Securities Law & Instruments

OSC Bulletin Volume 41, Issue 47 (November 22, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9201
1.1 Notices 9201
1.1.1 NB Alternatives Advisers LLC et al. - Notice of Correction 9201
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 9204
1.3.1 SBC Financial Group Inc. and Prabhjot Singh Bakshi – ss. 127(1), 127(10) 9204
1.4 Notices from the Office of the Secretary 5429
1.4.1 SBC Financial Group Inc. and Prabhjot Singh Bakshi 9209
1.4.2 Issam El-Bouji 9209
1.4.3 Natural Bee Works Apiaries Inc. et al. 9210
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9211
2.1 Decisions 9237
2.1.1 PetroMaroc Corporation 9211
2.1.2 Home Capital Group Inc. 9214
2.1.3 Mackenzie Financial Corporation and LBC Financial Services Inc. 9219
2.1.4 Brookfield Infrastructure Partners L.P. 9228
2.2 Orders 5460
2.2.1 Newfoundland Capital Corporation Limited 9237
2.2.2 Issam El-Bouji 9239
2.2.3 Natural Bee Works Apiaries Inc. et al. 9239
2.2.4 Dalradian Resources Inc. 9240
2.2.5 Gran Tierra Exchangeco Inc. 9241
2.2.6 Authorization Order – s. 3.5(3) 9242
2.2.7 RBC Capital Trust 9243
2.2.8 Acreage Holdings, Inc. (formerly, Applied Inventions Management Corp.) 9244
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 9249
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5465
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5465
4.2.2 Outstanding Management & Insider Cease Trading Orders 5465
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting

9251

Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9335
Chapter 12 Registrations 5559
12.1.1 Registrants 5559
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 9347
13.1 SROs (nil)
13.2 Marketplaces 9347
13.2.1 Nasdaq CXC Limited – Introduction of Trading Incentive Program – Notice of Approval 9347
13.2.2 Nasdaq CXC Limited – Changes to Fixed Income Trading System – Notice of Approval 9348
13.2.3

Aequitas NEO Exchange Inc. – Amendments to Trading Policies – Definition of “Closing Price”– Notice of Approval

13.3 Clearing Agencies 9350
13.3.1

CDCC – Proposed Amendments to the Rules, Risk Manual and Operations Manual for the Implementation of a New Risk System – OSC Staff Notice of Request for Comment

9350
13.3.2

CDS – Material Amendments to CDS Rules Related to the Removal of the CCP Cap for CNS Users – Notice of Commission Approval

9351
13.4 Trade Repositories (nil)
Chapter 25 Other Information 9353
25.1 Consents 9353
25.1.1 Barrick Gold Corporation – s. 4(b) of Ont. Reg. 298/00 under the OBCA 9353
Index 9355