Securities Law & Instruments

OSC Bulletin Volume 41, Issue 48 (November 29, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9357
1.1 Notices 9357
1.1.1 CSA Staff Notice 51-356 Problematic promotional activities by issuers 9357
1.1.2 OSC Staff Notice 45-716 2018 Ontario Exempt Market Report 9361
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 9363
1.3.1 Questrade Wealth Management Inc.– ss. 127(1), 127.1 9363
1.3.2 Majd Kitmitto et al. – ss. 127(1), 127.1 9369
1.3.3 MOAG Copper Gold Resources Inc. et al. – ss. 127(1), 127.1 9379
1.4 Notices from the Office of the Secretary 9384
1.4.1 Majd Kitmitto et al. 9384
1.4.2 Questrade Wealth Management Inc. 9384
1.4.3 Majd Kitmitto et al. 9385
1.4.4 Daniel P. Reeve 9385
1.4.5 Questrade Wealth Management Inc. 9386
1.4.6 MOAG Copper Gold Resources Inc. et al. 9386
1.5 Notices from the Office of the Secretary with Related Statements of Allegations 9387
1.5.1 Keir Reynolds 9387
Chapter 2 Decisions, Orders and Rulings 9391
2.1 Decisions 9391
2.1.1 NewGen Asset Management Limited et al. 9391
2.1.2 Ninepoint Partners LP et al. 9398
2.1.3 Algonquin Capital Corporation and the Top Funds 9403
2.1.4 Children’s Education Funds Inc. et al. 9409
2.2 Orders 9411
2.2.1 Evolve Funds Group Inc. and Allianz Global Investors U.S. LLC– s. 80 of the CFA 9411
2.2.2 Pond Technologies Holdings Inc. – s. 1(11)(b) 9415
2.2.3 Gazit-Globe Ltd. 9417
2.2.4 Majd Kitmitto et al. 9421
2.2.5 Daniel P. Reeve – ss. 127(1), 128(10) 9421
2.3 Orders with Related Settlement Agreements 9422
2.3.1 Questrade Wealth Management Inc.– ss. 127(1), 127.1 9422
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 9433
3.1 OSC Decisions 9433
3.1.1 Daniel P. Reeve – ss. 127(1), 127(10) 9433
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 9439
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9439
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9439
4.2.2 Outstanding Management & Insider Cease Trading Orders 9439
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9441
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9511
Chapter 12 Registrations 9521
12.1.1 Registrants 9521
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 9523