Ontario Securities Commission Bulletin
Issue 40/37 - September 14, 2017
Ont. Sec. Bull. Issue 40/37
Table of Contents
Chapter 1 - Notices / News Releases
Notices from the Office of the Secretary
• Benedict Cheng et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Capital International Asset Management (Canada), Inc.
• CI Investments Inc.
Orders
• Benedict Cheng et al.
Rulings
• Barclays Bank PLC and Barclays Capital Inc. -- s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options
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
Clearing Agencies
• CDS -- Material Amendments to CDS Procedures -- The Continuous Net Settlement Default Fund -- Notice of Commission Approval
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