Ontario Securities Commission Bulletin
Issue 41/12 - March 22, 2018
Ont. Sec. Bull. Issue 41/12
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Ministerial Approval of OSC Rule 72-503 Distributions Outside Canada and Consequential Amendments
• OSC Staff Notice 11-779 Seniors Strategy
• CSA Staff Notice 23-322 Trading Fee Rebate Pilot Study
• Investment Funds Practitioner -- March 2018 -- Issue #20
Notices of Hearing
• Brian Michael Sutton -- ss. 8, 21.7
• Investment Industry Regulatory Organization of Canada -- ss. 8, 21.7
Notices from the Office of the Secretary
• Brian Michael Sutton
• Investment Industry Regulatory Organization of Canada
• Aurora Cannabis Inc. et al.
• Volkmar Guido Hable
• Benedict Cheng et al.
• Macquarie Capital Markets Canada Ltd., formerly known as Yorkton Securities Inc.
• Benedict Cheng et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Timbercreek Financial Corp. and National Bank Financial Inc.
• Redwood Asset Management Inc. et al.
• Chesterfield Resources plc
• Sun Life Global Investments (Canada) Inc. and Excel Investment Counsel Inc.
Orders
• Skyharbour Resources Ltd. -- s. 1(11)(b)
• OC Special Opportunities Fund, LP
• Volkmar Guido Hable -- ss. 127(1), 127(10)
• Benedict Cheng et al.
• Acasta Enterprises Inc. -- s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions and s. 6.1 of NI Take-Over Bids and Issuer Bids
• Macquarie Capital Markets Canada Ltd., formerly known as Yorkton Securities Inc. -- ss. 144(1), 144(2)
Rulings
• Trident Brokerage Services LLC -- 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
• Aurora Cannabis Inc. et al. -- ss. 101 and 134 of the Saskatchewan Securities Act and ss. 104 and 127 of the Ontario Securities Act
• Volkmar Guido Hable -- ss. 127(1), 127(10)
• Macquarie Capital Markets Canada Ltd., formerly known as Yorkton Securities Inc. -- ss. 144(1), 144(2)
• Benedict Cheng et al. -- Rules 28 and 29 of the OSC Rules of Procedure and Forms
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 5 - Rules and Policies
• OSC Rule 72-503 Distributions Outside Canada
• Companion Policy 72-503 Distributions Outside Canada
• Amendments to OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission
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 -- Proposed Continuing Education Requirements for MFDA Members and their Approved Persons
Clearing Agencies
• CDS -- Material Amendments to CDS Participant Rules Related to Non-LVTS Settlement Agents -- OSC Staff Notice of Request for Comments
Chapter 25 - Other Information
Approvals
• Avenue Investment Management Inc. -- s. 213(3)(b) of the LTCA
• LionGuard Capital Management Inc. -- s. 213(3)(b) of the LTCA
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