Securities Law & Instruments

OSC Bulletin Volume 42, Issue 27(July 4, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 5723
1.1 Notices (nil)
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 5723
1.4.1 David Michael Michaels 5723
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 5725
2.1 Decisions 5725
2.1.1 I.G. Investment Management, Ltd. 5725
2.1.2 Picton Mahoney Asset Management 5727
2.1.3 Picton Mahoney Asset Management 5731
2.1.4 RBC Dominion Securities Inc. et al. 5736
2.1.5 Stewards Canada 5741
2.1.6 XPEL, Inc. 5745
2.1.7 Hudson’s Bay Company 5748
2.2 Orders 5751
2.2.1 Gluskin Sheff + Associates Inc. – s. 1(6) of the OBCA 5751
2.2.2 David Michael Michaels – ss. 127(1), 127(10) 5752
2.2.3 Global Resource Champions Split Corp. – s. 1(6) of the OBCA 5752
2.2.4 Bloomberg Trading Facility Limited – s. 144 5753
2.2.5 BSM Technologies Inc. 5754
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 5757
3.1 OSC Decisions 5757
3.1.1 David Michael Michaels – ss. 127(1),127(10) 5757
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 5763
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5763
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5763
4.2.2 Outstanding Management & Insider Cease Trading Orders 5763
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5765
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5861
Chapter 12 Registrations 5871
12.1.1 Registrants 5871
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5873
13.1 SROs (nil)
13.2 Marketplaces 5873
13.2.1 Toronto Stock Exchange – Housekeeping Amendments to the Rules of Toronto Stock Exchange – Notice of Housekeeping Rule Amendments 5873
13.2.2 Alpha Exchange Inc. – Housekeeping Amendment to the Rules of Alpha Exchange Inc. – Notice of Housekeeping Rule Amendment 5877
13.2.3 Bloomberg Trading Facility Limited – Notice of Commission Order 5879
13.2.4 NEO Exchange Inc. – Proposed Public Interest Rule Amendments to NEO’s Trading Policies Adding Anonymous Broker Preferencing in NEO-D – Trading Notice 5880
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 5883