Securities Law & Instruments

OSC Bulletin Volume 41, Issue 24 (June 14, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 4685
1.1 Notices 4685
1.1.1 CSA Staff Notice 46-308 Securities Law Implications for Offerings of Tokens 4685
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 4691
1.3.1 Clayton Smith – ss. 127(1), 127.1(1) 4691
1.3.2 Royal Mutual Funds Inc.– ss. 127(1), 127.1 4798
1.3.3 Peter Volk – ss. 127(1), 127.1 4701
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 4704
1.5.1 Issam El-Bouji 4704
1.5.2 IPC Securities Corporation and IPC Investment Corporation 4704
1.5.3 Clayton Smith 4705
1.5.4 Royal Mutual Funds Inc. 4705
1.5.5 Donna Hutchinson et al. 4706
1.5.6 Peter Volk 4706
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 4707
2.1 Decisions 4707
2.1.1 BMO Investments Inc. 4707
2.1.2 TD Waterhouse Private Investment Counsel Inc. 4716
2.1.3 BMO Investments Inc. 4720
2.1.4 The Stars Group Inc. 4727
2.1.5 Jarislowsky, Fraser Limited 4730
2.1.6 GoldPoint Partners Select Manager Canada Fund IV, LP and Newbury Equity Partners IV L.P. 4737
2.1.7 Canoe Financial LP and the Canoe Mutual Funds listed in Schedule A 4742
2.1.8 CWB Wealth Management Ltd. 4745
2.1.9 Lysander Funds Limited 4750
2.1.10 PIMCO Canada Corp. and RBC Dominion Securities Inc. 4756
2.1.11 Veolia Environnement S.A. 4764
2.2 Orders 4771
2.2.1 CanniMed Therapeutics Inc. 4771
2.2.2 Jarislowsky, Fraser Limited 4773
2.2.3 Issam El-Bouji 4779
2.2.4 Wellington Management Canada ULC and Wellington Management Company LLP– s. 80 of the CFA 4780
2.2.5 Donna Hutchinson et al. 4784
2.3 Orders with Related Settlement Agreements 4785
2.3.1 IPC Securities Corporation and IPC Investment Corporation – s. 127(1) 4785
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 4799
3.1 OSC Decisions 4799
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 4801
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 4801
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 4801
4.2.2 Outstanding Management & Insider Cease Trading Orders 4801
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments 4803
6.1.1 CSA Notice and Second Request for Comment – Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives: Business Conduct 4803
Chapter 7 Insider Reporting 4893
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5007
Chapter 12 Registrations 5017
12.1.1 Registrants 5017
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 5019
13.1 SROs (nil)
13.2 Marketplaces 5019
13.2.1 TSX – Consultation Paper on Public Company Acquisitions 5019
13.3 Clearing Agencies 5032
13.3.1 CDS – Technical Amendments to CDS Procedures – Housekeeping Changes – Notice of Effective Date 5032
13.3.2 CDS – Material Amendments to CDS Rules Related to the Elective System Operating Cap for Extenders of Credit – Notice of Commission Approval 5033
13.3.3 CDS – Proposed Amendments to the CDS Fee Schedule – New York Link/DTC Direct Link Services – OSC Staff Notice of Request for Comment 5034
13.4 Trade Repositories (nil)
Chapter 25 Other Information 5035
25.1 Approvals 5035
25.1.1 Peregrine Investment Management Inc. – s. 213(3)(b) of the LTCA 5035
Index 5037