Ontario Securities Commission Bulletin

Issue 41/05 - February 01, 2018

Ont. Sec. Bull. Issue 41/05

Table of Contents

Chapter 1 - Notices / News Releases

Notices

CSA Staff Notice 23-321 Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019

Notices of Hearing with Related Statements of Allegations

National Bank Financial Inc. et al. -- ss. 127, 127.1

Notices from the Office of the Secretary

Quadrexx Hedge Capital Management Ltd. et al.

National Bank Financial Inc. et al.

Omega Securities Inc.

National Bank Financial Inc. et al.

Dennis L. Meharchand and Valt.X Holdings Inc.

National Bank Financial Inc. et al.

Donald Mason

Chapter 2 - Decisions, Orders and Rulings

Decisions

Sphere Investment Management Inc. et al.

Marret Asset Management Inc. et al.

AltaGas Ltd.

Ithaca Energy Inc.

The Toronto-Dominion Bank and TD Bank, N.A.

Orders

Quadrexx Hedge Capital Management Ltd. et al. -- ss. 127, 127.1 3.1.1

AuRico Metals Inc. -- s. 1(6) of the OBCA

Kirkland Lake Gold Inc.

Paladin Energy Ltd

ClareGold Trust

EA Education Group Inc.

Omega Securities Inc. -- ss. 127(7)

Dennis L. Meharchand and Valt.X Holdings Inc. -- s. 127(1)

Donald Mason -- s. 8

Deer Horn Capital Inc.

TMX Group Limited et al. -- s. 147

Orders with Related Settlement Agreements

National Bank Financial Inc. et al. -- ss. 127, 127.1

Rulings

BGC Financial LP et al. -- s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

Quadrexx Hedge Capital Management Ltd. et al. -- ss. 127, 127.1

National Bank Financial Inc. et al. -- ss. 127, 127.1

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

Marketplaces

TSX -- Housekeeping Amendments to TSX Form 11 Notice of Private Placement -- Notice of Housekeeping Rule Amendments to the TSX Company Manual

Canadian Securities Exchange -- Notice of Withdrawal of Proposed Amendments to Trading Rules

 

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