Ontario Securities Commission Bulletin
Issue 41/24 - June 14, 2018
Ont. Sec. Bull. Issue 41/24
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 46-308 Securities Law Implications for Offerings of Tokens
Notices of Hearing with Related Statements of Allegations
• Clayton Smith -- ss. 127(1), 127.1(1)
• Royal Mutual Funds Inc. -- ss. 127(1), 127.1
• Peter Volk -- ss. 127(1), 127.1
Notices from the Office of the Secretary
• Issam El-Bouji
• IPC Securities Corporation and IPC Investment Corporation
• Clayton Smith
• Royal Mutual Funds Inc.
• Donna Hutchinson et al.
• Peter Volk
Chapter 2 - Decisions, Orders and Rulings
Decisions
• BMO Investments Inc.
• TD Waterhouse Private Investment Counsel Inc.
• BMO Investments Inc.
• The Stars Group Inc.
• Jarislowsky, Fraser Limited
• GoldPoint Partners Select Manager Canada Fund IV, LP and Newbury Equity Partners IV L.P.
• Canoe Financial LP and the Canoe Mutual Funds listed in Schedule A
• CWB Wealth Management Ltd.
• Lysander Funds Limited
• PIMCO Canada Corp. and RBC Dominion Securities Inc.
• Veolia Environnement S.A.
Orders
• CanniMed Therapeutics Inc.
• Jarislowsky, Fraser Limited
• Issam El-Bouji
• Wellington Management Canada ULC and Wellington Management Company LLP -- s. 80 of the CFA
• Donna Hutchinson et al.
Orders with Related Settlement Agreements
• IPC Securities Corporation and IPC Investment Corporation -- s. 127(1)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• IPC Securities Corporation and IPC Investment Corporation -- 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 6 - Request for Comments
• CSA Notice and Second Request for Comment -- Proposed National Instrument 93-101 Derivatives: Business Conduct and Proposed Companion Policy 93-101CP Derivatives: Business Conduct
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
• TSX -- Consultation Paper on Public Company Acquisitions
Clearing Agencies
• CDS -- Technical Amendments to CDS Procedures -- Housekeeping Changes -- Notice of Effective Date
• CDS -- Material Amendments to CDS Rules Related to the Elective System Operating Cap for Extenders of Credit -- Notice of Commission Approval
• CDS -- Proposed Amendments to the CDS Fee Schedule -- New York Link/DTC Direct Link Services -- OSC Staff Notice of Request for Comment
Chapter 25 - Other Information
Approvals
• Peregrine Investment Management Inc. -- s. 213(3)(b) of the LTCA
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