Ontario Securities Commission Bulletin
Issue 41/19 - May 10, 2018
Ont. Sec. Bull. Issue 41/19
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Ministerial Approval of Memorandum of Understanding -- Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Clearing Agencies Operating as Central Counterparties in Ontario and Germany
Notices of Hearing
• Harald Seemann et al. -- ss. 127, 127.1
Notices of Hearing with Related Statements of Allegations
• Wayne Loderick Bennett -- ss. 127(1), 127(10)
• Harald Seemann et al. -- ss. 127, 127.1
Notices from the Office of the Secretary
• Wayne Loderick Bennett
• Donna Hutchinson et al.
• Harald Seemann et al.
• Harald Seemann et al.
• Money Gate Mortgage Investment Corporation et al.
• Harald Seemann et al.
• Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management)
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Norrep Capital Management Ltd.
• Mackenzie Finanacial Corporation and Mackenzie Multi-Strategy Absolute Return Fund
• Pentair plc
• Vanguard Investments Canada Inc. et al.
• Alliance Pipeline Limited Partnership
• Banro Corporation and Banro Corporation Ltd
• Royal Gold, Inc.
Orders
• Pine Point Mining Limited -- s. 1(6) of the OBCA
• Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) -- ss. 127(1), 127(10)
• Nuuvera Inc.
Orders with Related Settlement Agreements
• Harald Seemann et al. -- ss. 127(1), 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Donna Hutchinson et al. -- s. 127(1)
• Harald Seemann et al. -- ss. 127(1), 127.1
• Lynne Rae Nickford (aka Lynne Rae Zlotnik dba Lynne Zlotnik Wealth Management) -- ss. 127(1), 127(10)
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
• Aequitas NEO Exchange Inc. -- Amendments to Listing Manual -- Notice of Approval
• TriAct Canada Marketplace LP -- Change to the MATCHNow Trading System -- Notice of Proposed Change and Request for Comment
• Liquidnet Canada Inc. -- Significant Changes to Bond Trading Functionality -- Notice of Approval
Clearing Agencies
• CDS -- Technical Amendments to CDS Procedures -- Canadian Securities Exchange Buy-Ins -- Notice of Effective Date
Top