Ontario Securities Commission Bulletin

Issue 40/40 - October 05, 2017

Ont. Sec. Bull. Issue 40/40

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• CSA Multilateral Staff Notice 58-309 Staff Review of Women on Boards and in Executive Officer Positions -- Compliance with NI 58-101 Disclosure of Corporate Governance Practices

Notices from the Office of the Secretary

• Khalid Walid Jawhari

• David Gregor McClure

• TCM Investments Ltd. et al.

• TCM Investments Ltd. et al.

• Pro-Financial Asset Management Inc. et al.

• Dennis L. Meharchand and Valt.X Holdings Inc.

• Sital Singh Dhillon

• EagleMark Ventures, LLC et al.

• David Gregor McClure

• Crystal Wealth Management System Limited et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• CI Investments Inc. and Assante Capital Management Ltd.

• The European Stability Mechanism and the European Financial Stability Facility

• Pentecostal Financial Services Group Inc. et al.

• Sentry Investments Inc.

• IA Clarington Investments Inc. and Investia Financial Services Inc.

• Pattern Energy Group Inc.

• The Royal Bank of Scotland PLC and National Westminster Bank PLC

Orders

• Novadaq Technologies Inc.

• Khalid Walid Jawhari

• David Gregor McClure -- ss. 127(1), 127(10)

• TCM Investments Ltd. et al. -- s. 127(8)

• TCM Investments Ltd. et al. -- s. 127(1)

• Bitumen Capital Inc.

• Pro-Financial Asset Management Inc. et al. -- s. 144

• CanAsia Financial Inc. -- s. 144

• INNOVA Gaming Group Inc.

• Dennis L. Meharchand and Valt.X Holdings Inc. -- s. 127(1)

• Sital Singh Dhillon

• Nodal Exchange, LLC -- s. 144 of the Act and s. 78 of the CFA

• Nodal Clear, LLC -- s. 144

• EagleMark Ventures, LLC et al. -- ss. 127(1), 127(10)

• Crystal Wealth Management System Limited et al. -- s. 127(8)

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

• EagleMark Ventures, LLC et al. -- ss. 127(1), 127(10)

• David Gregor McClure -- ss. 127(1), 127(10)

Director's Decisions

• Acker Finley Asset Management Inc. -- s. 31

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

Marketplaces

• Nodal Exchange, LLC and Nodal Clear, LLC -- Variation Orders -- Notice of Commission Order

Clearing Agencies

• Nodal Exchange, LLC and Nodal Clear, LLC -- Variation Orders -- Notice of Commission Order

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