Securities Law & Instruments

OSC Bulletin Volume 41, Issue 50 (December 13, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9689
1.1 Notices 9689
1.1.1 CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2019 9689
1.1.2 Notice of Arrangements Regarding the Access, Collection, Storage and Use of Derivatives Data 9691
1.1.3 Majd Kitmitto et al. 9712
1.2 Notices of Hearing 9713
1.2.1 Andrew Paul Rudensky – s. 21.7 9713
1.3 Notices of Hearing with Related Statements of Allegations 9714
1.3.1 Michelle Dunk – ss. 127(1), 127(10) 9714
1.3.2 USI-Tech Limited – ss. 127(1), 127(10) 9718
1.4 Notices from the Office of the Secretary 9722
1.4.1 Michelle Dunk 9722
1.4.2 Larry Lee 9722
1.4.3 USI-Tech Limited 9723
1.4.4 Majd Kitmitto et al. 9723
1.4.5 Andrew Paul Rudensky 9724
1.4.6 Questrade Wealth Management Inc. 9724
1.4.7 Majd Kitmitto et al. 9725
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9727
2.1 Decisions 9727
2.1.1 Claret Asset Management Corporation 9727
2.1.2 BloombergSen Inc. 9736
2.1.3 Fiera Capital Corporation 9741
2.1.4 Caldwell Investment Management Ltd. 9748
2.2 Orders 9752
2.2.1 Larry Lee – ss. 127(1), 127(10) 9752
2.2.2 Brandywine Global Investment Management, LLC et al.– s. 80 of the CFA 9753
2.2.3 Gazit Canada Financial Inc. 9765
2.2.4 Majd Kitmitto et al. 9767
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 9768
2.4.1 Bruce Power L.P. – s. 78 of the CFA 9768
Chapter 3 Reasons: Decisions, Orders and Rulings 9773
3.1 OSC Decisions 9773
3.1.1 Larry Lee – ss. 127(1), 127(10) 9773
3.1.2 Questrade Wealth Management Inc.– ss. 127(1), 127.1 9778
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 9781
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9781
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9781
4.2.2 Outstanding Management & Insider Cease Trading Orders 9781
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9783
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9921
Chapter 12 Registrations 9929
12.1.1 Registrants 9929
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 9931
13.1 SROs 9931
13.1.1 IIROC – Housekeeping Amendments to Sample Auditor’s Reports in Form 1 – Notice of Commission Deemed Approval 9931
13.1.2 IIROC – Proposed Amendments Respecting the Provision of Price Improvement by a Dark Order – Request for Comment 9932
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 9933
25.1 Exemptions 9933
25.1.1 CWB Wealth Management Ltd – s. 8.1 of OSC Rule 13-502 Fees 9933
Index 9935