Securities Law & Instruments

OSC Bulletin Volume 41, Issue 25 (June 21, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 5041
1.1 Notices 5041
1.1.1 CSA Staff Notice 81-330 Status Report on Consultation on Embedded Commissions and Next Steps 5041
1.2 Notices of Hearing 5056
1.2.1 Benedict Cheng et al.– ss. 127(1), 127.1 5056
1.3 Notices of Hearing with Related Statements of Allegations 5057
1.3.1 Caldwell Investment Management Ltd.– ss. 127(1) and (2), 127.1 5057
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 5066
1.5.1 Peter Volk 5066
1.5.2 Benedict Cheng et al. 5066
1.5.3 Royal Mutual Funds Inc. 5067
1.5.4 Wayne Loderick Bennett 5067
1.5.5 Clayton Smith 5068
1.5.6 Crystal Wealth Management System Limited et al. 5068
1.5.7 Caldwell Investment Management Ltd. 5069
1.5.8 Benedict Cheng et al. 5069
1.5.9 Benedict Cheng et al. 5070
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 5071
2.1 Decisions 5071
2.1.1 AngelList, LLC and AngelList Advisors, LLC 5071
2.2 Orders 5087
2.2.1 Wayne Loderick Bennett– ss. 127(1), 127(10) 5087
2.2.2 Crystal Wealth Management System Limited et al. 5088
2.2.3 Pure Industrial Real Estate Trust 5089
2.2.4 US Cobalt Inc. 5091
2.2.5 Amundi Asset Management– ss. 78(1) and 80 of the CFA 5093
2.2.6 Benedict Cheng et al. 5102
2.3 Orders with Related Settlement Agreements 5103
2.3.1 Peter Volk – ss. 127(1) and 127.1 5103
2.3.2 Royal Mutual Funds Inc.– ss. 127(1), 127.1 5111
2.3.3 Clayton Smith – ss. 127(1), 127.1(1) 5117
2.3.4 Benedict Cheng et al.– ss. 127(1), 127.1 5128
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 5141
3.1 OSC Decisions 5141
3.1.1 Peter Volk – ss. 127(1), 127.1 5141
3.1.2 Royal Mutual Funds Inc. – ss. 127(1), 127.1 5144
3.1.3 Wayne Loderick Bennett– ss. 127(1), 127(10) 5147
3.1.4 Clayton Smith – ss. 127(1), 127.1(1) 5152
3.1.5 Benedict Cheng et al.– ss. 127(1), 127.1 5158
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 5161
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5161
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5161
4.2.2 Outstanding Management & Insider Cease Trading Orders 5161
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5163
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5233
Chapter 12 Registrations 5245
12.1.1 Registrants 5245
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5247
13.1 SROs 5247
13.1.1 IIROC – Housekeeping Amendments to UMIR Policy 7.1 – Notice of Commission Deemed Approval 5247
13.2 Marketplaces (nil)
13.3 Clearing Agencies 5248
13.3.1 CDS – Material Amendments to CDS Rules Related to Non-LVTS Settlement Agents – Notice of Commission Approval 5248
13.4 Trade Repositories (nil)
Chapter 25 Other Information 5249
25.1 Approvals 5249
25.1.1 Lynwood Capital Management Inc.– s. 213(3)(b) of the LTCA 5249
Index 5251