Securities Law & Instruments

OSC Bulletin Volume 42, Issue 26 (June 27, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 5551
1.1 Notices 5551
1.1.1 OSC Notice 11-786 Notice of Statement of Priorities for Financial Year to end March 31, 2020 5551
1.1.2 CSA Staff Notice 31-354 Suggested Practices for Engaging with Older or Vulnerable Clients 5555
1.1.3 Revised Approval 81-901 Mutual Fund Trusts: Approval of Trustees Under Clause 213(3)(b) of the Loan and Trust Corporations Act 5563
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 5564
1.4.1 Issam El-Bouji 5564
1.4.2 BDO Canada LLP 5564
1.4.3 First Global Data Ltd. et al. 5565
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 5567
2.1 Decisions 5567
2.1.1 WestJet Airlines Ltd. 5567
2.1.2 Royal Mutual Funds Inc. 5570
2.1.3 Desjardins Investments Inc. and the Desjardins SocieTerra Global Bond Fund 5574
2.1.4 Emerge Canada Inc. et al. 5577
2.1.5 1832 Asset Management L.P. et al. 5581
2.1.6 MedMen Enterprises Inc. and Canaccord Genuity Corp. 5586
2.1.7 Purpose Investments Inc. et al. 5592
2.1.8 Soundvest Split Trust et al. 5594
2.1.9 Arrow Capital Management Inc. and Wavefront Global Diversified Investment Class (formerly Exemplar Diversified 5599
2.2 Orders 5604
2.2.1 Neuberger Berman Investment Advisers LLC – s. 80 of the CFA 5604
2.2.2 Gluskin Sheff + Associates Inc. 5616
2.2.3 Franklin Templeton Investments Corp. et al. – ss. 78(1), 80 of the CFA 5618
2.2.4 Global Resource Champions Split Corp. 5624
2.2.5 Issam El-Bouji 5625
2.2.6 Starlight U.S. Multi-Family (No. 5) Core Fund 5625
2.2.7 First Global Data Ltd. et al. – ss. 127, 127.1 5626
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 5627
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5627
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5627
4.2.2 Outstanding Management & Insider Cease Trading Orders 5627
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5629
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5715
Chapter 12 Registrations 5719
12.1.1 Registrants 5719
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5561
13.1 SROs (nil)
13.2 Marketplaces 5561
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 5721