Securities Law & Instruments

OSC Bulletin Volume 41, Issue 19 (May 10, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 3783
1.1 Notices 3783
1.1.1 Notice of Ministerial Approval of Memorandum of Understanding – Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Clearing Agencies Operating as Central Counterparties in Ontario and Germany 3783
1.2 Notices of Hearing 3784
1.2.1 Harald Seemann et al. – ss. 127, 127.1 3784
1.3 Notices of Hearing with Related Statements of Allegations 3785
1.3.1 Wayne Loderick Bennett – ss. 127(1), 127(10) 3785
1.3.2 Harald Seemann et al.– ss. 127, 127.1 3789
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 3795
1.5.1 Wayne Loderick Bennett 3795
1.5.2 Donna Hutchinson et al. 3795
1.5.3 Harald Seemann et al. 3796
1.5.4 Harald Seemann et al. 3796
1.5.5 Money Gate Mortgage Investment Corporation et al. 3797
1.5.6 Harald Seemann et al. 3797
1.5.7 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) 3798
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 3799
2.1 Decisions 3799
2.1.1 Norrep Capital Management Ltd. 3799
2.1.2 Mackenzie Finanacial Corporation and Mackenzie Multi-Strategy Absolute Return Fund 3805
2.1.3 Pentair plc 3812
2.1.4 Vanguard Investments Canada Inc. et al. 3815
2.1.5 Alliance Pipeline Limited Partnership 3819
2.1.6 Banro Corporation and Banro Corporation Ltd 3821
2.1.7 Royal Gold, Inc. 3826
2.2 Orders 3828
2.2.1 Pine Point Mining Limited – s. 1(6) of the OBCA 3828
2.2.2 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) – ss. 127(1), 127(10) 3829
2.2.3 Nuuvera Inc. 3830
2.3 Orders with Related Settlement Agreements 3833
2.3.1 Harald Seemann et al. – ss. 127(1), 127.1 3833
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 3841
3.1 OSC Decisions 3841
3.1.1 Donna Hutchinson et al. – s. 127(1) 3841
3.1.2 Harald Seemann et al.– ss. 127(1), 127.1 3844
3.1.3 Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) – ss. 127(1), 127(10) 3846
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 3851
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3851
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3851
4.2.2 Outstanding Management & Insider Cease Trading Orders 3851
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3953
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings

3925

Chapter 12 Registrations 3933
12.1.1 Registrants 3933
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 3835
13.1 SROs (nil)
13.2 Marketplaces 3935
13.2.1 Aequitas NEO Exchange Inc. – Amendments to Listing Manual – Notice of Approval 3935
13.2.2 TriAct Canada Marketplace LP – Change to the MATCHNow Trading System – Notice of Proposed Change and Request for Comment 3936
13.3 Clearing Agencies 3944
13.3.1 CDS -Technical Amendments to CDS Procedures – Canadian Securities Exchange Buy-Ins - Notice of Effective Date 3944
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 3945