Ontario Securities Commission Bulletin
Issue 40/01 - January 05, 2017
Ont. Sec. Bull. Issue 40/01
Table of Contents
Chapter 1 - Notices / News Releases
Notices of Hearing
• Good Mining Exploration Inc. -- s. 144
Notices of Hearing with Related Statements of Allegations
• Danish Akhtar Soleja et al. -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Danish Akhtar Soleja et al.
• RTG Direct Trading Group Ltd. and RTG Direct Trading Limited
• Lance Kotton and Titan Equity Group Ltd.
• Good Mining Exploration Inc.
• BMO Nesbitt Burns Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Vantage Asset Management Inc. and VPP Management Inc.
• Manulife Asset Management Limited
• Middlefield Healthcare & Wellness Dividend Fund
• RP Investment Advisors LP et al.
• Elm Park Capital Management, LLC et al.
• MUFG Securities Americas Inc.
Orders
• RTG Direct Trading Group Ltd. and RTG Direct Trading Limited -- ss. 127(1), 127(10)
• Lance Kotton and Titan Equity Group Ltd. -- ss. 127(7), 127(8)
• CGI Group Inc. and The Toronto-Dominion Bank -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Dollarama Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Mawson West Limited
• Goldeye Explorations Limited
• Authorization Order -- s. 3.5(3)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• RTG Direct Trading Group Ltd. and RTG Direct Trading Limited -- ss. 127(1), 127(10)
• BMO Nesbitt Burns Inc. et al. -- ss. 127(1), 127(2)
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
Marketplaces
• CNSX Markets Inc. -- Policy 2 Qualifications for Listing and Policy 3 Suspension Halts and Delistings -- Notice of Proposed Amendments and Request for Comment
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