Ontario Securities Commission Bulletin
Issue 41/25 - June 21, 2018
Ont. Sec. Bull. Issue 41/25
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 81-330 Status Report on Consultation on Embedded Commissions and Next Steps
Notices of Hearing
• Benedict Cheng et al. -- ss. 127(1), 127.1
Notices of Hearing with Related Statements of Allegations
• Caldwell Investment Management Ltd. -- ss. 127(1) and (2), 127.1
Notices from the Office of the Secretary
• Peter Volk
• Benedict Cheng et al.
• Royal Mutual Funds Inc.
• Wayne Loderick Bennett
• Clayton Smith
• Crystal Wealth Management System Limited et al.
• Caldwell Investment Management Ltd.
• Benedict Cheng et al.
• Benedict Cheng et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• AngelList, LLC and AngelList Advisors, LLC
Orders
• Wayne Loderick Bennett -- ss. 127(1), 127(10)
• Crystal Wealth Management System Limited et al.
• Pure Industrial Real Estate Trust
• US Cobalt Inc.
• Amundi Asset Management -- ss. 78(1) and 80 of the CFA
• Benedict Cheng et al.
Orders with Related Settlement Agreements
• Peter Volk -- ss. 127(1) and 127.1
• Royal Mutual Funds Inc. -- ss. 127(1), 127.1
• Clayton Smith -- ss. 127(1), 127.1(1)
• Benedict Cheng et al. -- ss. 127(1), 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Peter Volk -- ss. 127(1), 127.1
• Royal Mutual Funds Inc. -- ss. 127(1), 127.1
• Wayne Loderick Bennett -- ss. 127(1), 127(10)
• Clayton Smith -- ss. 127(1), 127.1(1)
• Benedict Cheng et al. -- ss. 127(1), 127.1
Chapter 4 - Cease Trading Orderss
• 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
SROs
• IIROC -- Housekeeping Amendments to UMIR Policy 7.1 -- Notice of Commission Deemed Approval
Clearing Agencies
• CDS -- Material Amendments to CDS Rules Related to Non-LVTS Settlement Agents -- Notice of Commission Approval
Chapter 25 - Other Information
Approvals
• Lynwood Capital Management Inc. -- s. 213(3)(b) of the LTCA
Top