Ontario Securities Commission Bulletin

Issue 40/07 - February 16, 2017

Ont. Sec. Bull. Issue 40/07

Table of Contents

Chapter 1 - Notices / News Releases

Notices

Notice of Ministerial Approval of Amendments to Ontario Securities Commission Rule 13-502 Fees and Ontario Securities Commission Rule 13-503 (Commodity Futures Act) Fees

Notice of Ministerial Approval of Amendments to National Instrument 81-102 Investment Funds and National Instrument 81-101 Mutual Fund Prospectus Disclosure

Notice of Ministerial Approval of Amendments to National Instrument 41-101 General Prospectus Requirements and National Instrument 81-106 Investment Fund Continuous Disclosure

Notice of Ministerial Approval of the Multilateral Arrangement for Regulatory, Supervisory and Oversight Cooperation on LCH.Clearnet Ltd

Notices from the Office of the Secretary

Black Panther Trading Corporation and Charles Robert Goddard

Chapter 2 - Decisions, Orders and Rulings

Decisions

CI Investments Inc. et al.

American Hotel Income Properties REIT LP

Chicago Mercantile Exchange Inc. -- s. 42 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting

DTCC Data Repository (U.S.) LLC -- s. 42 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting

Credit Suisse Securities (USA) LLC and Credit Suisse Prime Securities Services (USA) LLC

BNP Paribas Prime Brokerage, Inc.

Sirius XM Canada Holdings Inc. and 2517835 Ontario Inc.

Orders

Sparrow Ventures Corp. -- s. 144

Black Panther Trading Corporation and Charles Robert Goddard

DirectCash Payments ULC

Rulings

RBS Securities Inc. -- s. 38 of the CFA

UBS Securities LLC -- s. 38 of the CFA

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

Amendments to OSC Rule 13-502 Fees and OSC Rule 13-503 (Commodity Futures Act) Fees

Amendments to National Instrument 81-102 Investment Funds

Amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure

Amendments to National Instrument 41-101 General Prospectus Requirements

Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure

Chapter 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 9 - Legislation

Ontario Regulation 446/16, amending Ontario Regulation 1015

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

Registrants

Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories

SROs

IIROC -- Universal Market Integrity Rules -- Amendments Respecting Designations and Identifiers -- Notice of Commission Approval

Marketplaces

Canadian Securities Exchange -- Market Maker Participation and Peg Orders -- Notice of Approval

Clearing Agencies

CDCC -- Proposed Amendments to Sections A-102, A-1A09, Rule A-6 and Default Manual, and New Section A-411 and New Rule A-10 Establishing the Recovery Powers -- OSC Staff Notice of Request for Comment

 

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