Ontario Securities Commission Bulletin
Issue 40/27 - July 06, 2017
Ont. Sec. Bull. Issue 40/27
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 23-318 Withdrawal of Proposed Amendments Regarding Best Execution Disclosure under National Instrument 23-101 Trading Rules
Notices of Hearing with Related Statements of Allegations
• Electrovaya Inc. and Sankar Das Gupta -- s.127
Notices from the Office of the Secretary
• Pro-Financial Asset Management Inc. et al.
• Electrovaya Inc. and Sankar Das Gupta
• Electrovaya Inc. and Sankar Das Gupta
Chapter 2 - Decisions, Orders and Rulings
Decisions
• TransCanada Corporation et al.
• Buffalo Coal Corp.
• LOGiQ Growth and Income Class et al.
• Excel Funds Management Inc. et al.
• Sprott Asset Management LP and SPR & Co LP
• Manulife Asset Management Limited et al.
Orders
• Pro-Financial Asset Management Inc. et al.
• Sprott Inc. -- s. 6.1 of National Instrument 62-104 Take-Over Bids and Issuer Bids
• Sirius XM Canada Holdings Inc.
• Mood Media Corporation
• Canyon Services Group Inc.
• Mountain Lake Minerals Inc. -- s. 144
• Western Areas Limited
• Sirius Xm Canada Holdings Inc. -- s. 1(6) of the OBCA
Orders with Related Settlement Agreements
• Electrovaya Inc. and Sankar Das Gupta -- s. 127(1)
Rulings
• Evolution Markets Futures LLC -- s. 38 of the CFA
• J.P. Morgan Securities LLC and J.P. Morgan Securities PLC. -- s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Electrovaya Inc. and Sankar Das Gupta -- s. 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 5 - Rules and Policies
• Amendment to National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives
Chapter 6 - Request for Comments
• CSA Notice and Request for Comment Relating to Designated Rating Organizations
• OSC Notice and Request for Comment Relating to Designated Rating Organizations -- Proposed Amendments to OSC Rule 33-506 (Commodity Futures Act) Registration Information
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 -- Amendments Respecting Best Execution -- Notice of Commission Approval
• IIROC -- Proposed Amendments Relating to Client Identification and Verification Requirements -- Request for Comment
Marketplaces
• Nasdaq CXC Limited -- Nasdaq CXD -- Changes to Form 21-101F2 to Reflect the Introduction of a Minimum Quantity Order -- Notice of Approval of Proposed Changes
Chapter 25 - Other Information
• DV Resources Ltd. -- s. 4(b) of Ont. Reg. 289/00 under the Business Corporations Act
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