Securities Law & Instruments

OSC Bulletin Volume 42, Issue 05 (January 31, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 935
1.1 Notices 935
1.1.1 CSA Staff Notice 23-324 Order Protection Rule: Market Share Threshold for the period April 1, 2019 to March 31, 2020 935
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 938
1.4.1 Keir Reynolds 938
1.4.2 Donna Hutchinson et al. 938
1.4.3 Michelle Dunk 939
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 941
2.1 Decisions 941
2.1.1 Bridgeport Asset Management Inc. et al. 941
2.1.2 BMO Nesbitt Burns Inc. et al. 947
2.1.3 Caldwell Investment Management Ltd. 949
2.1.4 Mackenzie Financial Corporation et al. 955
2.1.5 FundSERV Inc. 963
2.1.6 Macquarie Capital Markets Canada Ltd. 966
2.1.7 Global Real Estate & E-Commerce Dividend Fund 969
2.1.8 Middlefield Limited et al. 971
2.1.9 National Bank Investments Inc. et al. 975
2.2 Orders 979
2.2.1 Keir Reynolds – ss. 127(1), 127(10) 979
2.2.2 Donna Hutchinson et al. 980
2.2.3 Hudbay Arizona Inc. 981
2.2.4 The Canadian Depository for Securities Limited et al. – s. 147 983
2.2.5 Michelle Dunk – ss. 127(1), 127(10) 985
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 986
2.4.1 Macquarie Capital Markets Canada Ltd.– s. 38(1) of the CFA 986
Chapter 3 Reasons: Decisions, Orders and Rulings 991
3.1 OSC Decisions 991
3.1.1 Keir Reynolds – ss. 127(1), 127(10) 991
3.1.2 Michelle Dunk – ss. 127(1), 127(10) 997
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 1001
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1001
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1001
4.2.2 Outstanding Management & Insider Cease Trading Orders 1001
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1003
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1089
Chapter 12 Registrations 1095
12.1.1 Registrants 1095
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 1097
13.1 SROs (nil)
13.2 Marketplaces 1097
13.2.1 TSX Inc. – Enhancements to Dark Trading Functionality – Notice of Proposed Changes and Request for Comments 1097
13.3 Clearing Agencies 1102
13.3.1 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. 1102
13.4 Trade Repositories (nil)
Chapter 25 Other Information 1103
25.1 Consents 1103
25.1.1 MPX Bioceutical Corporation – s. 4(b) of Ont. Reg. 289/00 under the OBCA 1103
25.1.2 Mezzotin Minerals Inc. – s. 4(b) of Ont. Reg. 289/00 under the OBCA 1105
25.2 Approvals 1107
25.2.1 Waypoint Investment Partners Inc. – s. 213(3)(b) of the LTCA 1107
25.2.2 Crimson Asset Management Ltd. – s. 213(3)(b) of the LTCA 1108
Index 1109