Securities Law & Instruments

OSC Bulletin Volume 41, Issue 29 (August 23, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 6607
1.1 Notices 6607
1.1.1 OSC Staff Notice 33-749 Compliance and Registrant Regulation – Annual Summary Report for Dealers, Advisers and Investment Fund Managers 6607
1.1.2 CSA Staff Notice 46-309 – Bail-in Debt 6609
1.1.3 CSA Staff Notice 81-331 – Investment Funds Investing in Bail-in Debt 6612
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 6614
1.3.1 Roy Ping Bai and RBP Consulting – ss. 127(1), 127(10) 6614
1.3.2 Vincent George Byrne – ss. 127(1), 127(10) 6618
1.3.3 Jason Michael Currey et al. -- ss. 127(1), 127(10) 6622
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 6627
1.5.1 Brian Michael Sutton and Investment Industry Regulatory Organization of Canada 6627
1.5.2 Roy Ping Bai and RBP Consulting 6627
1.5.3 Vincent George Byrne 6628
1.5.4 Jason Michael Currey et al. 6628
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6629
2.1 Decisions 6629
2.1.1 Brookfield Renewable Partners L.P. 6629
2.1.2 EHP Funds Inc. and Edgehill Partners 6631
2.1.3 Global Innovation Dividend Fund 6633
2.1.4 CIBC Asset Management Inc. and CIBC Multi-Asset Absolute Return Strategy 6636
2.1.5 Minto Apartment Real Estate Investment Trust 6638
2.1.6 Jarislowsky, Fraser Limited 6641
2.1.7 AGF Investments Inc. et al. 6643
2.1.8 I.G. Investment Management, Ltd. et al. 6650
2.1.9 CIBC Asset Management Inc. and CanadianImperial Bank of Commerce 6653
2.1.10 Edgehill Partners et al. 6655
2.2 Orders 6663
2.2.1 Brian Michael Sutton and the Investment Industry Regulatory Organization of Canada – ss. 8, 21.7 6663
2.2.2 Thomson Reuters Multilateral Trading Facility – s. 147 6664
2.2.3 ICE Futures Canada, Inc. – s. 144 of the OSA and s. 78 of the CFA 6670
2.2.4 ICE Clear Canada, Inc. – s. 144 6672
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6675
3.1 OSC Decisions

6675

3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 6699
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6699
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6699
4.2.2 Outstanding Management & Insider Cease Trading Orders 6699
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6701
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6791
Chapter 12 Registrations 6791
12.1.1 Registrants 6797
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6799
13.1 SROs 6799
13.1.1 Canadian Investor Protection Fund – Request for Comment – Proposed Amendments to CIPF By-Law No. 1 6799
13.2 Marketplaces 6800
13.2.1 Thomson Reuters Multilateral Facility – Application for Exemptive Relief – Notice of Commission Interim Order 6800
13.2.2 ICE Futures Canada, Inc. – Notice of Revocation Order 6801
13.2.3 ICE Clear Canada, Inc. – Notice of Revocation Order 6802
13.3 Clearing Agencies 6803
13.3.1 CDCC – Amendments to Risk Manual of the Canadian Derivatives Clearing Corporation, Introducing an Amended Methodology to Compute Mismatched Settlement Risk 6803
13.4 Trade Repositories (nil)
Chapter 25 Other Information 6805
25.1 Consents 6805
Index 6807