Securities Law & Instruments

OSC Bulletin Volume 41, Issue 40 (October 4, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9841
1.1 Notices 7627
1.1.1 Notice of Coming into Force of Amendments to National Instrument 45-106 Prospectus Exemptions and Consequential Amendments to Ontario Securities Commission Rule 72-503 Distributions Outside Canada 7627
1.1.2 CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions 7628
1.1.3 OSC Staff Notice 51-729 Corporate Finance Branch 2017-2018 Annual Report 7629
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.3.1 Daniel P. Reeve – ss. 127(1), 127(10) 7631
1.4 Notices from the Office of the Secretary 7635
1.4.1 Daniel P. Reeve 7635
1.4.2 Michael Pearson and LeadFX Inc. 7635
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7637
2.1 Decisions 7637
2.1.1 Brompton Funds Limited 7637
2.1.2 Starlight Investments Capital LP et al. 7641
2.1.3 Essilor International S.A. 7648
2.1.4 BNY Mellon Asset Management North America Corporation 7654
2.1.5 Atlantic Power Corporation 7657
2.1.6 AGF Investments Inc. et al. 7661
2.1.7 MD Financial Management Inc. 7664
2.1.8 Pharmachoice Canada Inc. 7667
2.1.9 Mackenzie Financial Corporation and IPC Investment Corporation 7670
2.1.10 Picton Mahoney Asset Management et al. 7679
2.1.11 OceanRock Investments Inc. 7689
2.1.12 Franklin Templeton Investments Corp. 7696
2.2 Orders 7706
2.2.1 Atlas Financial Holdings, Inc. 7706
2.2.2 The Canadian Depository for Securities Limited et al. – s. 144 7708
2.2.3 TMX Group Limited et al. – s. 144 7709
2.2.4 Peregrine Diamonds Ltd. 7711
2.2.5 Canadian Zinc Corporation 7713
2.2.6 MedReleaf Corp. – s. 1(6) of the OBCA 7715
2.2.7 MedReleaf Corp. 7716
2.2.8 Michael Pearson and LeadFX Inc. 7719
2.2.9 Manulife Asset Management Limited and DFA Australia Limited – s. 80 of the CFA 7720
2.2.10 Xtreme Drilling Corp. 7724
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 7727
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7727
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7727
4.2.2 Outstanding Management & Insider Cease Trading Orders 7727
Chapter 5 Rules and Policies

7729

5.1.1 Amendments to National Instrument 45-106 Prospectus Exemptions 7729
5.1.2 Amendments to Ontario Securities Commission Rule 72-503 Distributions Outside Canada 7738
5.1.3 OSC Notice of Policy Amendment to OSC Policy 15-601 Whistleblower Program 7740
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7757
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7831
Chapter 12 Registrations 7839
12.1.1 Registrants 7839
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7841
13.2.1 Nasdaq CXC Limited – Notice of Proposed Change and Request for Comment 7841
13.2.2 TSX – Amendments to Part X of the TSX Company Manual – Notice of Approval 7844
13.1 SROs (nil)
13.2 Marketplaces 7841
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 7875