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 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

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

 

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