Securities Law & Instruments

OSC Bulletin Volume 37, Issue 47 (November 20, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 10097
1.1 Notices 10097
1.1.1 Recognition of Aequitas Innovations Inc. and Aequitas Neo Exchange Inc. as an Exchange 10097
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 10098
1.4.1 TD Waterhouse Private Investment Counsel Inc. et al. 10098
1.4.2 International Strategic Investments et al. 10098
1.4.3 William McDonald Ferguson 10099
Chapter 2 Decisions, Orders and Rulings 10101
2.1 Decisions 10101
2.1.1 Redwood Asset Management Inc 10101
2.1.2 Dunav Resources Ltd. – s. 1(10) 10105
2.1.3 Elgin Mining Inc. – s. 1(10)(a)(ii) 10106
2.1.4 Citizens Bank, National Association 10107
2.1.5 Excel Funds Management Inc. and Excel Capital Income Fund 10113
2.1.6 Reckitt Benckiser Group PLC and Indivior PLC 10117
2.1.7 Invesco Canada Ltd. 10122
2.2 Orders 10126
2.2.1 TD Waterhouse Private Investment Counsel Inc. et al. – ss. 127(1), 127(2), 127.1 10126
2.2.2 International Strategic Investments et al. 10128
2.2.3 Elgin Mining Inc. – s. 1(6) of the OBCA 10130
2.2.4 William McDonald Ferguson – ss. 127(1), 127(10) 10131
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 10133
3.1 OSC Decisions, Orders and Rulings 10133
3.1.1 TD Waterhouse Private Investment Counsel Inc. et al 10133
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 10147
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 10147
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 10147
4.2.2 Outstanding Management & Insider Cease Trading Orders 10147
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 10149
Chapter 8 Notice of Exempt Financings 10255
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 10255
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 10257
Chapter 12 Registrations 10267
12.1.1 Registrants 10267
Chapter 13 SROs, Marketplaces, and Clearing Agencies 10269
13.1 SROs (nil)
13.2 Marketplaces 10269
13.2.1 Recognition of Aequitas Neo Exchange Innovations Inc. and Aequitas Neo Exchange Inc. 10269
13.2.2 TriAct Canada Marketplace LP – Notice of Approval of Proposed Change 10327
13.3 Clearing Agencies 10329
13.3.1 OSC Staff Notice of Request for Comment – CDS Clearing and Depository Services Inc. (CDS®) – Material Amendments to CDS Procedures – Amendments Related to the Extenders of Credit and Settlement Agents Category Credit Rings 10329
13.3.2 OSC Staff Notice of Request for Comment – CDS Clearing and Depository Services Inc. (CDS®) – Material Amendments to CDS Rules – Amendments Related to the Extenders of Credit and Settlement Agents Category 10330
13.3.3 OSC Staff Notice of Request for Comment – CDS Clearing and Depository Services Inc. (CDS®) – Material Amendments to CDS Procedures – Amendments Related to the Mitigation of Procyclical Eeffects on Calculations of Equitiy Haircuts and the CNS Participant Fund Collateral Requirements 10331
13.3.4 OSC Staff Notice of Request for Comment – CDS Clearing and Depository Services Inc. (CDS®) – Material Amendments to CDS Rules – Amendments Related to the Introduction of a CNS Participant Default Fund 10332
13.3.5 OSC Staff Notice of Request for Comment – CDS Clearing and Depository Services Inc. (CDS) – Material Amendments to CDS Procedures – Amendments Related to the Introduction of a CNS Participant Default Fund
10333
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 10335