Ontario Securities Commission Bulletin
Issue 39/49 - December 08, 2016
Ont. Sec. Bull. Issue 39/49
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2017
• CSA Staff Notice 21-319 Data Fees Methodology
Notices from the Office of the Secretary
• Michael Patrick Lathigee et al.
• William Raymond Malone
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Jefferies LLC
• Sprott Asset Management LP et al.
• NGAM Canada LP et al.
• Canoe Financial LP
• OPKO Health, Inc.
• Bell Canada
• Jet Metal Corp.
• Scotia Capital Inc.
Orders
• Michael Patrick Lathigee et al.
• RONA Inc.
• Fidelity Investments Canada ULC et al. -- ss. 78(1), 80 of the CFA
• Saputo Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Ontario Genomics Institute -- s. 74(1)
• William Raymond Malone
• Telesta Therapeutics Inc.
• Thompson Creek Metals Company Inc.
• CGI Group Inc. and Canadian Imperial Bank of Commerce -- s. 6.1 of National Instrument 62-104 Take-Over Bids and Issuer Bids
• 1083651 B.C. Ltd.
Chapter 3 - Reasons: Decisions, Orders and Rulings
Director's Decisions
• George Ranisau -- s. 31
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
• CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts and ETF Facts -- CSA Notice of Amendments to National Instrument 81-102 Investment Funds and Related Consequential Amendments
• Mandating a Summary Disclosure Document for Exchange-Traded Mutual Funds and its Delivery -- CSA Notice of Amendments to National Instrument 41-101 General Prospectus Requirements and to Companion Policy 41-101CP to National Instrument 41-101 General Prospectus Requirements and Related Consequential Amendments
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 Provisions Respecting Trading Supervision Obligations -- Notice of Request for Comment
Clearing Agencies
• Notice of Multilateral Arrangement for Regulatory, Supervisory and Oversight Cooperation on LCH.Clearnet Ltd.
• CDCC -- Proposed amendments to sections A-102, A-220 and A-701 of the Rules of the CDCC in order to establish a higher standard of legal certainty with respect to bankruptcy remoteness -- OSC Staff Notice of Request for Comment
Chapter 25 - Other Information
Consents
• Gitennes Exploration Inc. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA
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