Ontario Securities Commission Bulletin

Issue 40/14 - April 06, 2017

Ont. Sec. Bull. Issue 40/14

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers

• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments

• Notice of Ministerial Approval of NI 94-101 Mandatory Central Counterparty Clearing of Derivatives

Notices of Hearing

• Eco Oro Minerals Corp. -- ss. 21.7, 127

Notices of Hearing with Related Statements of Allegations

• Sentry Investments Inc. and Sean Driscoll -- ss. 127(1), 127.1

Notices from the Office of the Secretary

• Thomas Arthur Williams et al.

• Sentry Investments Inc. and Sean Driscoll

• Eco Oro Minerals Corp.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Mackenzie Financial Corporation and IPC Investment Corporation

• Manulife Asset Management Limited et al.

• 1832 Asset Management L.P.

• Mackenzie Financial Corporation et al.

• Hewlett Packard Enterprise Company

• BMO Investments Inc.

• Excel Funds Management Inc.

• Bloomberg Tradebook Canada Company

• Hewlett-Packard Enterprise Company

• Expo Event Holdco, Inc.

• OMERS Administration Corporation and OMERS Investment Management Inc.

• NGAM Canada LP

Orders

• Danier Leather Inc. -- s. 144

• RBC Global Asset Management Inc. and BlueBay Asset Management LLP -- ss. 78(1), 80 of the CFA

• Thomas Arthur Williams et al.

• Automative Finco Corp. (formerly Ressources Minières Augyva Inc. / Augyva Mining Resources Inc.) -- s. 1(11)(b)

• Eco Oro Minerals Corp. -- Rules 3, 6, 11 and 14 of the OSC Rules of Practice

Rulings

• J.P. Morgan Securities LLC -- s. 38 of the CFA

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

• Thomas Arthur Williams et al. -- ss. 127(1), 127(10)

Director's Decisions

• Christopher Aqui

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

• NI 94-101 Mandatory Central Counterparty Clearing of Derivatives

• Companion Policy 94-101 Mandatory Central Counterparty Clearing of Derivatives

Chapter 6 - Request for Comments

• Proposed NI 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives: Business Conduct

Chapter 7 - Insider Reporting

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

• Registrants

Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories

SROs

• IIROC -- Proposed Amendments Relating to Personal Financial Dealings with Clients -- Notice of Withdrawal

Marketplaces

• TSX -- Amendments to TSX Company Manual -- Request for Comments

• TSX -- Housekeeping Amendments to the TSX Rule Book -- Notice of Housekeeping Rule Amendments

• Liquidnet Canada -- Notice of Proposed Changes and Request for Comment

• Bloomberg Tradebook Canada Company -- Filing of Form 21-101F4 -- Notice of Cessation of ATS Business

• TSX Inc. -- Proposed Amendments to TSX Rule Book -- OSC Staff Notice and Request for Comments

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