Securities Law & Instruments

OSC Bulletin Volume 41, Issue 12 (March 21, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 2521
1.1 Notices 2521
1.1.1 CSA Staff Notice 21-325 Follow-up on Marketplace Systems Incidents 2521
1.1.2 CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents 2524
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 2531
1.4.1 Anson Advisors Inc. and Ewing Morris & Co. Investment Partners Ltd. 2531
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 2533
2.1 Decisions 2533
2.1.1 Great-West Lifeco Inc. 2533
2.1.2 Industrial Alliance Investment Management Inc. and IA Investment Counsel Inc. 2538
2.1.3 Integrity Gaming ULC 2541
2.1.4 TD Asset Management Inc. 2543
2.1.5 Cansortium Inc. 2551
2.1.6 Children’s Education Funds Inc. et al. 2557
2.1.7 Arrow Capital Management Inc. and Exemplar Leaders Fund 2559
2.1.8 Russell Investments Canada Limited 2564
2.2 Orders 2569
2.2.1 Brompton Corp. 2569
2.2.2 Brompton Corp. – s. 1(6) of the OBCA 2571
2.2.3 Anson Advisors Inc. and Ewing Morris & Co. Investment Partners Ltd. 2572
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 2575
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 2575
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 2575
4.2.2 Outstanding Management & Insider Cease Trading Orders 2575
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 2577
6.1.1 Joint CSA/IIROC Consultation Paper 23-406 Internalization within the Canadian Equity Market 2577
6.1.2 CSA Second Notice and Request for Comment – Proposed Amendments to National Instrument 45-106 Prospectus Exemptions and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations relating to Syndicated Mortgages and Proposed Changes to Companion Policy 45-106CP Prospectus Exemptions and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations 2607
Chapter 7 Insider Reporting 2643
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 2785
Chapter 12 Registrations 2791
12.1.1 Registrants 2791
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 2793
25.1 Exemptions 2793
25.1.1 Fire & Flower Holdings Corp. (formerly known as “Cinaport Acquisition Corp. II”) – s. 4(b) of Ont. Reg. 289/00 under the OBCA 2793
Index 2795