Ontario Securities Commission Bulletin
Issue 40/43 - October 26, 2017
Ont. Sec. Bull. Issue 40/43
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence
• Notice of Co-operation Agreement Concerning Innovative Fintech Businesses with the Abu Dhabi Global Market Financial Services Regulatory Authority
• Notice of Ministerial Approval of the Memorandum of Understanding Between Financial Planning Standards Council and Ontario Securities Commission
Notices of Hearing with Related Statements of Allegations
• Execution Access, LLC -- s. 127, 127.1
Notices from the Office of the Secretary
• Execution Access, LLC
• Execution Access, LLC
• Dennis L. Meharchand and Valt.X Holdings Inc.
• Donna Hutchinson et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Token Funder Inc.
• Cheverny Capital Inc. and Cordiant Capital Inc.
• BMG Management Services Inc. et al.
• Equium Capital Management Inc.
• Equium Capital Management Inc.
Orders
• OneREIT
• IMPACT Silver Corp. -- s. 1(11)(b)
• The Bank of Nova Scotia -- s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids
• Dennis L. Meharchand and Valt.X Holdings Inc. -- ss. 127(1)
• Donna Hutchinson et al.
Orders with Related Settlement Agreements
• Execution Access, LLC -- ss. 127, 127.1
Rulings
• EOX Holdings LLC -- s. 74(1)
• EOX Holdings LLC -- s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Execution Access, LLC -- ss. 127, 127.1
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
Marketplaces
• Nasdaq CXC Limited -- Proposed GEF Facility for an Exchange -- OSC Staff Notice and Request for Comment
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