Ontario Securities Commission Bulletin
Issue 39/50 - December 15, 2016
Ont. Sec. Bull. Issue 39/50
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 33-318 Review of Practices Firms Use to Compensate and Provide Incentives to their Representatives
Notices of Hearing
• Krishna Sammy
Notices of Hearing with Related Statements of Allegations
• BMO Nesbitt Burns Inc. et al. -- ss. 127(1), 127(2)
Notices from the Office of the Secretary
• Lance Kotton and Titan Equity Group Ltd.
• Edward Furtak et al.
• Blue Gold Holding Ltd. et al.
• Portfolio Strategies Securities Inc. and Clifford Todd Monaghan
• AAOption et al.
• BMO Nesbitt Burns Inc. et al.
• Krishna Sammy
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Brandes Investment Partners & Co. et al.
• Front Street Capital 2004 et al.
• American Hotel Income Properties REIT LP
• First Asset Investment Management Inc. and First Asset Short Term Government Bond Index Class ETF
• Dundee Acquisition Ltd.
Orders
• Richardson GMP Limited and Richardson GMP (USA) Limited -- s. 74(1)
• Authorization Order -- s. 3.5(3)
• Edward Furtak et al.
• Blue Gold Holding Ltd. et al. -- ss. 127, 127.1
• AAOption et al.
• Canadian National Railway Company and BMO Nesbitt Burns Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Lance Kotton and Titan Equity Group Ltd. -- s. 127(8)
• Blue Gold Holdings Ltd. et al. -- ss. 127, 127.1
• Portfolio Strategies Securities Inc. and Clifford Todd Monaghan
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
• Amending Instruments for OSC Rules 13-502 Fees and 13-503 (Commodity Futures Act) Fees
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
• CDS -- Material Amendments to CDS Procedures relating to Cessation of eligibility of Physical Certificates for Deposit at CDS -- OSC Staff Notice of Request for Comment
Chapter 25 - Other Information
Consents
• Orla Mining Ltd. -- s. 4(b) of Ont. Reg. 289/00 made under the OBCA
Top