Ontario Securities Commission Bulletin
Issue 40/03 - January 19, 2017
Ont. Sec. Bull. Issue 40/03
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 11-334 Notice of Local Amendments and Changes in Certain Jurisdictions
• Uranium308 Resources Inc. et al.
• The Investment Funds Practitioner -- December 2016 [Corrected]
• CSA Multilateral Staff Notice 51-347 -- Disclosure of cyber security risks and incidents
Notices of Hearing with Related Statements of Allegations
• Thomas Arthur Williams et al. -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Good Mining Exploration Inc.
• Steven J. Martel et al.
• Uranium308 Resources Inc. et al.
• Thomas Arthur Williams et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• BKC Capital Inc. and Sun Life Institutional Investments (Canada) Inc.
Orders
• GoldON Resources Ltd. -- s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions and s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Dollarama Inc. and Canadian Imperial Bank of Commerce -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Good Mining Exploration Inc. -- s. 144
• Steven J. Martel et al. -- s. 127
• The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- s. 144
Rulings
• Foresters Investment Management Company, Inc. -- s. 74
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
• National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives and Related Companion Policy
• National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions and Related Companion Policy
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
• MFDA -- Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) -- OSC Staff Notice of Commission Approval
Clearing Agencies
• CDS -- Material Amendments to CDS Procedures Relating to Transfer Agents -- Notice of Approval
• The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- Variation Order
Chapter 25 - Other Information
Approvals
• MD Financial Management Inc. -- s. 213(3)(b) of the LTCA
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