Ontario Securities Commission Bulletin

Issue 40/08 - February 23, 2017

Ont. Sec. Bull. Issue 40/08

Table of Contents

Chapter 1 - Notices / News Releases

Notices from the Office of the Secretary

• Black Panther Trading Corporation and Charles Robert Goddard

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Goldman, Sachs & Co.

• UBS Securities LLC

Orders

• Brookfield Asset Management Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

• Brookfield Asset Management Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

• Brookfield Asset Management Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids

• Brigadier Gold Limited -- s. 144

• Black Panther Trading Corporation and Charles Robert Goddard

• Mettrum Health Corp.

Rulings

• Barclays Capital Inc. -- s. 38 of the CFA

• Citigroup Global Markets Inc. -- 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 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

• Canadian Securities Exchange -- Housekeeping Amendments to Rules, Policies and Forms -- Form 1B Listing Application

• Canadian Securities Exchange -- Housekeeping Amendments to Rules, Policies and Forms -- Policy 8

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