Ontario Securities Commission Bulletin
Issue 40/16 - April 20, 2017
Ont. Sec. Bull. Issue 40/16
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 45-323 -- Update on Use of the Rights Offering Exemption in National Instrument 45-106 Prospectus Exemptions
• Steven J. Martel et al.
Notices of Hearing
• Crystal Wealth Management System Limited et al. -- s. 127(7), 127(8)
Notices of Hearing with Related Statements of Allegations
• Benedict Cheng et al. -- s.127(1)
Notices from the Office of the Secretary
• Black Panther Trading Corporation and Charles Robert Goddard
• MM Café Franchise Inc., Techocan International Co. Ltd., 1727350 Ontario Ltd., Marianne Godwin, Dave Garnet Craig and Haiyan (Helen) Gao Jordan
• Benedict Cheng, Frank Soave, John David Rothstein and Eric Tremblay
• Crystal Wealth Management System Limited
• Steven J. Martel, Martel Group of Companies Inc., and 8446997 Canada Inc.
• Benedict Cheng, Frank Soave, John David Rothstein and Eric Tremblay
• Crystal Wealth Management System Limited, Clayton Smith, CLJ Everest Ltd and 1150752 Ontario Limited
• Benedict Cheng et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Northwest & Ethical Investments L.P., Nei Northwest Macro Canadian Asset Allocation Fund and Nei Northwest Macro Canadian Asset Allocation Corporate Class
• Banwell Financial Inc. and Investia Financial Services Inc.
Orders
• Eurex Clearing AG -- s. 144
• Black Panther Trading Corporation and Charles Robert Goddard -- ss. 127, 127.1
• Crystal Wealth Management System Limited -- ss. 127(1), (5)
• Crystal Wealth Management System Limited -- ss. 127(1), (5)
• Crystal Wealth Management System Limited, Clayton Smith, CLJ Everest Ltd and 1150752 Ontario Limited -- ss. 127(7), (8)
Orders with Related Settlement Agreements
• Benedict Cheng et al. -- s.127(1)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Black Panther Trading Corporation and Charles Robert Goddard -- ss. 127, 127.1
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 6 - Request for Comments
• Notice and Request for Comments Regarding the Rules of Procedure and Forms and Practice Guideline of the Ontario Securities Commission
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
SROs
• IIROC -- Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression Requirements
Clearing Agencies
• Eurex Clearing AG
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