Securities Law & Instruments

OSC Bulletin Volume 41, Issue 02 (January 11, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 355
1.1 Notices 355
1.1.1 OSC Staff Notice 11-742 (Revised) – Securities Advisory Committee 355
1.1.2 CSA Staff Notice 21-322 Applicability of Regulation to the Operation of MTFs or OTFs in Canada 357
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 358
1.5.1 Dennis Wing 358
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 359
2.1 Decisions 359
2.1.1 Mackenzie Financial Corporation and Mackenzie China A-Shares CSI 300 Index ETF 359
2.1.2 1832 Asset Management L.P. 363
2.1.3 LOGiQ Asset Management Ltd. and LOGiQ Capital 2016 367
2.1.4 Source Energy Services Ltd. and James McMahon 374
2.1.5 R&R Venture Partners II, LLC 377
2.1.6 Palos Management Inc. and Palos Wealth Management Inc. 379
2.1.7 Melcor Real Estate Investment Trust 383
2.2 Orders 389
2.2.1 Allianz Global Investors U.S. LLC – s. 80 of the CFA 389
2.2.2 Anfield Gold Corp. 398
2.2.3 Dennis Wing 400
2.2.4 The Bank of Montreal and The Toronto-Dominion Bank – s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids 401
2.2.5 Minister of Energy (Ontario) et al. 408
2.2.6 Tesco Corporation 413
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 415
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 415
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 415
4.2.2 Outstanding Management & Insider Cease Trading Orders 415
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 417
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 591
Chapter 12 Registrations 595
12.1.1 Registrants 595
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 (nil)
Index 597