Securities Law & Instruments

OSC Bulletin Volume 40, Issue 51 (December 21, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 10015
1.1 Notices 10015
1.1.1 Notice of Co-operation Agreement Concerning Innovative FinTech Businesses with the France Autorité des Marchés Financiers 10015
1.1.2 Notice of Amendments to the Commodity Futures Act and the Securities Act – Bill 177 10023
1.2 Notices of Hearing 10024
1.2.1 The Special Committee of the Board of Directors of CanniMed Therapeutics Inc. and Aurora Cannabis Inc. – ss. 104, 127 10024
1.2.2 CanniMed Therapeutics Inc. and Aurora Cannabis Inc. – ss. 104, 127 10025
1.3 Notices of Hearing with Related Statements of Allegations 10026
1.3.1 Miles S. Nadal – ss. 127(1), 127(10) 10026
1.3.2 Assante Capital Management Ltd. and Assante Financial Management Ltd. – s. 127 10030
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 10033
1.5.1 The Special Committee of the Board of Directors of CanniMed Therapeutics Inc. and Aurora Cannabis Inc. 10033
1.5.2 CanniMed Therapeutics Inc. and Aurora Cannabis Inc. 10033
1.5.3 Aurora Cannabis Inc., CanniMed Therapeutics Inc. and The Special Committee of the Board of Directors of CanniMed Therapeutics Inc. 10034
1.5.4 Miles S. Nadal 10034
1.5.5 Dennis L. Meharchand and Valt.X Holdings Inc. 10035
1.5.6 Dennis Wing 10035
1.5.7 Omega Securities Inc. 10036
1.5.8 Sino-Forest Corporation et al. 10036
1.5.9 Assante Capital Management Ltd. and Assante Financial Management Ltd. 10037
1.5.10 Dennis L. Meharchand and Valt.X Holdings Inc. 10037
1.5.11 Techocan International Co. Ltd. and Haiyan (Helen) Gao Jordan 10038
1.5.12 TCM Investments Ltd. et al. 10038
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 10039
2.1 Decisions 10039
2.1.1 Mackenzie Financial Corporation and Quadrus Trimark Balanced Fund 10039
2.1.2 Questrade Wealth Management Inc. et al. 10043
2.1.3 Bank of Montreal 10054
2.1.4 The Bank of Nova Scotia 10059
2.1.5 Canadian Imperial Bank of Commerce 10064
2.1.6 National Bank of Canada 10069
2.1.7 Royal Bank of Canada 10074
2.1.8 The Toronto-Dominion Bank 10079
2.1.9 I.G. Investment Management, Ltd. 10084
2.1.10 FortisBC Energy Inc. et al. 10088
2.1.11 Brompton Funds Limited and Goldman Sachs U.S. Income Builder Trust 10091
2.1.12 Brookfield Renewable Partners L.P. 10096
2.2 Orders 10099
2.2.1 Aurora Cannabis Inc., CanniMed Therapeutics Inc. and The Special Committee of the Board of Directors of CanniMed Therapeutics Inc. – s. 104, 127 10099
2.2.2 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 10101
2.2.3 Dennis Wing 10102
2.2.4 Polaris Materials Corporation 10102
2.2.5 Sino-Forest Corporation et al. 10104
2.2.6 Dennis L. Meharchand and Valt.X Holdings Inc. – s. 127(1) 10104
2.2.7 TCM Investments Ltd. et al. – ss. 127(1), 127.1 10105
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 10107
3.1 OSC Decisions 10107
3.1.1 Omega Securities Inc. – s. 127(5) 10107
3.1.2 Techocan International Co. Ltd. and Haiyan (Helen) Gao Jordan – s. 144 10123
3.1.3 TCM Investments Ltd. et al. – ss. 127(1), 127.1 10135
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 10141
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 10141
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 10141
4.2.2 Outstanding Management & Insider Cease Trading Orders 10141
Chapter 5 Rules and Policies

10143

5.1.1 Ontario Securities Commission Rule 72-503 Distributions Outside Canada and Companion Policy 72-503 Distributions Outside Canada 10143
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 10163
Chapter 9 Legislation 10253
9.1.1 Stronger, Fairer Ontario Act (Budget Measures), 2017 (Bill 177) 10253
Chapter 11 IPOs, New Issues and Secondary Financings 10255
Chapter 12 Registrations 10267
12.1.1 Registrants 10267
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 10269
13.1 SROs 10269
13.1.1 IIROC – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model – Request for Comment 10269
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 10271