Securities Law & Instruments

OSC Bulletin Volume 40, Issue 41 (October 19, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


1.1 Notices 8227
1.1.1 Pentecostal Financial Services Group Inc.et al. – Notice of Correction 8481
1.1.2 CSA Staff Notice 33-321 Cyber Security and Social Media 8483
1.1.3 CSA Staff Notice 51-352 Issuers with U.S. Marijuana-Related Activities 8494
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 8498
1.5.1 TCM Investments Ltd. et al. 8498
1.5.2 Khalid Walid Jawhari 8498
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8499
2.1 Decisions 8499
2.1.1 Fidelity Investments Canada ULC et al. 8499
2.1.2 FT Portfolios Canada Co. et al. 8501
2.1.3 Pentecostal Financial Services Group Inc. et al. [Corrected] 8504
2.1.4 Constellation Software Inc. et al. 8517
2.2 Orders 8523
2.2.1 Biox Corporation 8523
2.2.2 Khalid Walid Jawhari – ss. 127(1), 127(10) 8524
2.2.3 Royal Bank of Canada and BMO Nesbitt Burns Inc. – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 8525
2.2.4 Franco-Nevada GLW Holdings Corp. 8532
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 8533
2.4.1 Goldman Sachs International – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 8533
Chapter 3 Reasons: Decisions, Orders and Rulings 8545
3.1 OSC Decisions 8545
3.1.1 TCM Investments Ltd. et al. – s. 127 8545
3.1.2 Khalid Walid Jawhari – ss. 127(1), 127(10) 8551
3.2 Director’s Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 8553
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8553
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders 8553
4.2.2 Outstanding Management & Insider Cease Trading Orders 8553
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8555
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and SecondaryFinancings 8609
Chapter 12 Registrations 8615
12.1.1 Registrants 8615
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Repositories 8617
13.1 SROs 8617
13.1.1 MFDA – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Notice of Withdrawal 8617
13.2 Marketplaces 8618
13.2.1 Canadian Securities Exchange – Public Interest Rule – Amendments to Policy 4 Corporate Governance and Miscellaneous Provisions – Notice and Request for Comments 8618
13.2.2 TSX – Amendments to Parts IV and VI of the TSX Company Manual – Notice of Approval 8626
13.3 Clearing Agencies 8647
13.3.1 CDS – Material Amendments Related to Canadian Dollar Cash Collateral Management – Notice of Commission Approval 8647
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)