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 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

Aequitas NEO Exchange Inc. -- Amendments to Trading Policies -- Notice of Approval

 

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