Ontario Securities Commission Bulletin
Issue 41/15 - April 12, 2018
Ont. Sec. Bull. Issue 41/15
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments
• CSA Staff Notice 61-303 and Request for Comment -- Soliciting Dealer Arrangements
• CSA Staff Notice 52-329 Distribution Disclosures and Non-GAAP Financial Measures in the Real Estate Industry
Notices of Hearing with Related Statements of Allegations
• Mackenzie Financial Corporation -- ss. 127, 127.1
• Muchoki Fungai Simba (also previously known as Henderson MacDonald Alexander Butcher) -- ss. 127(1), 127.1
Notices from the Office of the Secretary
• Sital Singh Dhillon
• Mackenzie Financial Corporation
• Muchoki Fungai Simba (also known as Henderson MacDonald Alexander Butcher)
• Muchoki Fungai Simba (also previously known as Henderson MacDonald Alexander Butcher)
• USI Tech Limited et al.
• Mackenzie Financial Corporation
• Crystal Wealth Management System Limited et al.
• USI Tech Limited et al.
• Dennis L. Meharchand and Valt.X Holdings Inc.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Lionguard Capital Management Inc.
• CI Investments Inc. et al.
Orders
• Muchoki Fungai Simba (also known as Henderson MacDonald Alexander Butcher)
• USI Tech Limited et al. -- s. 127(8)
• Dominion Citrus Limited -- s. 1(6) of the OBCA
• Chicago Mercantile Exchange Inc. et al. -- s. 144 of the OSA and ss. 38 and 78 of the CFA
• Investment Industry Regulatory Organization of Canada -- s. 144 of the Act and s. 78(1) of the CFA
• Mutual Fund Dealers Association of Canada/Association Canadienne des Courtiers de Fonds Mutuels -- s. 144
• Crystal Wealth Management System Limited et al. -- s. 127(8)
• Dennis L. Meharchand and Valt.X Holdings Inc. -- s. 127(1)
Orders with Related Settlement Agreements
• Mackenzie Financial Corporation -- ss. 127(1), 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Sital Singh Dhillon -- ss. 8(2), 8(3)
• Muchoki Fungai Simba (also known as Henderson MacDonald Alexander Butcher)
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 -- Republication of Proposed Amendments to Client Identification and Verification Requirements -- Request for Comment
• MFDA -- Requirements Relating to the Disclosure of MFDA Membership -- Notice of Commission Approval
• IIROC -- Variation and Restatement of Recognition Order -- Notice of Commission Approval
• MFDA -- Variation and Restatement of Recognition Order -- Notice of Commission Approval
Marketplaces
• CME Group Exchanges -- Notice of Commission Order
• CSE -- Notice of Approval of the Proposed Amendments to Policy 4 -- Corporate Governance and Miscellaneous Provisions
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