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OSC Bulletin The Ontario Securities Commission OSC Bulletin November 8, 2018 Volume 41, Issue 45 (2018), 41 OSCB The Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and the Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20) The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Thomson Reuters 22nd Floor, Box 55 One Corporate Plaza 20 Queen Street West 2075 Kennedy Road Toronto, Ontario Toronto, Ontario M5H 3S8 M1T 3V4 416-593-8314 or Toll Free 1-877-785-1555 416-609-3800 or 1-800-387-5164 Contact Centre – Inquiries, Complaints: Fax: 416-593-8122 TTY: 1-866-827-1295 Office of the Secretary: Fax: 416-593-2318 The OSC Bulletin is published weekly by Thomson Reuters Canada, under the authority of the Ontario Securities Commission. Thomson Reuters Canada offers every issue of the Bulletin, from 1994 onwards, fully searchable on SecuritiesSource™, Canada’s pre-eminent web-based securities resource. SecuritiesSource™ also features comprehensive securities legislation, expert analysis, precedents and a weekly Newsletter. For more information on SecuritiesSource™, as well as ordering information, please go to: http://www.westlawecarswell.com/SecuritiesSource/News/default.htm or call Thomson Reuters Canada Customer Support at 1-416-609-3800 (Toronto & International) or 1-800-387-5164 (Toll Free Canada & U.S.). Claims from bona fide subscribers for missing issues will be honoured by Thomson Reuters Canada up to one month from publication date. Space is available in the Ontario Securities Commission Bulletin for advertisements. The publisher will accept advertising aimed at the securities industry or financial community in Canada. Advertisements are limited to tombstone announcements and professional business card announcements by members of, and suppliers to, the financial services industry. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior written permission of the publisher. The publisher is not engaged in rendering legal, accounting or other professional advice. If legal advice or other expert assistance is required, the services of a competent professional should be sought. © Copyright 2018 Ontario Securities Commission ISSN 0226-9325 Except Chapter 7 ©CDS INC. One Corporate Plaza Customer Support 2075 Kennedy Road 1-416-609-3800 (Toronto & International) Toronto, Ontario 1-800-387-5164 (Toll Free Canada & U.S.) M1T 3V4 Fax 1-416-298-5082 (Toronto) Fax 1-877-750-9041 (Toll Free Canada Only) Email [email protected] Table of Contents Chapter 1 Notices ................................................... 8763 Chapter 5 Rules and Policies .................................. (nil) 1.1 Notices .......................................................... 8763 1.1.1 CSA Staff Notice 11-339 Notice of Local Chapter 6 Request for Comments .......................... (nil) Changes in Alberta ......................................... 8763 1.1.2 Donald Mason ................................................ 8766 Chapter 7 Insider Reporting .................................. 8811 1.2 Notices of Hearing ......................................... (nil) 1.3 Notices of Hearing with Related Chapter 9 Legislation ............................................... (nil) Statements of Allegations ............................ (nil) 1.4 Notices from the Office Chapter 11 IPOs, New Issues and Secondary of the Secretary ............................................ 8766 Financings ............................................. 8877 1.4.1 Donald Mason ................................................ 8766 1.4.2 Michael Pearson and LeadFX Inc. ................. 8767 Chapter 12 Registrations ......................................... 8889 1.4.3 Money Gate Mortgage Investment 12.1.1 Registrants ..................................................... 8889 Corporation et al. ............................................ 8767 1.5 Notices from the Office Chapter 13 SROs, Marketplaces, of the Secretary with Related Clearing Agencies and Statements of Allegations ............................ (nil) Trade Repositories ............................... 8891 13.1 SROs ............................................................... (nil) Chapter 2 Decisions, Orders and Rulings ............ 8769 13.2 Marketplaces ................................................ 8891 2.1 Decisions ...................................................... 8769 13.2.1 Canadian Securities Exchange – Proposed 2.1.1 Brompton Funds Limited ................................ 8769 Fee Change – Monthly Tier Credits – Top 2.1.2 Mackenzie Financial Corporation and of Book – Notice and Request for London Life Pathways Global Core Plus Comments ..................................................... 