Ontario Securities Commission Bulletin

Issue 41/01 - January 04, 2018

Ont. Sec. Bull. Issue 41/01

Table of Contents

Chapter 1 - Notices / News Releases

Notices

OSC Staff Notice 21-711 Multilateral Trading Facilities -- Exemption from Requirement to be Recognized as an Exchange

Notices of Hearing

John Richard Wolfenden -- ss. 8, 21.7

The Mutual Fund Dealers Association of Canada -- ss. 8, 21.7

Notices of Hearing with Related Statements of Allegations

Money Gate Mortgage Investment Corporation et al. -- ss. 127(1), 127.1

Notices from the Office of the Secretary

Aurora Cannabis Inc. et al.

Assante Capital Management Ltd. and Assante Financial Management Ltd.

Money Gate Mortgage Investment Corporation et al.

John Richard Wolfenden

The Mutual Fund Dealers Association of Canada

Aurora Cannabis Inc. et al.

Money Gate Mortgage Investment Corporation et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

RBC Global Asset Management Inc.

Franklin Templeton Investments Corp. and Bissett Canadian Core Bond Trust

Franklin Templeton Investments Corp. and Bissett Canadian Core Bond Trust

H&R Real Estate Investment Trust and H&R Finance (2017) Trust

1832 Asset Management L.P.

Counsel Portfolio Services Inc.

Firm Capital Mortgage Investment Corporation and Canaccord Genuity Corp.

Mackenzie Financial Corporation and LBC Financial Services Inc.

Superior Plus Corp. and Canaccord Genuity Corp.

Orders

Richmont Mines Inc.

Bloomberg Trading Facility Limited -- s. 147

CAE Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

The Bank of Nova Scotia and The Toronto-Dominion Bank -- ss. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

Aurora Cannabis Inc. et al. -- ss. 104, 127

Gaming Nation Inc. -- s. 1(6) of the OBCA

NewCastle Gold Ltd.

Money Gate Mortgage Investment Corporation et al. -- s. 127(8)

Orders with Related Settlement Agreements

Assante Capital Management Ltd. and Assante Financial Management Ltd. -- s. 127(1)

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

Assante Capital Management Ltd. and Assante Financial Management Ltd. -- s. 127

Chapter 4 - Cease Trading Orders

Temporary, Permanent & Rescinding Issuer Cease Trading Orders

Temporary, Permanent & Rescinding Management Cease Trading Orders

Outstanding Management & Insider Cease Trading Orders

Chapter 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

Registrants

Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories

SROs

MFDA -- Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) -- Notice of Commission Deemed Approval

Marketplaces

Nasdaq CXC Limited and Ensoleillement Inc. -- Application for Recognition as Exchanges -- Notice of Commission Recognition

Chapter 25 - Other Information

Exemptions

Franklin Templeton Investments Corp. and Franklin Bissett Canadian Bond Fund -- s. 6.1 of NI 81-101 Mutual Fund Prospectus Disclosure

Approvals

Tacita Capital Inc. -- s. 213(3)(b) of the LTCA

Consents

NewCastle Gold Ltd. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA

 

Top