OSC Bulletin Volume 42, Issue 05 (January 31, 2019)
(published weekly on behalf of the OSC by Carswell)
Table of Contents
| Chapter 1 Notices / News Releases | 935 | |
| 1.1 | Notices | 935 |
| 1.1.1 | CSA Staff Notice 23-324 Order Protection Rule: Market Share Threshold for the period April 1, 2019 to March 31, 2020 | 935 |
| 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 | 938 |
| 1.4.1 | Keir Reynolds | 938 |
| 1.4.2 | Donna Hutchinson et al. | 938 |
| 1.4.3 | Michelle Dunk | 939 |
| 1.5 | Notices from the Office of the Secretary with Related Statements of Allegations | (nil) |
| Chapter 2 Decisions, Orders and Rulings | 941 | |
| 2.1 | Decisions | 941 |
| 2.1.1 | Bridgeport Asset Management Inc. et al. | 941 |
| 2.1.2 | BMO Nesbitt Burns Inc. et al. | 947 |
| 2.1.3 | Caldwell Investment Management Ltd. | 949 |
| 2.1.4 | Mackenzie Financial Corporation et al. | 955 |
| 2.1.5 | FundSERV Inc. | 963 |
| 2.1.6 | Macquarie Capital Markets Canada Ltd. | 966 |
| 2.1.7 | Global Real Estate & E-Commerce Dividend Fund | 969 |
| 2.1.8 | Middlefield Limited et al. | 971 |
| 2.1.9 | National Bank Investments Inc. et al. | 975 |
| 2.2 | Orders | 979 |
| 2.2.1 | Keir Reynolds – ss. 127(1), 127(10) | 979 |
| 2.2.2 | Donna Hutchinson et al. | 980 |
| 2.2.3 | Hudbay Arizona Inc. | 981 |
| 2.2.4 | The Canadian Depository for Securities Limited et al. – s. 147 | 983 |
| 2.2.5 | Michelle Dunk – ss. 127(1), 127(10) | 985 |
| 2.3 | Orders with Related Settlement Agreements | (nil) |
| 2.4 | Rulings | 986 |
| 2.4.1 | Macquarie Capital Markets Canada Ltd.– s. 38(1) of the CFA | 986 |
| Chapter 3 Reasons: Decisions, Orders and Rulings | 991 | |
| 3.1 | OSC Decisions | 991 |
| 3.1.1 | Keir Reynolds – ss. 127(1), 127(10) | 991 |
| 3.1.2 | Michelle Dunk – ss. 127(1), 127(10) | 997 |
| 3.2 | Director's Decisions | (nil) |
| Chapter 4 Cease Trading Orders | 1001 | |
| 4.1.1 | Temporary, Permanent & Rescinding Issuer Cease Trading Orders | 1001 |
| 4.2.1 | Temporary, Permanent & Rescinding Management Cease Trade Orders | 1001 |
| 4.2.2 | Outstanding Management & Insider Cease Trading Orders | 1001 |
| Chapter 5 Rules and Policies |
(nil) |
|
| Chapter 6 Request for Comments | (nil) | |
| Chapter 7 Insider Reporting | 1003 | |
| Chapter 9 Legislation | (nil) | |
| Chapter 11 IPOs, New Issues and Secondary Financings | 1089 | |
| Chapter 12 Registrations | 1095 | |
| 12.1.1 | Registrants | 1095 |
| Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories | 1097 | |
| 13.1 | SROs | (nil) |
| 13.2 | Marketplaces | 1097 |
| 13.2.1 | TSX Inc. – Enhancements to Dark Trading Functionality – Notice of Proposed Changes and Request for Comments | 1097 |
| 13.3 | Clearing Agencies | 1102 |
| 13.3.1 | The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. | 1102 |
| 13.4 | Trade Repositories | (nil) |
| Chapter 25 Other Information | 1103 | |
| 25.1 | Consents | 1103 |
| 25.1.1 | MPX Bioceutical Corporation – s. 4(b) of Ont. Reg. 289/00 under the OBCA | 1103 |
| 25.1.2 | Mezzotin Minerals Inc. – s. 4(b) of Ont. Reg. 289/00 under the OBCA | 1105 |
| 25.2 | Approvals | 1107 |
| 25.2.1 | Waypoint Investment Partners Inc. – s. 213(3)(b) of the LTCA | 1107 |
| 25.2.2 | Crimson Asset Management Ltd. – s. 213(3)(b) of the LTCA | 1108 |
| Index | 1109 | |