Ontario Securities Commission Bulletin
Issue 38/43 - October 29, 2015
Ont. Sec. Bull. Issue 38/43
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Ministerial Approval of Amendments to OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions
Notices from the Office of the Secretary
• GITC Investments and Trading Canada Ltd. et al.
• 7997698 Canada Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Solium Capital Inc. and Brian N. Craig
• Enbridge Income Fund Holdings Inc.
• Canadian Capital Auto Receivables Asset Trust II -- s. 1(10)(a)(ii)
• Evangeline Securities Limited and Investia Financial Services Inc.
• Fiduciary Trust Company of Canada and Franklin Templeton Investments Corp.
• Counsel Portfolio Services Inc.
• Columbus Copper Corporation -- s. 1(10)(a)(ii)
Orders
• First Trust Advantaged Short Duration High Yield Bond Fund -- s. 1.1
• 7997698 Canada Inc. et al.
Orders with Related Settlement Agreements
• GITC Investments and Trading Canada Ltd. et al. -- ss. 127(1), 127.1
Chapter 4 - Cease Trading Orders
• Temporary, Permanent & Rescinding Issuer Cease Trading Orders
• Temporary, Permanent & Rescinding Management Cease Trading Orders
• Outstanding Management & Insider Cease Trading Orders
Chapter 5 - Rules and Policies
• Amendments to OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions
Chapter 6 - Request for Comments
• OSC Notice and Request for Comment -- Proposed OSC Policy 15-601 -- Whistleblower Program
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
SROs
• IIROC -- Proposed Amendments to Dealer Member Rule 1400 relating to the Disclosure to Clients of Dealer Members' Financial Position -- OSC Staff Notice of Commission Approval
• IIROC -- Debt Market Regulation Fee Model -- Notice of Commission Approval
Top