Securities Law & Instruments

OSC Bulletin Volume 42, Issue 04 (January 24, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 751
1.1 Notices (nil)
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 751
1.4.1 Katanga Mining Limited 751
1.4.2 Larry Keith Davis 751
1.4.3 Money Gate Mortgage Investment Corporation et al. 752
1.4.4 Donna Hutchinson et al. 752
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 753
2.1 Decisions 753
2.1.1 Mackenzie Financial Corporation and Mackenzie Credit Absolute Return Fund 753
2.1.2 Scotia Capital Inc. et al. 755
2.1.3 BMO Nesbitt Burns Inc. and BMO InvestorLine Inc. 759
2.1.4 CMC Markets Canada Inc. 767
2.1.5 Marquest Asset Management Inc. et al. 774
2.1.6 SmartBe Wealth Inc. 776
2.1.7 SmartBe Wealth Inc. 780
2.1.8 Evolve Funds Group Inc. et al. 783
2.2 Orders 785
2.2.1 Katanga Mining Limited - s. 17 785
2.2.2 Katanga Mining Limited - s. 17 786
2.2.3 Katanga Mining Limited - s. 17 787
2.2.4 Larry Keith Davis - ss. 127(1), 127(10) 789
2.2.5 Authorization Order - s. 3.5(3) 790
2.2.6 BlackPearl Resources Inc. 791
2.2.7 Enbridge Income Fund 792
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 793
2.4.1 CCM FS, LLC - s. 38 of the CFA 793
Chapter 3 Reasons: Decisions, Orders and Rulings 803
3.1 OSC Decisions 803
3.1.1 Katanga Mining Limited - s. 17 803
3.1.2 Larry Keith Davis - ss. 127(1), 127(10) 812
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 819
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 819
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 819
4.2.2 Outstanding Management & Insider Cease Trading Orders 819
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 821
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 917
Chapter 12 Registrations 923
12.1.1 Registrants 923
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 925
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 925
13.3.1 Fixed Income Clearing Corporation - Application for Exemption from Recognition as a Clearing Agency - Notice and Request for Comment 925
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 933