Securities Law & Instruments

OSC Bulletin Volume 41, Issue 44 (November 1, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8571
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 8571
1.3.1 Keir Reynolds – ss. 127(1), 127(10) 8571
1.4 Notices from the Office of the Secretary 8576
1.4.1 Dennis L. Meharchand and Valt.X Holdings Inc. 8576
1.4.2 Keir Reynolds 8576
1.4.3 BDO Canada LLP 8577
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8579
2.1 Decisions 8579
2.1.1 Société Générale Capital Canada Inc. 8579
2.1.2 BofAML Securities, Inc. 8582
2.1.3 Fiduciary Trust Company of Canada and Franklin Templeton Investments Corp. 8590
2.1.4 Just Energy Group Inc. 8593
2.1.5 Wealthsimple Inc. 8598
2.1.6 CI Investments Inc. et al. 8603
2.1.7 Greystone Managed Investments Inc. and Greystone Alternative Plus Fund 8612
2.1.8 Greystone Managed Investments Inc. and the Top Funds 8620
2.1.9 Greystone Managed Investments Inc. et al. 8631
2.1.10 Middlefield Limited and E Split Corp. 8638
2.2 Orders 8641
2.2.1 Dennis L. Meharchand and Valt.X Holdings Inc. 8641
2.2.2 BDO Canada LLP 8641
2.2.3 Sun Life Institutional Investments (U.S.) LLC (formerly, Sun Capital Advisers LLC)– s. 80 of the CFA 8642
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 8651
2.4.1 Société Générale Capital Canada Inc.– s. 38(1) of the CFA 8651
2.4.2 BofAML Securities, Inc. – ss. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 8655
2.4.3 CIH Trading LLC – s. 38 of the CFA 8668
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 8679
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8679
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8679
4.2.2 Outstanding Management & Insider Cease Trading Orders 8679
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8681
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8743
Chapter 12 Registrations 8749
12.1.1 Registrants 8749
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8751
13.1 SROs (nil)
13.2 Marketplaces 8751
13.2.1 TSX Inc. – Notice of Proposed Amendments and Request for Comments 8751
13.2.2 Liquidnet Canada – Notice of Proposed Changes and Request for Comment 8756
13.3 Clearing Agencies 8759
13.3.1 CDS – Proposed Amendments to the CDS Fee Schedule – New Fees for Linkage Service with Shanghai Clearing House (SHCH Link) – OSC Staff Notice of Request for Comment 8759
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8761