Securities Law & Instruments

OSC Bulletin Volume 41, Issue 43 (October 25, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8367
1.1 Notices 8367
1.1.1 OSC Staff Notice 11-737 (Revised) – Securities Advisory Committee – Vacancies 8367
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 8369
1.3.1 K2 & Associates Investment Management Inc. et al. – ss. 127(1), 127.1 8369
1.4 Notices from the Office of the Secretary 8372
1.4.1. K2 & Associates Investment Management Inc. et al. 8372
1.4.2 Caldwell Investment Management Ltd. 8372
1.4.3 K2 & Associates Investment Management Inc. et al. 8373
1.4.4 Dennis L. Meharchand and Valt.X Holdings Inc. 8373
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8375
2.1 Decisions 8375
2.1.1 CIBC Asset Management Inc. 8375
2.1.2 TerrAscend Corp. 8379
2.1.3 Desjardins Global Asset Management Inc. and the Desjardins Funds 8384
2.1.4 First Asset Investment Management Inc. et al. 8391
2.1.5 Tilt Holdings Inc. and Santé Veritas Holdings Inc. 8396
2.1.6 Ian Robertson et al. 8402
2.2 Orders 8406
2.2.1 Franklin Advisers, Inc. et al. – s. 80 of the CFA 8406
2.2.2 Caldwell Investment Management Ltd. 8417
2.2.3 ValGold Resources Ltd. 8418
2.2.4 PHH Corporation 8420
2.3 Orders with Related Settlement Agreements 8423
2.3.1 K2 & Associates Investment Management Inc. et al. – ss. 127(1), 127.1 8423
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions 8431
3.1.1 K2 & Associates Investment Management Inc. et al. – ss. 127(1), 127.1 8431
3.1.2 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 8434
3.2 Director's Decisions 8457
3.2.1 Glenn Coulson 8457
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 8461
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8461
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8461
4.2.2 Outstanding Management & Insider Cease Trading Orders 8461
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 8463
6.1.1 CSA Notice and Request for Comment – Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations – Custody-Related Amendments 8463
Chapter 7 Insider Reporting 8469
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8559
Chapter 12 Registrations 5559
12.1.1 Registrants 8565
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 8567
25.1 Approvals 8567
25.1.1 Ullman Wealth Management Inc.– s. 213(3)(b) of the LTCA 8567
Index 8569