Ontario Securities Commission Bulletin
Issue 40/22 - June 01, 2017
Ont. Sec. Bull. Issue 40/22
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Amendments -- Bills 70 and 127
• CSA Staff Notice 33-319 Status Report on CSA Consultation Paper 33-404 Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives Toward Their Clients
Notices of Hearing with Related Statements of Allegations
• Lance Kotton -- ss. 127, 127.1
• Nelson Peter Bradbury -- ss. 127(1), 127(10)
• Jonathan Financial Inc. and Gregory Frederick Hilderman -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Lance Kotton
• Danish Akhtar Soleja et al.
• TCM Investments Ltd. carrying on business as OptionRally et al.
• Nelson Peter Bradbury
• Quadrexx Hedge Capital Management Ltd. et al.
• Jonathan Financial Inc. and Gregory Frederick Hilderman
• Lance Kotton
• AAOption et al.
• Money Gate Mortgage Investment Corporation et al.
• Krishna Sammy
Chapter 2 - Decisions, Orders and Rulings
Decisions
• BlackRock Asset Management Canada Limited
• CI Investments Inc.
• Investment Management Corporation of Ontario
• Manulife Financial Capital Trust II et al.
• RBC Dominion Securities Inc. et al.
Orders
• Lance Kotton
• Danish Akhtar Soleja et al.
• Champion Exchange Limited
• TCM Investments Ltd. carrying on business as OptionRally et al. -- ss. 127(7)
• Quadrexx Hedge Capital Management Ltd. et al.
• Orbus Pharma Inc. -- s. 144
• AAOption et al. -- ss. 127(1), 127(10)
• White Gold Corp. -- s. 1(11)
• Money Gate Mortgage Investment Corporation et al. -- ss. 127(7), 127(8)
• Golden Credit Card Trust
• Nobel Real Estate Investment Trust
• Infor Acquisition Corp. -- s. 1(6) of the OBCA
• European Commercial Real Estate Limited
Orders with Related Settlement Agreements
• Lance Kotton -- ss. 127, 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Danish Akhtar Soleja et al. -- ss. 127(1), 127(10)
• AAOption et al. -- ss. 127(1), 127(10)
• Krishna Sammy -- s. 8(3)
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 9 - Legislation
• Bill 70, Building Ontario Up for Everyone Act (Budget Measures), 2016
• Bill 127, Stronger, Healthier Ontario Act (Budget Measures), 2017
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
Marketplaces
• Nasdaq CXC Limited -- Notice of Proposed Changes and Request for Comment
• TSX -- Amendments to TSX Company Manual -- Request for Comments
Clearing Agencies
• CDS -- Material Amendments to CDS Procedures Related to the Continuous Net Settlement Default Fund -- OSC Staff Notice of Request for Comment
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