Securities Law & Instruments

OSC Bulletin Volume 42, Issue 29 (July 18, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases
1.1 Notices 6097
1.1.1 Notice of Ministerial Approval of Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees 6097
1.2 Notices of Hearing 6098
1.2.1 Martin Bernholtz – s. 144 6098
1.2.2 Caldwell Investment Management Ltd. – ss. 127(1), 127(2), 127.1 6098
1.3 Notices of Hearing with Related Statements of Allegations 6099
1.3.1 Alan Braun et al. – ss. 127(1), 127(10) 6099
1.4 Notices from the Office of the Secretary 6107
1.4.1 Andrew Paul Rudensky 6107
1.4.2 Martin Bernholtz 6107
1.4.3 Caldwell Investment Management Ltd. 6108
1.4.4 Caldwell Investment Management Ltd. 6108
1.4.5 Martin Bernholtz 6109
1.4.6 Majd Kitmitto et al. 6109
1.4.7 Alan Braun et al. 6110
1.4.8 Issam El-Bouji 6110
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 6111
2.1 Decisions 6111
2.1.1 IA Clarington Investments Inc. 6111
2.1.2 iAnthus Capital Holdings, Inc. 6113
2.1.3 Mackenzie Financial Corporation and Mackenzie Anti-Benchmark Global Investment Grade Fund 6116
2.1.4 Mackenzie Financial Corporation and Quadrus Investment Services Ltd. 6119
2.1.5 Gestion FÉRIQUE 6127
2.2 Orders 6131
2.2.1 Martin Bernholtz – s. 144 6131
2.2.2 TransCanada PipeLines Limited 6136
2.2.3 Majd Kitmitto et al. 6138
2.2.4 Soundvest Split Trust 6138
2.2.5 Issam El-Bouji 6139
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 6141
3.1 OSC Decisions 6141
3.1.1 Andrew Paul Rudensky – s. 21.7 6141
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 6161
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6161
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6161
4.2.2 Outstanding Management & Insider Cease Trading Orders 6161
Chapter 5 Rules and Policies

6163

5.1.1 Amendments to OSC Rule 13-502 Fees 6163
5.1.2 Changes to Companion Policy 13-502CP Fees to OSC Rule 13-502 Fees 6164
5.1.3 Amendments to OSC Rule 13-503 (Commodity Futures Act) Fees 6165
5.1.4 Changes to Companion Policy 13-503CP (Commodity Futures Act) Fees to OSC Rule 13-503 (Commodity Futures Act) Fees 6166
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 6167
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6263
Chapter 12 Registrations 6269
12.1.1 Registrants 6269
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 6271
13.1 SROs (nil)
13.2 Marketplaces 6271
13.2.1 Nasdaq CXC Limited – Introduction of Point-In-Time Closing Cross – Notice of Approval 6271
13.3 Clearing Agencies 6271
13.3.1 CDS Clearing and Depository Services Inc. – Proposed Material Amendments to CDS Rules – China Bond Link Notice of Withdrawal 6271
13.3.2 CDS Clearing and Depository Services Inc. – Proposed Material Amendments to CDS Fee Schedule – China Bond Link – Notice of Withdrawal 6271
13.4 Trade Repositories (nil)
Chapter 25 Other Information 6273
25.1 Applications for Variation of an Order 6273
25.1.1 Martin Bernholtz – s. 144 6273
Index 6275