Securities Law & Instruments

OSC Bulletin Volume 41, Issue 51 (December 20, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9937
1.1 Notices 9937
1.1.1 Notice of Ministerial Approval of Amendments to National Instrument 81-102 Investment Funds, National Instrument 81-104 Commodity Pools, National Instrument 81-101 Mutual Fund Prospectus Disclosure, National Instrument 41-101 General Prospectus Requirements, National Instrument 81-106 Investment Fund Continuous Disclosure, and National Instrument 81-107 Independent Review Committee for Investment Funds 9937
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 Notices from the Office of the Secretary 9938
1.4.1 Larry Keith Davis 9938
1.4.2 MOAG Copper Gold Resources Inc. et al. 9938
1.4.3 Caldwell Investment Management Ltd. 9939
1.4.4 Katanga Mining Limited et al. 9939
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 9941
2.1 Decisions 9941
2.1.1 DPS Capital Inc. 9941
2.1.2 Quadrus Investment Services Ltd. 9945
2.1.3 Yorkville Asset Management Inc. 9950
2.1.4 Mackenzie Financial Corporation 9954
2.1.5 Husky Energy Inc. 9960
2.2 Orders 9946
2.2.1 Mitel Networks Corporation 9964
2.2.2 Larry Keith Davis 9966
2.2.3 MOAG Copper Gold Resources Inc. et al. 9971
2.2.4 Bloomberg Trading Facility Limited – s. 144 9972
2.2.5 Xplore Technologies Corp. 9973
2.2.6 DBRS Limited 9975
2.2.7 Marlin Gold Mining Ltd. 9978
2.2.8 Caldwell Investment Management Ltd. 9980
2.2.9 Katanga Mining Limited et al. – ss. 127(1), 127.1 9981
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 9987
3.1 OSC Decisions 9987
3.1.1 Katanga Mining Limited et al. – ss. 127, 127.1 9987
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 9991
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9991
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9991
4.2.2 Outstanding Management & Insider Cease Trading Orders 9991
Chapter 5 Rules and Policies

9993

5.1.1 Amendments to National Instrument 81-102 Investment Funds 9993
5.1.2 Changes to Commentary to National Instrument 81-102 Investment Funds 10002
5.1.3 Changes to Companion Policy 81-102CP to National Instrument 81-102 Investment Funds 10003
5.1.4 Amendments to National Instrument 81-104 Commodity Pools 10004
5.1.5 Withdrawal of Companion Policy 81-104CP to National Instrument 81-104 Commodity Pools 10005
5.1.6 Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure 10006
5.1.7 Amendments to National Instrument 41-101 General Prospectus Requirements 10009
5.1.8 Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure 10012
5.1.9 Amendments to National Instrument 81-107 Independent Review Committee for Investment Funds 10013
5.1.10 Changes to Commentary to National Instrument 81-107 Independent Review Committee for Investment Funds 10014
Chapter 6 Request for Comments 10015
6.1.1 CSA Staff Notice and Request for Comment 23-323 Trading Fee Rebate Pilot Study 10015
Chapter 7 Insider Reporting 10043
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 10165
Chapter 12 Registrations 10175
12.1.1 Registrants 10175
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 10177
13.1 SROs (nil)
13.2 Marketplaces 10177
13.2.1 Bloomberg Trading Facility Limited – Notice of Commission Order 10177
13.2.2 TSX – Notice of Housekeeping Rule Amendments to the TSX Company Manual 10178
13.2.3 Canadian Securities Exchange – Form 9 Notice of Proposed Issuance of Listed Securities and Policy 6 Distributions – Notice of Approval 10185
13.2.4 Canadian Securities Exchange – Introduction of Monthly Tier Credits – Top of Book – Notice of Approval 10185
13.2.5 Liquidnet Canada Inc. – Changes to Broker Blocks Functionality – Notice of Approval 10186
13.2.6 TriAct Canada Marketplace LP – Amendments to Trading System Functionality – Notice of Approval 10186
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 10187