Securities Law & Instruments

OSC Bulletin Volume 41, Issue 36 (September 6, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


1.1 Notices (nil)
1.2 Notices of Hearing 6967
1.2.1 Benedict Cheng et al. – ss. 127(1), 127.1 6967
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 6968
1.5.1 Benedict Cheng et al. 6968
1.5.2 Benedict Cheng et al. 6968
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6969
2.1 Decisions 6969
2.1.1 Thomson Reuters Corporation 6969
2.1.2. European Focused Dividend Fund 6973
2.1.3 Purpose Investments Inc. 6976
2.1.4 Marquest Asset Management Inc. and Stone Asset Management Limited 6982
2.2 Orders 6988
2.2.1 ICAP SEF (US) LLC – s. 144 6988
2.2.2 SSGA Funds Management, Inc. – s. 80 of the CFA 6989
2.2.3 Global Champions Split Corp. 6998
2.3 Orders with Related Settlement Agreements 7000
2.3.1 Benedict Cheng et al.– ss. 127(1), 127.1 7000
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 7009
3.1 OSC Decisions 7009
3.1.1 Benedict Cheng et al. – ss. 127(1), 127.1 7009
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 7011
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7011
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 7011
4.2.2 Outstanding Management & Insider Cease Trading Orders 7011
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 7013
6.1.1 CSA Notice and Request for Comment – Proposed National Instrument 52-112, Proposed Companion Policy 52-112, Related Proposed Consequential Amendments and Changes 7013
Chapter 7 Insider Reporting 7043
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7115
Chapter 12 Registrations 7123
12.1.1 Registrants 7123
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7125
13.1 SROs (nil)
13.2 Marketplaces 7125
13.2.1 ICAP SEF (US) LLC – Notice of Revocation Order 7125
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
25.1.1 Bloom Burton Investment Group Inc.– s. 213(3)(b) of the LTCA 7127
Index 7129