Securities Law & Instruments

OSC Bulletin Volume 41, Issue 37 (September 13, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7131
1.1 Notices 7131
1.1.1 Notice of Correction – IA Clarington Investments Inc. 7131
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 7131
1.3.1 Siu Mui “Debbie” Wong et al. – ss. 127(1), 127(10) 7131
1.4 Notices from the Office of the Secretary 7140
1.4.1 Omega Securities 7140
1.4.2 Omega Securities 7140
1.4.3 Donald Mason 7141
1.4.4 Vincent George Byrne 7141
1.4.5 Siu Mui “Debbie” Wong et al. 7142
1.4.6 Trilogy Mortgage Group Inc. and Trilogy Equities Group Limited Partnership 7142
1.4.7 USI Tech Limited et al. 7143
1.4.8 Money Gate Mortgage Investment Corporation et al. 7143
1.4.9 Martin Bernholtz 7144
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7145
2.1 Decisions 7145
2.1.1 Charlotte’s Web Holdings, Inc. 7145
2.1.2 BMO Asset Management Inc. et al. 7151
2.1.3 Fidelity Investments Canada ULC 7156
2.1.4 Coin Capital Investment Management Inc. 7163
2.2 Orders 7171
2.2.1 Global Champions Split Corp.– s. 1(6) of the OBCA 7171
2.2.2 Omega Securities – s. 127 7172
2.2.3 Omega Securities 7172
2.2.4 Donald Mason 7173
2.2.5 Vincent George Byrne – ss. 127(1), 127(10) 7173
2.2.6 Trilogy Mortgage Group Inc. and Trilogy Equities Group Limited Partnership – s. 127(1) 7174
2.2.7 Arizona Mining Inc. 7175
2.2.8 Canso Select Opportunities Fund 7177
2.2.9 Raging River Exploration Inc. 7178
2.2.10 USI Tech Limited et al. 7179
2.2.11 Money Gate Mortgage Investment Corporation et al. 7179
2.2.12 Martin Bernholtz 7180
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 7181
3.1 OSC Decisions 7181
3.1.1 Vincent George Byrne – ss. 127(1), 127(10) 7181
3.2 Director's Decisions 7184
3.2.1 Chris Triantos 7184
Chapter 4 Cease Trading Orders 7187
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7187
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7187
4.2.2 Outstanding Management & Insider Cease Trading Orders 7187
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 7189
6.1.1 Proposed Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments 7189
Chapter 7 Insider Reporting 7211
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7301
Chapter 12 Registrations 7307
12.1.1 Registrants 7307
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7309
13.1 SROs 7309
13.1.1 IIROC – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Strategies – Notice of Withdrawal 7309
13.2 Marketplaces 7310
13.2.1 Nasdaq CXC Limited – Notice of Proposed Fee Change and Request for Comments 7310
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 7313
25.1 Consents 7313
25.1.1 GAR Limited – s. 4(b) of Ont. Reg. 289/00 under the OBCA 7313
Index 7315