Securities Law & Instruments

OSC Bulletin Volume 41, Issue 28 (July 12, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 5567
1.1 Notices 5567
1.1.1 OSC Staff Notice 11-782 Getting Started: Human-Centred Solutions to Engage Ontario Millenials in Investing 5567
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 5569
1.5.1 Klaas Vantooren 5569
1.5.2 Caldwell Investment Management Ltd. 5569
1.5.3 Money Gate Mortgage Investment Corporation 5570
1.5.4 Martin Bernholtz 5570
1.5.5 Sino-Forest Corporation et al. 5571
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 5573
2.1 Decisions 5573
2.1.1 TD Prime Services LLC 5573
2.2 Orders 5581
2.2.1 Klaas Vantooren – ss. 127(1), 127(10) 5581
2.2.2 Caldwell Investment Management Ltd. – ss. 127(1) and (2), 127.1 5582
2.2.3 Primero Mining Corp. 5582
2.2.4 Aveda Transportation and Energy Services Inc. 5583
2.2.5 Money Gate Mortgage Investment Corporation 5584
2.2.6 Martin Bernholtz – ss. 127(1), 127.1 5585
2.2.7 Paladin Energy Ltd. – s. 144 5586
2.2.8 Sino-Forest Corporation et al.– ss. 127(1), 127.1 5588
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 5590
2.4.1 NB Alternatives Advisers LLC et al. – ss. 74(1), 144(1) 5590
Chapter 3 Reasons: Decisions, Orders and Rulings 3841
3.1 OSC Decisions 3841
3.1.1 Klaas Vantooren – ss. 127(1), 127(10) 5603
3.1.2 Sino-Forest Corporation et al. – ss. 127(1), 127.1 5608
3.2 Director's Decisions (nil)
3.3 Court Decisions

(nil)

Chapter 4 Cease Trading Orders 5633
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5633
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5633
4.2.2 Outstanding Management & Insider Cease Trading Orders 5633
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5635
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings

5635

Chapter 12 Registrations 5781
12.1.1 Registrants 5781
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 5783