Securities Law & Instruments

OSC Bulletin Volume 41, Issue 44 (November 8, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8763
1.1 Notices 8763
1.1.1 CSA Staff Notice 11-339 Notice of Local Changes in Alberta 8763
1.1.2 Donald Mason 8766
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 8766
1.4.1 Donald Mason 8766
1.4.2 Michael Pearson and LeadFX Inc. 8767
1.4.3 Money Gate Mortgage Investment Corporation et al. 8767
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8769
2.1 Decisions 8769
2.1.1 Brompton Funds Limited 8769
2.1.2 Mackenzie Financial Corporation and London Life Pathways Global Core Plus Bond Fund 8773
2.1.3 Nova Gas Transmission Ltd. 8776
2.2 Orders 8779
2.2.1 Northern Empire Resources Corp. 8779
2.2.2 Donald Mason – s. 8 8781
2.2.3 Tangelo Games Corp. 8781
2.2.4 Caspian Energy Inc. 8782
2.2.5 Beaufield Resources Inc. 8783
2.2.6 Enercare Inc. 8784
2.2.7 Money Gate Mortgage Investment Corporation et al. 8786
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 8795
3.1 OSC Decisions 8795
3.1.1 Michael Pearson and LeadFX Inc.– s. 127 8795
3.2 Director's Decisions 8807
3.2.1 Donald Mason 8807
Chapter 4 Cease Trading Orders 8809
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8809
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8809
4.2.2 Outstanding Management & Insider Cease Trading Orders 8809
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8811
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8877
Chapter 12 Registrations 8889
12.1.1 Registrants 8889
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8891
13.1 SROs (nil)
13.2 Marketplaces 8891
13.2.1 Canadian Securities Exchange – Proposed Fee Change – Monthly Tier Credits – Top
13.3 Clearing Agencies 8894
13.3.1 Notice and Request for Comment – Application by LME Clear Limited for Exemption from Recognition as a Clearing Agency 8894
13.3.2 Notice and Request for Comment – Application by The London Metal Exchange for Exemption from Recognition and Registration as an Exchange and Related Registration Relief mption from Recognition as a Clearing Agency 8939
13.4 Trade Repositories (nil)
25.1 Exemptions 949
Index 8993