Ontario Securities Commission Bulletin
Issue 40/26 - June 29, 2017
Ont. Sec. Bull. Issue 40/26
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• The Investment Funds Practitioner -- June 2017
• OSC Notice 11-777 Notice of Statement of Priorities for Financial Year to End March 31, 2018
Notices of Hearing with Related Statements of Allegations
• RBC Dominion Securities Inc. et al. -- ss. 127(1), 127(2)
Notices from the Office of the Secretary
• RBC Dominion Securities Inc. et al.
• Dennis L. Meharchand and Valt.X Holdings Inc.
• Dennis Wing
• RBC Dominion Securities Inc. et al.
• Nixon Lau et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• First Nations Finance Authority
• Secure Energy Services Inc. and Rene Amirault
• CI Investments Inc.
• Marquest Asset Management Inc.
• Scotia Managed Companies Administration Inc. and Moneda Latam Corporate Bond Fund
Orders
• Janus Capital Management LLC -- s. 6.1 of OSC Rule 91-502 Trades in Recognized Options
• Battle Mountain Gold Inc.
• Era Resources Inc.
• Borealis Exploration Limited -- s. 144(1)
• Bank of Montreal and The Bank of Nova Scotia -- s. 6. 1 of NI 62-104 Take-Over Bids and Issuer Bids
• NEX SEF Limited -- s. 147
• Bluewater Technologies Inc. -- s. 80 of the CFA
• Dennis L. Meharchand and Valt.X Holdings Inc.
• Dennis Wing
Orders with Related Settlement Agreements
• RBC Dominion Securities Inc. et al. -- ss. 127(1), 127(2)
• Nixon Lau et al. -- ss. 127, 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• RBC Dominion Securities Inc. et al. -- ss. 127(1), 127(2)
Director's Decisions
• Hanane Bouji -- s. 31
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
• Proposed Amendments to National Instrument 45-102 Resale of Securities, Proposed Changes to Companion Policy 45-102CP to National Instrument 45-102 Resale of Securities, Proposed Consequential Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, and Proposed Consequential Changes to National Policy 11-206 Process for Cease to be a Reporting Issuer Applications
• Proposed OSC Rule 72-503 Distributions Outside Canada and Proposed Companion Policy 72-503 Distributions Outside Canada
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
• MFDA -- Revised Proposed Requirements Relating to the Disclosure of MFDA Membership -- Request for Comment
• IIROC -- Rule Amendments to Facilitate the Investment Industry's Move to T+2 Settlement -- Notice of Commission Approval
Marketplaces
• Liquidnet Canada Inc. -- Significant Changes to Trading Functionality -- Notice of Approval
• Nasdaq CXC Limited -- Proposed Access to Nasdaq Fixed Income Trading System -- Request for Comment
• NEX SEF Limited -- Notice of Commission Order -- Application for Exemptive Relief
• TriAct Canada Marketplace LP -- Changes to the MATCHNow Trading System -- Notice of Proposed Changes and Request for Comment
Chapter 25 - Other Information
Approvals
• Level 3 Investment Management Inc. -- s. 213(3)(b) of the LTCA
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