Securities Law & Instruments

OSC Bulletin Volume 41, Issue 17 (April 26, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 3425
1.1 Notices (nil)
1.2 Notices of Hearing 3425
1.2.1 Trilogy Mortgage Group Inc. and Trilogy Equities Group Limited Partnership – ss. 127(7), 127(8) 3425
1.2.2 Donna Hutchinson et al. – s. 127 3426
1.2.3 Miles S. Nadal – s. 127 3427
1.3 Notices of Hearing with Related Statements of Allegations 3428
1.3.1 1832 Asset Management L.P.– ss. 127(1), 127.1 3428
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 3432
1.5.1 Trilogy Mortgage Group Inc. and Trilogy Equities Group Limited Partnership 3432
1.5.2 Mackenzie Financial Corporation 3432
1.5.3 1832 Asset Management L.P. 3433
1.5.4 Maria Psihopedas 3433
1.5.5 Donna Hutchinson et al. 3434
1.5.6 Maria Psihopedas 3434
1.5.7 Miles S. Nadal 3435
1.5.8 Pro-Financial Asset Management Inc. et al. 3435
1.5.9 1832 Asset Management L.P. 3436
1.5.10 Donna Hutchinson et al. 3436
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 3437
2.1 Decisions (nil)
2.2 Orders 3437
2.2.1 Trilogy Mortgage Group Inc. and Trilogy Equities Group Limited Partnership– ss. 127(1), 127(5) 3437
2.2.2 Avigilon Corporation 3439
2.2.3 Maria Psihopedas – s. 8 3441
2.2.4 MBMI Resources Inc. – s. 1(11)(b) 3442
2.2.5 Calpine Corporation 3444
2.2.6 Nasdaq CXC Limited and Ensoleillement Inc. – s. 144 3446
2.2.7 TMX Group Limited et al. – s. 147 3477
2.2.8 Troilus Gold Corp. – s. 1(11)(b) 3478
2.2.9 Pro-Financial Asset Management Inc. et al. – ss. 127, 127.1 3480
2.2.10 Compel Capital Inc. – s. 144 3481
2.3 Orders with Related Settlement Agreements 3484
2.3.1 1832 Asset Management L.P. – ss. 127(1), 127.1 3484
2.3.2 Donna Hutchinson et al. – s. 127 3499
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 3509
3.1 OSC Decisions 3509
3.1.1 Mackenzie Financial Corporation– ss. 127(1), 127.1 3509
3.1.2 Pro-Financial Asset Management Inc. et al. – ss. 127(1), 127.1 3512
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 5143
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5143
4.2.2 Outstanding Management & Insider Cease Trading Orders 5143
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3531
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3595
Chapter 12 Registrations 3605
12.1.1 Registrants 3605
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 3607
13.1 SROs (nil)
13.2 Marketplaces 3607
13.2.1 CSE – Notice of Proposed Amendments and Request for Comments to Application of Continued Listing Requirements 3607
13.3 Clearing Agencies 3617
13.3.1 Fundserv Inc. – New Rules for Service Providers Related to Access Standards – OSC Staff Notice of Request for Comment 3617
13.3.2 CDCC – Proposed Amendments to the Risk Manual Introducing an Amended Methodology to Compute Mismatched Settlement Risk – OSC Staff Notice of Request for Comment 3618
13.4 Trade Repositories

(nil)

Chapter 25 Other Information 3619
25.1 Exemptions 3619
25.1.1 Spartan Fund Management Inc. and StoneCastle Cannabis Growth Fund – Part 6 of NI 81-101 Mutual Fund Prospectus Disclosure 3619
Index 3621