8891 Bond Fund ..................................................... 8773 13.3 Clearing Agencies........................................ 8894 2.1.3 Nova Gas Transmission Ltd. .......................... 8776 13.3.1 Notice and Request for Comment – 2.2 Orders............................................................ 8779 Application by LME Clear Limited for 2.2.1 Northern Empire Resources Corp. ................. 8779 Exemption from Recognition as a 2.2.2 Donald Mason – s. 8 ...................................... 8781 Clearing Agency ............................................ 8894 2.2.3 Tangelo Games Corp. .................................... 8781 13.3.2 Notice and Request for Comment – 2.2.4 Caspian Energy Inc. ....................................... 8782 Application by The London Metal Exchange 2.2.5 Beaufield Resources Inc................................. 8783 for Exemption from Recognition and 2.2.6 Enercare Inc. .................................................. 8784 Registration as an Exchange and Related 2.2.7 Money Gate Mortgage Investment Registration Relief ........................................ 8939 Corporation et al. ............................................ 8786 13.4 Trade Repositories ........................................ (nil) 2.3 Orders with Related Settlement Agreements .................................................... (nil) Chapter 25 Other Information ................................... (nil) 2.4 Rulings ........................................................... (nil) Index ............................................................................ 8993 Chapter 3 Reasons: Decisions, Orders and Rulings ................................................... 8795 3.1 OSC Decisions .............................................. 8795 3.1.1 Michael Pearson and LeadFX Inc. – s. 127.......................................................... 8795 3.2 Director’s Decisions ..................................... 8807 3.2.1 Donald Mason ................................................ 8807 Chapter 4 Cease Trading Orders ........................... 8809 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders ......................... 8809 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders .............. 8809 4.2.2 Outstanding Management & Insider Cease Trading Orders .................................... 8809 November 8, 2018 (2018), 41 OSCB Chapter 1 Notices 1.1. Notices 1.1.1 CSA Staff Notice 11-339 Notice of Local Changes in Alberta CSA Staff Notice 11-339 Notice of Local Changes in Alberta November 1, 2018 From time to time, a local jurisdiction may amend a national or multilateral instrument or change a policy or companion policy that affects activity only in that jurisdiction. The CSA recognize that such a local amendment or change may nonetheless be of interest or importance beyond the local jurisdiction and CSA staff are issuing this notice to identify changes implemented in Alberta. For public convenience, CSA members in other jurisdictions will update the text of the applicable material on their websites to reflect these local changes. The local changes referred to in this notice comprise those shown in Annex A of this notice from Alberta to: • Companion Policy 45-102 Resale of Securities The text of this policy consolidation on the websites of CSA members will be updated as necessary to reflect these local changes. For further background on Annex A, see ASC Notice of Repeal and Replacement of Alberta Securities Commission Rule 72-501 Distributions to Purchasers Outside Alberta dated August 10, 2018. You may direct questions regarding this notice to: Samir Sabharwal Sylvia Pateras Alberta Securities Commission Autorité des marchés financiers Tel: 403-297-7389 Tel: 514-395-0337, ext. 2536 [email protected] [email protected] Chris Besko Simon Thompson Manitoba Securities Commission Ontario Securities Commission Tel: 204-945-2561 Tel: 416-593-8261 [email protected] [email protected] Alicia Love Sonne Udemgba Financial and Consumer Services Financial and Consumer Affairs Commission (New Brunswick) Authority of Saskatchewan Tel: 506-658-2648 Tel: 306-787-5879 [email protected] [email protected] Steven Dowling H. Jane Anderson Securities Division, Prince Edward Island Nova Scotia Securities Commission Tel: 902-368-4551 Tel: 902-424-0179 [email protected] [email protected] Jeff Mason Rhonda Horte Office of Superintendent of Securities Office of Yukon Superintendent of Nunavut Securities Tel: 867-975-6591 Tel: 867-667-5466 [email protected] [email protected]
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