Securities Law & Instruments

OSC Bulletin Volume 40, Issue 46 (November 16, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9109
1.1 Notices 9109
1.1.1 Rafael Lazer and ELAD Canada Inc. 9109
1.2 Notices of Hearing 9109
1.2.1 Sandpiper Real Estate Fund Limited Partnership et al. – ss. 8 and 21.7 9109
1.2.2 Rafael Lazer and ELAD Canada Inc.– ss. 8 and 21.7 9110
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 9111
1.5.1 Sandpiper Real Estate Fund Limited Partnership et al. 9111
1.5.2 Rafael Lazer and ELAD Canada Inc. 9111
1.5.3 Pro-Financial Asset Management Inc. et al. 9112
1.5.4 Sino-Forest Corporation et al. 9112
1.5.5 Vicky Dancho (also known as Ju Huang) 9113
1.5.6 Techocan International Co. Ltd. and Haiyan (Helen) Gao Jordan 9113
1.5.7 Rafael Lazer and ELAD Canada Inc. 9114
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9115
2.1 Decisions 9115
2.1.1 GAIN Capital – FOREX.com Canada Ltd. et al. 9115
2.1.2 CGOV Asset Management 9124
2.1.3 Mackenzie Financial Corporation and Mackenzie Global Sustainability and Impact Balanced Fund 9129
2.1.4 Franklin Templeton Investments Corp. et al. 9132
2.1.5 Franklin Templeton Investments Corp. et al. 9138
2.2 Orders 9148
2.2.1 Carrie Arran Resources Inc. – s. 144 9148
2.2.2 Sino-Forest Corporation et al. 9151
2.2.3 Tele-Find Technologies Corp. – s. 144 9152
2.2.4 Vicky Dancho (also known as Ju Huang)– ss. 127(1), 127(10) 9155
2.2.5 Northern Lights Resources Corp.– s. 144 9155
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 9159
3.1 OSC Decisions 9159
3.1.1 Pro-Financial Asset Management Inc. et al. 9159
3.1.2 Vicky Dancho (also known as Ju Huang)– ss. 127(1), 127(10) 9167
3.2 Director's Decisions 9169
3.2.1 Hugh Smilestone 9169
3.2.2 Pierre Prieur 9176
3.2.3 R. Alan Filer – s. 31 9177
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 9181
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9181
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9181
4.2.2 Outstanding Management & Insider Cease Trading Orders 9181
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9183
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9307
Chapter 12 Registrations 9315
12.1.1 Registrants 9315
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 9317
25.1 Approvals 9317
25.1.1 Redwood Asset Management Inc.– s. 213(3)(b) of the LTCA 9317
Index 9319