Ontario Securities Commission Bulletin

Issue 39/51 - December 22, 2016

Ont. Sec. Bull. Issue 39/51

Table of Contents

Chapter 1 - Notices / News Releases

Notices

The Investment Funds Practitioner -- December 2016

Notices from the Office of the Secretary

Welcome Place Inc. et al.

BMO Nesbitt Burns Inc. et al.

Krishna Sammy

Saileshwar Rao Narayan et al.

MM Café Franchise Inc. et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

Invesco Canada Ltd. et al.

I.G. Investment Management, Ltd.

Arkema S.A.

Montrusco Bolton Investments Inc.

Russell Investments Canada Limited

Counsel Portfolio Services Inc. et al.

MD Financial Management Inc. et al.

TD Asset Management Inc.

B2Gold Corp. et al.

Stifel, Nicolaus & Company, Incorporated

National Bank of Canada

Royal Bank of Canada

The Bank of Nova Scotia

Bank of Montreal

The Toronto-Dominion Bank

Canadian Imperial Bank of Commerce

RBC Capital Markets, LLC and RBC Europe Limited

Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp.

Chatham Asset Management, LLC

Alignvest Acquisition Corporation

Orders

Gildan Activewear Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

Welcome Place Inc. et al. -- ss. 127(1), 17(2.1)

Krishna Sammy

Saileshwar Rao Narayan et al. -- ss. 127(1), 127(10)

MM Café Franchise Inc. et al. -- s. 127

Orders with Related Settlement Agreements

BMO Nesbitt Burns Inc. et al. -- ss. 127(1), 127(2)

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

Welcome Place Inc. et al.

Saileshwar Rao Narayan et al.

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 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

Registrants

Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories

Marketplaces

Liquidnet Canada Inc. -- Targeted invitation functionality for trading of equity securities -- Extension of comment period

TSX Inc. -- TSX International Board -- Notice of Proposed Amendments and Request for Comments

TSX -- Housekeeping Amendments to the TSX Company Manual -- Notice of Housekeeping Rule Amendments

Clearing Agencies

CDS -- Proposed Changes to CDS' schedule of fees regarding Entitlement and Corporate Action Events (E&CA) and ISIN Issuance and CDS Eligibility Services -- Notice of Commission Approval

CDCC -- Amendments to CDCC's Rules and Risk Manual Pertaining to CDOR and CORRA -- Notice of Request for Comment

CDS -- Technical Amendments to CDS Procedures -- Change for Nasdaq CXD Bring-On -- Notice of Effective Data

Chapter 25 - Other Information

Consents

Santa Maria Petroleum Inc. -- s. 4(b) of Ont. Reg. 289/00 made under the OBCA

Exemptions

AlphaPro Management Inc. and Horizons Absolute Return Global Currency ETF -- NI 41-101 General Prospectus Requirements, ss. 2.3(1.1), 19.1(2)

 

Top