Ontario Securities Commission Bulletin
Issue 40/19 - May 11, 2017
Ont. Sec. Bull. Issue 40/19
Table of Contents
Chapter 1 - Notices / News Releases
Notices of Hearing with Related Statements of Allegations
• Dennis Wing -- ss. 127, 127.1
Notices from the Office of the Secretary
• Issam El-Bouji et al.
• Benedict Cheng et al.
• Home Capital Group Inc. et al.
• Edward Furtak et al.
• Dennis Wing
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Northwest & Ethical Investments L.P.
• RBC Global Asset Management Inc.
• BMO Investments Inc.
• Russell Investments Canada Limited
• Nasdaq CXC Limited
• Cantor Fitzgerald & Co.
• Excel Funds Management Inc.
• Excel Funds Management Inc.
• Excel Funds Management Inc. et al.
• William Blair & Company, L.L.C.
• Ubisoft Entertainment S.A.
• LOGiQ Asset Management Ltd. and Canadian 50 Advantaged Preferred Share Fund
• Canada Jetlines Ltd.
Orders
• Luna Gold Corp.
• Benedict Cheng et al.
• Home Capital Group Inc. et al.
• Edward Furtak et al. -- ss. 127, 127.1
• Augustine Ventures Inc. -- s. 1(6) of the OBCA
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Issam El-Bouji et al.
• Edward Furtak et al. -- 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 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
• Canadian Securities Exchange -- Significant Change Subject to Public Comment -- Amendments to Trading System Functionality & Features -- Notice and Request for Comment
• Canadian Securities Exchange -- Significant Change Subject to Public Comment -- Amendments to Trading System Functionality & Features -- Notice and Request for Comment
• Aequitas NEO Exchange Inc. -- Amendments to Trading Policies -- Auto Execution Facility -- Update
• TSX -- Amendments to Parts IV, VI, and IX, Form 12 and Appendix B of the TSX Company Manual -- Notice of Housekeeping Amendments
Chapter 25 - Other Information
Approvals
• eQuaTe Asset Management Inc. -- s. 213(3)(b) of the LTCA
Top