Ontario Securities Commission Bulletin
Issue 40/06 - February 09, 2017
Ont. Sec. Bull. Issue 40/06
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 24-315 Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets
• Notice of Correction -- Mackenzie Financial Corporation et al.
Notices from the Office of the Secretary
• William Raymond Malone
• Lance Kotton
• Edward Furtak et al.
• Quadrexx Hedge Capital Management Ltd. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Credit Suisse Securities (USA) LLC
• Citigroup Global Markets Inc.
• Helius Medical Technologies, Inc.
• Entertainment One Ltd.
• Instinet Canada Cross Limited
• Tobias Lütke
• Middlefield Limited
Orders
• Authorization Order -- s. 3.5(3)
• William Raymond Malone -- ss. 127(1), 127(10)
• DEQ Systems Corp. -- s. 1(10)(a)(ii)
• Irish Life Investment Managers Limited -- s. 80 of the CFA
• Response Biomedical Corp.
• Lance Kotton -- s. 127(7) and (8)
• Counsel Portfolio Services Inc. and Irish Life Investment Managers Limited -- s. 80 of the CFA
• Edward Furtak et al.
Rulings
• Goldman, Sachs & Co. -- s. 38 of the CFA
• HSBC Securities (USA) Inc. -- s. 38 of the CFA
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• William Raymond Malone -- ss. 127(1), 127(10)
• Quadrexx Hedge Capital Management Ltd. et al. -- s. 126(1)(b)
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 25 - Other Information
• Razor Energy Corp. -- s. 4(b) of the Regulation
Top