROs (nil)
13.1.1 IIROC – Republication of Proposed Amendments to Client Identification and Verification Requirements – Request for Comment 3215
13.1.2 MFDA – Requirements Relating to the Disclosure of MFDA Membership – Notice of Commission Approval 3216
13.1.3 IIROC – Variation and Restatement of Recognition Order – Notice of Commission Approval 3217
13.1.4 MFDA – Variation and Restatement of Recognition Order – Notice of Commission Approval 3218
13.2 Marketplaces (nil)
13.2.1 CME Group Exchanges – Notice of Commission Order 3219
13.2.2 CSE – Notice of Approval of the Proposed Amendments to Policy 4 – Corporate Governance and Miscellaneous Provisions 3220
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 3213