Ontario Securities Commission Bulletin
Issue 40/11 - March 16, 2017
Ont. Sec. Bull. Issue 40/11
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Multilateral Staff Notice 51-349 Report on the Review of Investment Entities and Guide for Disclosure Improvements
Notices from the Office of the Secretary
• Krishna Sammy
• Mark Steven Rotstein and Equilibrium Partners Inc.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Total S.A.
• McEwen Mining Inc.
• Compagnie de Saint-Gobain
• Horizons ETFs Management (Canada) Inc. and AlphaPro Management Inc.
• Schneider Electric S.E.
• Sierra Wireless, Inc.
• American Hotel Income Properties REIT LP
Orders
• Janus Capital Management LLC -- s. 80 of the CFA
• Krishna Sammy
• Mark Steven Rotstein and Equilibrium Partners Inc.
• Estrella International Energy Services Ltd.
• Royal Bank of Canada and The Toronto-Dominion Bank -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Royal Bank of Canada and The Bank of Nova Scotia -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Global Diversified Investment Grade Income Trust II
Rulings
• ABN AMRO Clearing Chicago LLC -- ss. 38 and 73 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options
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 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
Clearing Agencies
• CDS -- Material Amendments to CDS Rules -- Automatic and Discretionary Suspension -- Notice of Commission Approval
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