Securities Law & Instruments

OSC Bulletin Volume 42, Issue 23 (June 6, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 4965
1.1 Notices 4965
1.1.1 Multilateral CSA Staff Notice 91-306 Compliance Review Findings for Reporting Counterparties 4965
1.1.2 OSC Staff Notice 43-706 – Pre-filing Review of Mining Technical Disclosure 4974
1.1.3 Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 4976
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 4977
1.3.1 First Global Data Ltd. et al. – ss. 127, 127.1 4977
1.4 Notices from the Office of the Secretary 4988
1.4.1 Mangrove Partners and TransAlta Corporation 4988
1.4.2 First Global Data Ltd. et al. 4988
1.4.3 Issam El-Bouji 4989
1.4.4 Alain Armand Theroux 4989
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 4991
2.1 Decisions 4991
2.1.1 Citigroup Global Markets Inc. 4991
2.1.2 Fidelity Investments Canada ULC 4999
2.1.3 Claret Asset Management Corporation 5005
2.1.4 YTM Capital Asset Management Ltd. and YTM Capital Fixed Income Alternative Fund 5011
2.1.5 IDM Mining Ltd. 5015
2.1.6 Pembroke Private Wealth Management Ltd. and GBC Corporate Bond Fund (previously named “The Pembroke Corporate Bond Fund”) 5017
2.1.7 HEXO Corp. and Newstrike Brands Ltd. 5021
2.1.8 SEB S.A. 5027
2.1.9 Next Edge Capital Corp. and Next Edge AHL Fund 5032
2.2 Orders 5036
2.2.1 Josephine Mining Corp. – s. 144 5036
2.2.2 Katanga Mining Limited – s. 144(1) 5039
2.2.3 SEMAFO (Holding) Limited (formerly, Savary Gold Corp.) – s. 1(6) of the OBCA 5042
2.2.4 Alain Armand Theroux – ss. 127(1), 127(10) 5043
2.2.5 LeadFX Inc. 5044
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 5045
2.4.1 Wells Fargo Securities, LLC – s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options 5045
Chapter 3 Reasons: Decisions, Orders and Rulings 5057
3.1 OSC Decisions 5057
3.1.1 Mangrove Partners and TransAlta Corporation – ss. 104, 127 5057
3.1.2 Issam El-Bouji 5065
3.1.3 Alain Armand Theroux – ss. 127(1), 127(10) 5069
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 5075
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5075
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5075
4.2.2 Outstanding Management & Insider Cease Trading Orders 5075
Chapter 5 Rules and Policies

5077

5.1.1 Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 5077
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5079
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5143
Chapter 12 Registrations 5151
12.1.1 Registrants 5151
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5153
13.1 SROs 5153
13.1.1 Investment Industry Regulatory Organization of Canada (IIROC) — Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers — Notice of Commission Approval 5153
13.2 Marketplaces 5154
13.2.1 Alpha Exchange Inc. – Notice of Approval – Fee Changes Effective June 1, 2019 5154
13.2.2 Nasdaq CXC Limited — Notice of Proposed Changes and Request for Comment 5155
13.3 Clearing Agencies 5160
13.3.1 CDCC — Amendments to the Rules, Risk Manual and Operations Manual of the Canadian Derivatives Clearing Corporation for Implementation of the New Risk System — Notice of Commission Approval 5160
13.4 Trade Repositories (nil)
Chapter 25 Other Information 5161
25.1 Exemptions 5161
25.1.1 YTM Capital Fixed Income Alternative Fund -- Part 6 of NI 81-101 Mutual Fund Prospectus Disclosure 5161
Index 5163