Securities Law & Instruments

OSC Bulletin Volume 37, Issue 51 (December 18, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 11181
1.1 Notices (nil)
1.2 Notices of Hearing 11181
1.2.1 GITC Investments and Trading Canada Ltd. et al. – ss. 127(7), 127(8)   11181
1.2.2 Pro-Financial Asset Management Inc. et al. – ss. 127, 127.1     11183
1.2.3 Darren Spears and May Spears – ss. 127(7), 127(8)  11194
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 11195
1.4.1 Bluestream Capital Corporation et al.             11195
1.4.2 7997698 Canada Inc. et al. 11195
1.4.3 Eric Inspektor       11196
1.4.4 GITC Investments and Trading Canada Ltd. et al. – ss. 127(7), 127(8) 11196
1.4.5 Pro-Financial Asset Management Inc. et al.  11197
1.4.6 Darren Spears and May Spears 11197
1.4.7 Bradon Technologies Ltd. et al. 11198
Chapter 2 Decisions, Orders and Rulings 11199
2.1 Decisions 11199
2.1.1 Next Edge Capital Corp. et al. 11199
2.1.2 Melcor Real Estate Investment Trust 11204
2.1.3 National Bank Investments Inc.        11210
2.1.4 Stream Oil & Gas Ltd. – s. 1(10)(a)(ii) 11214
2.1.5 Element Financial Corporation 11215
2.1.6 EquiLend Canada Corp. 11220
2.1.7 Bear Lake Gold Ltd.            11229
2.1.8 Canadian Imperial Bank of Commerce 11231
2.1.9 Bank of Montreal 11236
2.1.10 Bank of Nova Scotia 11241
2.1.11 Toronto-Dominion Bank 11246
2.1.12 Royal Bank of Canada 11251
2.1.13 National Bank of Canada  11256
2.2 Orders 11261
2.2.1 Bluestream Capital Corporation et al. – s. 127 11261
2.2.2 7997698 Canada Inc. et al. – ss. 127(7), 127(8) 11262
2.2.3 GITC Investments and Trading Canada Ltd. et al. – ss. 127(1), 127(5)   11263
2.2.4 Telus Corporation – s. 104(2)(c)      11264
2.2.5 Darren Spears and May Spears – ss. 127(1), 127(5)  11268
2.2.6 Bear Lake Gold Ltd. – s. 1(6) of the OBCA 11269
2.2.7 Bradon Technologies Ltd. et al. 11270
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 11271
3.1 OSC Decisions, Orders and Rulings 11271
3.1.1 Eric Inspektor – Rule 3 of the OSC Rules of Procedure 11271
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 11279
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 11279
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 11279
4.2.2 Outstanding Management & Insider Cease Trading Orders 11279
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 11281
Chapter 8 Notice of Exempt Financings 11399
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 11399
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 11401
Chapter 12 Registrations 11409
12.1.1 Registrants 11409
Chapter 13 SROs, Marketplaces, and Clearing Agencies 11411
13.1 SROs 11411
13.1.1 IIROC – OSC Staff Notice of Request for Comment – Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration test 11411
13.1.2 Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2015 and July 15, 2016      11412
13.2 Marketplaces 11413
13.2.1 CX2 Canada ATS – Notice of Commission Approval of Proposed Changes 11413
13.3 Clearing Agencies 11414
13.3.1 Material Amendments to CDS Procedures – Amendments Related to the Extenders of Credit and Settlement Agents Category Credit Rings 11414
13.3.2 Material Amendments to CDS Rules – Amendments Related to the Extenders of Credit and Settlement Agent Category Credit Rings 11415
13.4 Trade Repositories (nil)
Chapter 25 Other Information 11417
25.1 Permissions 11417
25.1.1 Jasmine Broadband Internet Infrastructure Fund         11417
25.1 Consents  
25.1.2 Family Memorials Inc. – s. 4(b) of the Regulation      11419
Index 11423