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 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 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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