Ontario Securities Commission Bulletin
Issue 40/04 - January 26, 2017
Ont. Sec. Bull. Issue 40/04
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 54-305 Meeting Vote Reconciliation Process
• Notice of Arrangements Regarding the Access, Collection, Storage and Use of Derivatives Data
Notices from the Office of the Secretary
• Michael Patrick Lathigee et al.
• Lance Kotton and Titan Equity Group Ltd.
• AAOption et al.
• Danish Akhtar Soleja et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• National Bank Investments Inc.
• Hampton Securities Limited et al.
• Sun Life Assurance Company of Canada and Sun Life Capital Trust
• The Manufacturers Life Insurance Company and Manulife Financial Capital Trust II
Orders
• Michael Patrick Lathigee et al.
• GuestLogix Inc. -- s. 144
• GuestLogix Inc.
• Lance Kotton and Titan Equity Group Ltd.
• AAOption et al.
• Inovio Pharmaceuticals, Inc.
• Danish Akhtar Soleja et al.
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• CIBC World Markets 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 5 - Rules and Policies
• CSA Notice of Approval -- Amendments to National Instrument 23-101 Trading Rules and Companion Policy 23-101CP to National Instrument 23-101 Trading Rules
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
• Aequitas NEO Exchange Inc. -- Amendments to Trading Policies -- Notice of Approval
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