Securities Law & Instruments

OSC Bulletin Volume 40, Issue 49 (December 7, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9631
1.1 Notices 9631
1.1.1 CSA Staff Notice 11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick 9631
1.1.2 Notice of Memorandum of Understanding Concerning Consultation Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Alternative Investment Fund Managers 9637
1.1.3 Land and Buildings Investment Management, LLC 9648
1.1.4 Joint CSA/IIROC Staff Notice 23-319 Internalization in the Canadian Market 9649
1.1.5 Notice of Ministerial Approval of Multilateral Instrument 91-102 Prohibition of Binary Options 9650
1.1.6 Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M – Complying with requirements regarding the Ombudsman for Banking Services and Investments 9651
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 9657
1.5.1 Sino-Forest Corporation et al. 9657
1.5.2 Land and Buildings Investment Management, LLC 9657
1.5.3 Omega Securities Inc. 9658
1.5.4 Land and Buildings Investment Management, LLC 9658
1.5.5 Earl Marek 9659
1.5.6 Omega Securities Inc. 9659
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9661
2.1 Decisions 9661
2.1.1 Rosalind Advisors, Inc. 9661
2.1.2 Ninepoint Partners LP et al. 9667
2.1.3 Excel Funds Management Inc. and Sun Life Global Investments (Canada) Inc. 9671
2.2 Orders 9675
2.2.1 Sino-Forest Corporation et al. 9675
2.2.2 Land and Buildings Investment Management, LLC 9675
2.2.3 Parametric Portfolio Associates LLC– ss. 78(1) and 80 of the CFA 9677
2.2.4 Omega Securities Inc. 9686
2.2.5 Tembec Inc. 9686
2.2.6 Omega Securities Inc. – s. 127(7) 9687
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 9689
3.1 OSC Decisions 9689
3.1.1 Earl Marek 9689
3.2 Director's Decisions 9697
3.2.1 Donald Mason 9697
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 9701
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9701
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9701
4.2.2 Outstanding Management & Insider Cease Trading Orders 9701
Chapter 5 Rules and Policies

9703

5.1.1 Multilateral Instrument 91-102 Prohibition of Binary Options 9703
5.1.2 Companion Policy 91-102 Prohibition of Binary Options 9704
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9707
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9791
Chapter 12 Registrations 9797
12.1.1 Registrants 9797
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 9799
13.1 SROs (nil)
13.2 Marketplaces 9799
13.2.1 Canadian Securities Exchange – Amendments to Trading System Functionality & Features – New Order Types – Notice of Approval 9799
13.3 Clearing Agencies 9800
13.3.1 CDS – Technical Amendments to CDS Procedures – Housekeeping Changes – Notice of Effective Date 9800
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 9801