Ontario Securities Commission Bulletin
Issue 41/14 - April 05, 2018
Ont. Sec. Bull. Issue 41/14
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 51-354 Report on Climate change-related Disclosure Project
• OSC Notice 11-780 -- Statement of Priorities -- Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2019
Notices of Hearing with Related Statements of Allegations
• David Tuan Seng Lim and Michael Mugford -- ss. 127(1), 127(10)
• Martin Bernholtz -- ss. 127(1), 127.1
Notices from the Office of the Secretary
• David Tuan Seng Lim and Michael Mugford
• Martin Bernholtz
• Brian Michael Sutton and Investment Industry Regulatory Organization of Canada
• Miles S. Nadal
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Arkema S.A.
• Brompton Funds Limited
• Franklin Templeton Investments Corp.
• Evolve Funds Group Inc.
• Beutel, Goodman & Company Ltd.
• Beutel, Goodman & Company Ltd.
• OceanRock Investments Inc.
Orders
• European Metals Corp. -- s. 144
• Brian Michael Sutton and Investment Industry Regulatory Organization of Canada -- ss. 8, 21.7
• Miles S. Nadal
Rulings
• MEAG MUNICH ERGO Asset Management GmbH
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 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories
SROs
• IIROC -- Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents -- Request for Comment
• IIROC -- Amendments to the Minimum Dealer Regulation Fee Component of IIROC's Dealer Member Fee Model -- Notice of Commission Approval
Clearing Agencies
• CDCC -- Omnibus Amendments to Rule A and D-6, The Operations, Risk and Default Manuals of the Canadian Derivatives Clearing Corporation, Introducing the Limited Clearing Members Category and Establishing Additional Recovery Powers (Recovery Phase 2)
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