Ontario Securities Commission Bulletin

Issue 39/25 - June 23, 2016

Ont. Sec. Bull. Issue 39/25

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Notice of Publication of Multilateral Instruments 11-102 and 11-103

• Notice of Ministerial Approval of Amendments to NI 23-101 Trading Rules

• CSA Staff Notice 23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules

• CSA Staff Notice 21-318 Information Processor for Corporate Debt Securities

Notices from the Office of the Secretary

• Garth H. Drabinsky et al.

• Pro-Financial Asset Management Inc. et al.

• Aouad Choufi

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Sun Life Global Investments (Canada) Inc. and Sun Life Multi-Strategy Target Return Fund

• Northair Silver Corp. -- s. 1(10)(a)(ii)

• Invesco Canada Ltd.

• WisdomTree Asset Management Canada, Inc. et al.

• TD Asset Management Inc.

• Brookfield Business Partners L.P.

• Parkland Fuel Corporation and Canaccord Genuity Corp.

• Mainstreet Health Investments Inc.

• Sanofi

• Aston Hill Capital Markets Inc. et al.

Orders

• 360 Trading Networks Inc. -- s. 147

• BGC Derivatives Markets, L.P. -- s. 147

• Bloomberg SEF LLC -- s. 147

• DW SEF LLC -- s. 147

• GFI Swaps Exchange LLC -- s. 147

• ICAP Global Derivatives Limited -- s. 147

• ICAP SEF (US) LLC -- s. 147

• Ice Swap Trade, LLC -- s. 147

• Javelin SEF, LLC -- s. 147

• MarketAxess SEF Corporation -- s. 147

• SwapEx, LLC -- s. 147

• Thomson Reuters (SEF) LLC -- s. 147

• tpSEF Inc. -- s. 147

• Tradition SEF, Inc. -- s. 147

• trueEX LLC -- s. 147

• TW SEF LLC -- s. 147

• Garth H. Drabinsky et al. -- ss. 127, 127.1

• Pro-Financial Asset Management Inc. et al. -- s. 127

• Great-West Lifeco Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

• Great-West Lifeco Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

• Aouad Choufi

Rulings

• RBS Securities Inc. -- s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options

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 MI 11-102 Passport System

• MI 11-103 Failure-to-File Cease Trade Orders in Multiple Jurisdictions

• Changes to Companion Policy 11-102CP Passport System

• NP 11-206 Process for Cease to be a Reporting Issuer Applications

• NP 11-207 Failure-to-File Cease Trade Orders and Revocations in Multiple Jurisdictions

• NP 12-202 Revocation of Certain Cease Trade Orders

• NP 12-203 Management Cease Trade Orders

• Amendments to NI 23-101 Trading Rules

• Changes to Companion Policy 23-101CP Trading Rules

Chapter 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

• Registrants

Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories

SROs

• IIROC -- Proposed Material Amendments to the Notes and Instructions to Schedule 12 of Form 1 -- Margin on Futures Concentrations and Deposits -- Notice of Request for Comments

• IIROC -- Proposed Non-Material Amendments to Schedule 12 of Form 1 -- Margin on Futures Concentrations and Deposits and its Notes and Instructions -- Notice of Request for Comments

Marketplaces

• 360 Trading Networks Inc. et al. -- Notice of Commission Order -- Applications for Exemptive Relief

Chapter 25 - Other Information

Exemptions

• Sprott Gold Bullion Class and Sprott Silver Bullion Class -- Part 6 of NI 81-101 Mutual Fund Prospectus Disclosure

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