Ontario Securities Commission Bulletin
Issue 40/28 - July 13, 2017
Ont. Sec. Bull. Issue 40/28
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• National Instrument 24-101 Institutional Trade Matching and Settlement -- Notice of Ministerial Approval
• OSC Staff Notice 33-748 Compliance and Registrant Regulation -- Annual Summary Report for Dealers, Advisers and Investment Fund Managers
• CSA Staff Notice 31-349 Change to Standard Form Reports for Close Supervision and Strict Supervision Terms and Conditions
• CSA Staff Notice 33-320 The Requirement for True and Complete Applications for Registration
• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments
Notices of Hearing
• Hanane Bouji et al. -- s. 8
Notices of Hearing with Related Statements of Allegations
• Manulife Securities Incorporated and Manulife Securities Investment Services Inc. -- ss. 127(1), 127(2)
Notices from the Office of the Secretary
• Money Gate Mortgage Investment Corporation et al.
• TCM Investments Ltd. et al.
• Manulife Securities Incorporated and Manulife Securities Investment Services Inc.
• Hanane Bouji et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• NGAM Canada LP et al.
• Desjardins Investments Inc. and Desjardins Québec Balanced Fund
• Manulife Asset Management Limited et al.
• TransCanada Corporation -- s. 5.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions
• The Intertain Group Limited
• Canadian Natural Resources Limited
• Frankly Inc.
Orders
• Eleven Biotherapeutics, Inc.
• TCM Investments Ltd. et al. -- s. 127(8)
• Savanna Energy Services Corp.
Rulings
• TFS Energy Futures LLC -- s. 38 of the CFA
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Money Gate Mortgage Investment Corporation et al. -- s. 127(1)
Director's Decisions
• Kashmir Singh Marok
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
SROs
• IIROC -- Proposed Amendments Relating to the New Methodology for Margining Equity Securities -- Notice of Withdrawal
• IIROC -- Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits
• IIROC -- Proposed Amendments to Simplify the Equity Margin Project Notice of Withdrawal
• IIROC -- Proposed Dark Rules Anti-Avoidance Provision -- Notice of Withdrawal
Marketplaces
• TSX -- Housekeeping Amendments to the TSX Rule Book -- Notice of Housekeeping Rule Amendments
• TSX -- Amendments to the TSX Company Manual -- Notice of Housekeeping Rule Amendments
Clearing Agencies
• CDCC -- Amendments Related to Establishing the Recovery Powers -- Notice of Commission Approval
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