Ontario Securities Commission Bulletin
Issue 41/32 - August 09, 2018
Ont. Sec. Bull. Issue 41/32
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
Notices from the Office of the Secretary
• Money Gate Mortgage Investment Corporation et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Royal National Insurance Company Ltd.
• First Asset Investment Management Inc. and First Asset Morningstar US Consumer Defensive Index Fund
• Canoe Financial LP
• Royal Warranty Company Ltd.
Orders
• American Express Canada Credit Corporation
• Nuveen Asset Management, LLC -- s. 80 of the CFA
• Franklin Templeton Investments Corp. et al. -- ss. 78(1) and 80 of the CFA
• Shoppers Drug Mart Corporation
• Money Gate Mortgage Investment Corporation et al.
• Matamec Explorations Inc.
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
SROs
• IIROC -- Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities -- Notice of Commission Approval
• IIROC -- Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations -- Request for Comment
Marketplaces
• CSE -- Amendments to Trading System Functionality and Features -- Significant Change Subject to Public Comment -- Notice and Request for Comment
• CSE -- Application of Continued Listing Requirements -- Notice of Approval
• Aequitas NEO Exchange -- Proposed Trading of Foreign-Listed Structured Products -- OSC Staff Notice of Request for Comment
Clearing Agencies
• CDS -- Technical Amendments to CDS Procedures -- Housekeeping Changes -- Notice of Effective Date
Chapter 25 - Other Information
Consents
• Montan Mining Corp. -- s. 4(b) of Ont. Reg. 289/00 under the OBCA
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