Ontario Securities Commission Bulletin
Issue 40/49 - December 07, 2017
Ont. Sec. Bull. Issue 40/49
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 11-337 Notice of Local Amendments and Changes in Alberta, Manitoba and New Brunswick
• Notice of Memorandum of Understanding Concerning Consultation Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Alternative Investment Fund Managers
• Land and Buildings Investment Management, LLC
• Joint CSA/IIROC Staff Notice 23-319 Internalization in the Canadian Market
• Notice of Ministerial Approval of Multilateral Instrument 91-102 Prohibition of Binary Options
• Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M -- Complying with requirements regarding the Ombudsman for Banking Services and Investments
Notices from the Office of the Secretary
• Sino-Forest Corporation et al.
• Land and Buildings Investment Management, LLC
• Omega Securities Inc.
• Land and Buildings Investment Management, LLC
• Earl Marek
• Omega Securities Inc.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Rosalind Advisors, Inc.
• Ninepoint Partners LP et al.
• Excel Funds Management Inc. and Sun Life Global Investments (Canada) Inc.
Orders
• Sino-Forest Corporation et al.
• Land and Buildings Investment Management, LLC
• Parametric Portfolio Associates LLC -- ss. 78(1) and 80 of the CFA
• Omega Securities Inc.
• Tembec Inc.
• Omega Securities Inc. -- s. 127(7)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Earl Marek
Director's Decisions
• Donald Mason
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 5 - Rules and Policies
• Multilateral Instrument 91-102 Prohibition of Binary Options
• Companion Policy 91-102 Prohibition of Binary Options
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
• Canadian Securities Exchange -- Amendments to Trading System Functionality & Features -- New Order Types -- Notice of Approval
Clearing Agencies
• CDS -- Technical Amendments to CDS Procedures -- Housekeeping Changes -- Notice of Effective Date
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