Securities Law & Instruments

OSC Bulletin Volume 42, Issue 43 (October 24, 2019)

(published weekly on behalf of the OSC by Carswell)

Table of Contents

 
Chapter 1 Notices / News Releases 8385
1.1 Notices 8385
1.1.1 Notice of Ministerial Approval of Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees 8385
1.1.2 Notice of Memorandum of Understanding – Cooperation and the Exchange of Information Related to the Supervision of Regulated Entities Operating in Ontario and Germany 8386
1.1.3 Notice of Memorandum of Understanding – Cooperation and the Exchange of Information Related to the Supervision of Regulated Entities Operating in Ontario and Ireland 8396
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 8405
1.4.1 Issam El-Bouji 8405
1.4.2 MOAG Copper Gold Resources Inc. et al. 8405
1.4.3 Jean-Smaille Germeil and FPE Trading 8406
1.4.4 Solar Income Fund Inc. et al – Notice of Correction 8406
1.4.5 Benedict Cheng et al. 8407
1.5 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 8409
2.1 Decisions 8409
2.1.1 Goldman Sachs International – s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 8409
2.1.2 Quadravest Capital Management Inc. and National Bank Financial Inc. 8410
2.1.3 Alvest Holding 8416
2.2 Orders 8420
2.2.1 Issam El-Bouji – ss. 127(1), 127.1 8420
2.2.2 Trez Capital Mortgage Investment Corporation 8421
2.2.3 Espial Group Inc. 8424
2.2.4 Espial Group Inc. 8425
2.2.5 MOAG Copper Gold Resources Inc. et al. 8427
2.2.6 Hydrogenics Corporation 8427
2.2.7 Jean-Smaille Germeil and FPE Trading – ss. 127(1), 127(10) 8428
2.2.8 Solar Income Fund Inc. et al. 8429
2.2.9 TSO3 Inc. 8430
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 8433
3.1 OSC Decisions 8433
3.1.1 Jean-Smaille Germeil and FPE Trading – ss. 127(1), 127(10) 8433
3.1.2 Benedict Cheng et al. – s. 144 8439
3.2 Director's Decisions (nil)
Chapter 4 Cease Trading Orders 8441
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8441
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8441
4.2.2 Outstanding Management & Insider Cease Trading Orders 8441
Chapter 5 Rules and Policies

8443

5.1.1 Amendments to OSC Rule 13-502 Fees 8443
5.1.2 Amendments to OSC Rule 13-503 (Commodity Futures Act) Fees 8444
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8445
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8495
Chapter 12 Registrations 8501
12.1.1 Registrants 8501
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 8503
13.1 SROs 8503
13.1.1 Mutual Fund Dealers Association of Canada (MFDA) – Proposed Amendments to MFDA Rule 1.1.1(A) (Business Structures – Members) – Request for Comment 8503
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 8505
25.1 Exemptions 949
25.1 Consents 8505
25.1.1 Generic Gold Corp. – s. 4(b) of Ont. Reg. 289/00 under the OBCA 8505
Index 8507