Securities Law & Instruments

OSC Bulletin Volume 42, Issue 1 (January 3, 2018)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 1
1.1 Notices 1
1.1.1 Maria Psihopedas 1
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations 2
1.3.1 Katanga Mining Limited et al.– ss. 127, 127.1 2
1.4 Notices from the Office of the Secretary 19
1.4.1 Katanga Mining Limited et al. 19
1.4.2 Issam El-Bouji 19
1.4.3 Maria Psihopedas 20
1.4.4 SBC Financial Group Inc. and Prabhjot Singh Bakshi 20
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 21
2.1 Decisions 21
2.1.1 Investors Canadian Equity Fund et al. 21
2.1.2 First Asset Investment Management Inc. et al. 26
2.1.3 Netgear, Inc. 29
2.1.4 Brandes Investment Partners & Co. and Greystone Canadian Equity Income & Growth Fund 32
2.1.5 Electrameccanica Vehicles Corp. 37
2.1.6 RBC Global Asset Management Inc. 41
2.1.7 Héroux-Devtek Inc. 45
2.1.8 Solium Capital Inc. and Brian Craig 48
2.1.9 Teck Resources Limited 51
2.1.10 NCM Asset Management Ltd. et al. 54
2.1.11 Serinus Energy Plc 58
2.1.12 Logan Resources Ltd. 61
2.2 Orders 64
2.2.1 Hiku Brands Company Ltd. 64
2.2.2 Mainstream Minerals Corporation– s. 144 66
2.2.3 Compass Gold Corporation– s. 1(11)(b) 68
2.2.4 Avion Gold Corporation 70
2.2.5 SBC Financial Group Inc. and Prabhjot Singh Bakshi– ss. 127(1), 127(10) 71
2.2.6 LME Clear Limited – s. 147 72
2.2.7 PGIM, Inc. – s. 80 of the CFA 79
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 89
3.1 OSC Decisions 89
3.1.1 SBC Financial Group Inc. and Prabhjot Singh Bakshi – ss. 127(1), 127(10) 89
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 97
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 97
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 97
4.2.2 Outstanding Management & Insider Cease Trading Orders 97
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 99
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 275
Chapter 12 Registrations 285
12.1.1 Registrants 285
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 287
13.1 SROs 287
13.1.1 MFDA – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Notice of Commission Deemed Approval 287
13.2 Marketplaces (nil)
13.3 Clearing Agencies 288
13.3.1 LME Clear Limited – Application for Exemptive Relief – Notice of Commission Order 288
13.4 Trade Repositories (nil)
Chapter 25 Other Information 289
25.1 Consents 289
25.1.1 Kingsway Financial Services Inc.– s. 4(b) of Ont. Reg. 289/00 under the OBCA 289
25.1.2 Canadian Premium Sand Inc. (formerly, Claim Post Resources Inc.) – s. 4(b) of Ont. Reg. 289/00 under the OBCA 295
Index 297