Securities Law & Instruments

OSC Bulletin Volume 41, Issue 32 (August 9, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 6291
1.1 Notices 6291
1.1.1 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 6291
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 6293
1.5.1 Money Gate Mortgage Investment Corporation et al. 6293
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6295
2.1 Decisions 6295
2.1.1 Royal National Insurance Company Ltd. 6295
2.1.2 First Asset Investment Management Inc. and First Asset Morningstar US Consumer Defensive Index Fund 6300
2.1.3 Canoe Financial LP 6304
2.1.4 Royal Warranty Company Ltd. 6309
2.2 Orders 6313
2.2.1 American Express Canada Credit Corporation 6313
2.2.2 Nuveen Asset Management, LLC – s. 80 of the CFA 6314
2.2.3 Franklin Templeton Investments Corp. et al. – ss. 78(1) and 80 of the CFA 6323
2.2.4 Shoppers Drug Mart Corporation 6329
2.2.5 Money Gate Mortgage Investment Corporation et al. 6330
2.2.6 Matamec Explorations Inc. 6330
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 6333
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6333
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6333
4.2.2 Outstanding Management & Insider Cease Trading Orders 6333
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6335
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6413
Chapter 12 Registrations 6423
12.1.1 Registrants 6423
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6425
13.1 SROs 6425
13.1.1 IIROC – Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities – Notice of Commission Approval 6425
13.1.2 IIROC – Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Request for Comment 6426
13.2 Marketplaces 6427
13.2.1 CSE – Amendments to Trading System Functionality and Features – Significant Change Subject to Public Comment – Notice and Request for Comment 6427
13.2.2 CSE – Application of Continued Listing Requirements – Notice of Approval 6430
13.2.3 Aequitas NEO Exchange – Proposed Trading of Foreign-Listed Structured Products – OSC Staff Notice of Request for Comment 6431
13.3 Clearing Agencies 6432
13.3.1 CDS – Technical Amendments to CDS Procedures – Housekeeping Changes – Notice of Effective Date 6432
13.4 Trade Repositories (nil)
Chapter 25 Other Information 6433
25.1 Consents 6433
25.1.1 Montan Mining Corp. – s. 4(b) of Ont. Reg. 289/00 under the OBCA 6433
Index 6435