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 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

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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