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 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
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
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