Securities Law & Instruments

OSC Bulletin Volume 41, Issue 30 (July 26, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 6001
1.1 Notices 6001
1.1.1 CSA Staff Notice 45-323 (Revised) Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions 6001
1.1.2 Notice of Correction – CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions 6006
1.1.3 CSA Staff Notice 52-330 Update on CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence 6007
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 5429
1.5.1 USI Tech Limited et al. 6013
1.5.2 Natural Bee Works Apiaries Inc. et al. 6013
1.5.3 David Tuan Seng Lim and Michael Mugford 6014
1.5.4 Dennis L. Meharchand and Valt.X Holdings Inc. 6014
1.5.5 Majd Kitmitto et al. 6015
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6017
2.1 Decisions 6017
2.1.1 Desjardins Global Asset Management Inc. 6017
2.1.2 Caldwell Investment Management Ltd. et al. 6026
2.1.3 Evolve Funds Group Inc. 6029
2.1.4 Knowledge First Financial Inc. et al. 6033
2.1.5 Soundvest Capital Management Ltd. 6035
2.2 Orders 6039
2.2.1 USI Tech Limited et al. – s. 127(8) 6039
2.2.2 Cardiome Pharma Corp. 6039
2.2.3 Natural Bee Works Apiaries Inc. et al.– ss. 127(1), 127.1 6040
2.2.4 David Tuan Seng Lim and Michael Mugford – ss. 127(1), 127(10) 6041
2.2.5 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 6042
2.2.6 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. – s. 147 6043
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6045
3.1 OSC Decisions 6045
3.1.1 David Tuan Seng Lim and Michael Mugford – ss. 127(1), 127(10) 6045
3.2 Director's Decisions 6045
3.2.1 Anna Joanna Knight 6051
3.2.2 Karine Brizard – s. 31 6059
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 6063
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6063
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6063
4.2.2 Outstanding Management & Insider Cease Trading Orders 6063
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting

6065

Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6131
Chapter 12 Registrations 6137
12.1.1 Registrants 6137
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6139
13.1 SROs 6139
13.1.1 IIROC – Notice of Proposed Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers 6139 6140
13.2 Marketplaces

(nil)

13.3 Clearing Agencies 6140
13.3.1 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. 6140
13.4 Trade Repositories (nil)
Chapter 25 Other Information 6141
25.1 Consents 6141
25.1.1 Rosita Mining Corporation – s. 4(b) of Ont. Reg. 289/00 under the OBCA 6141
25.2 Approvals 6143
25.2.1 Ravenstone Capital Management Inc. – s. 213(3)(b) of the LTCA 6143
Index 6145