Ontario Securities Commission Bulletin
Issue 40/29 - July 20, 2017
Ont. Sec. Bull. Issue 40/29
Table of Contents
Chapter 1 - Notices / News Releases
Notices of Hearing with Related Statements of Allegations
• Gregory Deacon -- ss. 127, 127.1
• Virginia Tan -- ss. 127(1), 127(10)
• EagleMark Ventures, LLC et al. -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Manulife Securities Incorporated and Manulife Securities Investment Services Inc.
• Pro-Financial Asset Management Inc. et al.
• Sino-Forest Corporation et al.
• Gregory Deacon
• Virginia Tan
• EagleMark Ventures, LLC et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• 1832 Asset Management L.P. et al.
• Wells Fargo Securities, LLC
Orders
• Pro-Financial Asset Management Inc. et al.
• Nesscap Energy Inc.
• Nesscap Energy Inc. -- s. 1(6) of the OBCA
• International Road Dynamics Inc.
Orders with Related Settlement Agreements
• Manulife Securities Incorporated and Manulife Securities Investment Services Inc.
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Sino-Forest Corporation et al.
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
• MFDA -- New MFDA Policy No. 8 (Proficiency Standard for Approved Persons Selling ETFs) -- OSC Staff Notice of Commission Approval
Clearing Agencies
• CDS -- Technical Amendments to CDS Procedures -- T+2 -- Notice of Effective Date
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