Ontario Securities Commission Bulletin
Issue 40/12 - March 23, 2017
Ont. Sec. Bull. Issue 40/12
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Notice 11-777 -- Statement of Priorities -- Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2018
Notices from the Office of the Secretary
• Larry Keith Davis
• Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa)
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Restaurant Brands International Inc.
• Excel Funds Management Inc. and Excel Latin America Fund
• UBS Securities LLC
Orders
• Larry Keith Davis
• Ayaz Dhanani (also known as Azim Virani, Michael Lee, Alex Nebris, Paul Dhanani, Samuel Ramos, and Rahim Jiwa)
• Ryan Labs Asset Management Inc. -- s. 80 of the CFA
• InterOil Corporation
• Column Canada Issuer Corporation
• 5Banc Split Inc. -- s. 1(6) of the OBCA
• Magna International Inc. and CIBC World Markets Inc. -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
Rulings
• Credit Suisse Securities (USA) 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 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
Marketplaces
• Aequitas NEO Exchange Inc. -- Proposed Amendments to Trading Policies -- OSC Staff Notice and Request for Comment
Clearing Agencies
• CDS -- Material Amendments to CDS Procedures -- CDS-DTCC Payment Service -- Notice of Commission Approval
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