Ontario Securities Commission Bulletin
Issue 39/28 - July 14, 2016
Ont. Sec. Bull. Issue 39/28
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 81-327 Next Steps in the CSA's Examination of Mutual Fund Fees
• LCH.Clearnet LLC -- Notice of Revocation Order
Notices from the Office of the Secretary
• 7997698 Canada Inc., et. al.
• Garth H. Drabinsky, et. al.
• Clifford Todd Monaghan
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Franklin Templeton Investments Corp.
• Norrep Capital Management Ltd. et al.
• Sentry Investments Inc.
• Sentry Investments Inc.
• Sentry Investments Inc.
• Arrow Capital Management Inc.
• Fidelity Investments Canada ULC
• CI Investments Inc.
• PI Financial Corp. and Wolverton Securities Ltd.
• Caza Oil & Gas, Inc. -- s. 1(10)(a)(ii)
• CI Investments Inc. et al.
Orders
• IBM Corporation -- s. 80 of the CFA
• Desert Eagle Resources Ltd. -- s. 144
• Nodal Clear, LLC -- s. 147
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
• OSC Notice of Policy Adopted under Securities Act -- 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
Clearing Agencies
• CDCC -- Amendments to the CDCC Default Manual and to Sections A-308 and A-401 of the CDCC Rules -- Notice of Commission Approval
• CDS -- Proposed Amendments to the CDS Fee Schedule -- ISIN Issuance and CDS Elibility Services, and Entitlements and Corporate Action Events Management -- OSC Staff Notice of Request for Comment
• Nodal Clear, LLC -- Application for Exemptive Relief -- Notice of Commission Order
Chapter 25 - Other Information
Consents
• Frankly Inc. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA
Permissions
• Pacific Exploration & Production Corporation -- s. 38(3)
Exemptions
• Sprott Asset Management LP and Sprott Silver Bullion Fund
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