Securities Law & Instruments

OSC Bulletin Volume 41, Issue 23 (June 7, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 4481
1.1 Notices 4481
1.1.1 The Mutual Fund Dealers Association of Canada 4481
1.1.2 The Mutual Fund Dealers Association and John Richard Wolfenden 4481
1.1.3 Notice of Ministerial Approval of Amendments to Ontario Securities Commission Rule 72-503 Distributions Outside Canada, National Instrument 45-102 Resale of Securities, and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 4482
1.1.4 Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, National Instrument 33-109 Registration Information, National Instrument 41-101 General Prospectus Requirements, National Instrument 44-101 Short Form Prospectus Distributions, National Instrument 44-102 Shelf Distributions, National Instrument 45-106 Prospectus Exemptions, National Instrument 51-102 Continuous Disclosure Obligations, National Instrument 81-102 Investment Funds, National Instrument 81-106 Investment Fund Continuous Disclosure and OSC Rule 33-506 (Commodity Futures Act) Registration Information 4483
1.2 Notices of Hearing 4484
1.2.1 Harald Seemann et al. – ss. 127, 127.1 4484
1.2.2 Harald Seemann et al. – ss. 127, 127.1 4485
1.3 Notices of Hearing with Related Statements of Allegations 4486
1.3.1 IPC Securities Corporation and IPC Investment Corporation – s. 127 4486
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 4489
1.5.1 Harald Seemann et al. 4489
1.5.2 Harald Seemann et al. 4489
1.5.3 Omega Securities Inc. 4490
1.5.4 Omega Securities Inc. 4490
1.5.5 Dennis L. Meharchand and Valt.X Holdings Inc. 4491
1.5.6 Harald Seemann et al. 4491
1.5.7 Harald Seemann et al. 4492
1.5.8 Harald Seemann et al. 4492
1.5.9 The Mutual Fund Dealers Association of Canada 4493
1.5.10 John Richard Wolfenden 4493
1.5.11 IPC Securities Corporation and IPC Investment Corporation 4494
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 4495
2.1 Decisions 4495
2.1.1 Bradmer Pharmaceuticals Inc. 4495
2.1.2 NBC Asset TrustTM 4500
2.1.3 J.P. Morgan Securities PLC 4505
2.1.4 MYM Nutraceuticals Inc. 4512
2.1.5 Enbridge Gas Distribution Inc. et al. 4515
2.1.6 Westcoast Energy Inc. and Union Gas Limited
2.2 Orders 4520
2.2.1 Omega Securities Inc. – s. 127(7) 4520
2.2.2 Omega Securities Inc. 4520
2.2.3 U.S. Geothermal Inc. 4521
2.2.4 Gendis Inc. 4523
2.2.5 Leagold Acquisition Corp. II 4524
2.2.6 Leagold Acquisition Corp. II– s. 1(6) of the OBCA 4525
2.2.7 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 4526
2.2.8 Harald Seemann et al. 4526
2.2.9 Potash Corporation of Saskatchewan Inc. 4527
2.2.10 Cona Resources Ltd. 4532
2.3 Orders with Related Settlement Agreements 4534
2.3.1 Harald Seemann et al. – s. 127(1) 4534
2.3.2 Harald Seemann et al. – s. 127(1) 4540
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4547
3.1 OSC Decisions 4547
3.1.1 Harald Seemann et al. – s. 127 4547
3.1.2 Harald Seemann et al. – ss. 127, 127.1 4550
3.2 Director's Decisions 4552
3.2.1 Todd Milligan – s. 31 4552
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 4555
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4555
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4555
4.2.2 Outstanding Management & Insider Cease Trading Orders 4555
Chapter 5 Rules and Policies

4557

5.1.1 Amendments to Ontario Securities Commission Rule 72-503 Distributions Outside Canada 4557
5.1.2 Changes to Companion Policy 72-503 Distributions Outside Canada 4560
5.1.3 Amendments to National Instrument 45-102 Resale of Securities 4562
5.1.4 Changes to Companion Policy 45-102 to National Instrument 45-102 Resale of Securities 4564
5.1.5 Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 4566
5.1.6 Changes to National Policy 11-206 Process for Cease to be a Reporting Issuer Applications 4567
5.1.7 Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 4568
5.1.8 Amendments to National Instrument 33-109 Registration Information 4569
5.1.9 Amendments to National Instrument 41-101 General Prospectus Requirements 4570
5.1.10 Amendments to National Instrument 44-101 Short Form Prospectus Distributions 4571
5.1.11 Amendments to National Instrument 44-102 Shelf Distributions 4573
5.1.12 Amendments to National Instrument 45-106 Prospectus Exemptions 4574
5.1.13 Amendments to National Instrument 51-102 Continuous Disclosure Obligations 4576
5.1.14 Amendments to National Instrument 81-102 Investment Funds 4577
5.1.15 Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure 4578
5.1.16 Amendments to Ontario Securities Commission Rule 33-506 (Commodity Futures Act) Registration Information 4579
5.1.17 Change to Companion Policy 21-101CP Marketplace Operation 4580
5.1.18 Change to Companion Policy 81-102CP Investment Funds 4581
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 4583
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4665
Chapter 12 Registrations 4679
12.1.1 Registrants 4679
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 4681