Ontario Securities Commission Bulletin
Issue 39/30 - July 28, 2016
Ont. Sec. Bull. Issue 39/30
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Staff Notice 33-747 -- Annual Summary Report for Dealers, Advisers and Investment Fund Managers -- Compliance and Registrant Regulation
• Notice of Proclamation in Force of Provisions of the Jobs for Today and Tomorrow Act (Budget Measures), 2016 (Bill 173) and Amendments to Regulation 1015 under the Securities Act
• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments
• Steven J. Martel et al. -- Notice of Withdrawal
• OSC Staff Notice 51-727 -- Corporate Finance Branch -- 2015-2016 Annual Report
Notices of Hearing with Related Statements of Allegations
• Scotia Capital Inc. et al. -- ss. 127(1), 127(2)
Notices from the Office of the Secretary
• Dolly Varden Silver Corporation
• Hecla Mining Company and Dolly Varden Silver Corporation
• Steven J. Martel et al.
• Scotia Capital Inc. et al.
Notices from the Office of the Secretary with Related Statements of Allegations
• Steven J. Martel et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Ott Financial Canada Inc.
• Arrow Capital Management Inc. et al.
• EastWest Gold Corporation -- s. 1(10)(a)(ii)
• Capstone Power Corp. -- s. 1(10)(a)(ii)
• Hycroft Mining Corporation
Orders
• Lamond Investments Ltd. (successor to Humboldt Capital Corporation)
• Northern Sun Mining Corp. -- s. 1(6) of the OBCA
• Franklin Templeton Investments Corp. et al. -- s. 80 of the CFA
• Equal Energy Ltd.
• Reservoir Minerals Inc.
• Dolly Varden Silver Corporation
• Hecla Mining Company and Dolly Varden Silver Corporation -- ss. 104(1), 104(2), 127(1)2
• Hawk Exploration Ltd.
• Colba.Net Telecom Inc./Télécom Colba.Net inc.
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 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 9 - Legislation
• Ontario Regulation 248/16 Amending Reg. 1015 under the Securities Act
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
SROs
• IIROC -- Proposed Material Amendments to UMIR, Dealer Member Rules and Form 1 to Facilitate the Investment Industry's Move to T+2 Settlement -- Notice of Request for Comment
Marketplaces
• Nasdaq CXD -- Form 21-101F2 -- Notice of Approval of Proposed Changes
Clearing Agencies
• CDCC -- Amendments to the CDCC Operations Manual to add Netting Cycles -- Notice of Commission Approval
• CDS -- Technical Amendments to CDS Procedures Related to Timing of Novation -- Notice of Effective Date
• CDS -- Material Amendments to CDS Rules -- Timing of Novation -- Notice of Commission Approval
• Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- Miscellaneous Amendments to CDS Clearing and Depository Services Fee Schedule -- Notice of Approval
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