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 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

Clearing Agencies

CDS -- Material Amendments to CDS Rules -- Automatic and Discretionary Suspension -- Notice of Commission Approval

 

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