Securities Law & Instruments

OSC Bulletin Volume 42, Issue 16 (April 18, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 3603
1.1 Notices 3603
1.1.1 Ewing Morris & Co. Investment Partners Ltd. 3603
1.1.2 Anson Advisors Inc. 3606
1.2 Notices of Hearing 3611
1.2.1 Mangrove Partners and TransAlta Corporation – ss. 104, 127 3611
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 3612
1.4.1 Mangrove Partners and TransAlta Corporation 3612
1.4.2 Ewing Morris & Co. Investment Partners Ltd. 3612
1.4.3 Anson Advisors Inc. 3613
1.4.4 Mangrove Partners and TransAlta Corporation 3613
1.4.5 Caldwell Investment Management Ltd. 3614
1.4.6 Mangrove Partners and TransAlta Corporation 3614
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 3615
2.1 Decisions 3615
2.1.1 Starlight U.S. Multi-Family (No. 5) Core Fund 3615
2.1.2 Aimia Inc. 3620
2.1.3 Galileo Global Equity Advisors Inc. 3625
2.1.4 XPEL, Inc. 3635
2.2 Orders 3639
2.2.1 Mangrove Partners and TransAlta Corporation 3639
2.2.2 Caldwell Investment Management Ltd. 3640
2.2.3 Mangrove Partners and TransAlta Corporation 3641
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)
Chapter 4 Cease Trading Orders 3643
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3643
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3643
4.2.2 Outstanding Management & Insider Cease Trading Orders 3643
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 3645
6.1.1 Proposed Amendments to National Instrument 21-101 Marketplace Operation and Proposed Changes to Companion Policy 21-101CP Marketplace Operation 3645
Chapter 7 Insider Reporting 3737
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3839
Chapter 12 Registrations 3849
12.1.1 Registrants 3849
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 3851
13.1 SROs 3851
13.1.1 IIROC – Amendments Respecting Client Identifiers – Notice of Commission Approval 3851
13.2 Marketplaces 3852
13.2.1 TSX Inc. – Dynamic OPR Reprice – Notice of Approval 3852
13.2.2 TSX Inc. – Contra Mid-Point Only Order Plus (CMO Plus) – Notice of Approval 3853
13.2.3 TSX Inc. – Housekeeping Amendments to the Rules of the TSX – Notice of Housekeeping Rule Amendments 3854
13.2.4 Alpha Exchange Inc. – Dynamic OPR Reprice – Notice of Approval 3857
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 3859