Ontario Securities Commission Bulletin
Issue 39/41 - October 13, 2016
Ont. Sec. Bull. Issue 39/41
Table of Contents
Chapter 1 - Notices / News Releases
Notices of Hearing with Related Statements of Allegations
• Saileshwar Rao Narayan et al. -- ss. 127(1), 127(10)
• Robert Jay Major et al. -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Saileshwar Rao Narayan et al.
• Robert Jay Major et al. -- ss. 127(1), 127(10)
Chapter 2 - Decisions, Orders and Rulings
Decisions
• GMP Securities L.P. and FirstEnergy Capital Corp.
• Purpose Investments Inc. et al.
• Aviva Investors Americas LLC
• National Bank Investments Inc. and National Bank Mutual Funds
• National Bank Investments Inc.
• Performance Capital Limited
• BMO Nesbitt Burns Inc. et al.
Orders
• Legal & General Investment Management America, Inc. -- s. 80 of the CFA
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 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
SROs
• IIROC -- Re-publication of Proposed Provisions Respecting Best Execution -- Request for Comment
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