Ontario Securities Commission Bulletin
Issue 41/34 - August 23, 2018
Ont. Sec. Bull. Issue 41/34
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Staff Notice 33-749 Compliance and Registrant Regulation -- Annual Summary Report for Dealers, Advisers and Investment Fund Managers
• CSA Staff Notice 46-309 -- Bail-in Debt
• CSA Staff Notice 81-331 -- Investment Funds Investing in Bail-in Debt
Notices of Hearing with Related Statements of Allegations
• Roy Ping Bai and RBP Consulting -- ss. 127(1), 127(10)
• Vincent George Byrne -- ss. 127(1), 127(10)
• Jason Michael Currey et al. -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Brian Michael Sutton and Investment Industry Regulatory Organization of Canada
• Roy Ping Bai and RBP Consulting
• Vincent George Byrne
• Jason Michael Currey et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Brookfield Renewable Partners L.P.
• EHP Funds Inc. and Edgehill Partners
• Global Innovation Dividend Fund
• CIBC Asset Management Inc. and CIBC Multi-Asset Absolute Return Strategy
• Minto Apartment Real Estate Investment Trust
• Jarislowsky, Fraser Limited
• AGF Investments Inc. et al.
• I.G. Investment Management, Ltd. et al.
• CIBC Asset Management Inc. and Canadian Imperial Bank of Commerce
• Edgedhill Partners et al.
Orders
• Brian Michael Sutton and the Investment Industry Regulatory Organization of Canada -- ss. 8, 21.7
• Thomson Reuters Multilateral Trading Facility -- s. 147
• ICE Futures Canada, Inc. -- s. 144 of the OSA and s. 78 of the CFA
• ICE Clear Canada, Inc. -- s. 144
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Brian Michael Sutton and the Investment Industry Regulatory Organization of Canada -- ss. 8(3), 21.7
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
• Canadian Investor Protection Fund -- Request for Comment -- Proposed Amendments to CIPF By-Law No. 1
Marketplaces
• Thomson Reuters Multilateral Facility -- Application for Exemptive Relief -- Notice of Commission Interim Order
• ICE Futures Canada, Inc. -- Notice of Revocation Order
• ICE Clear Canada, Inc. -- Notice of Revocation Order
Clearing Agencies
• CDCC -- Amendments to Risk Manual of the Canadian Derivatives Clearing Corporation, Introducing an Amended Methodology to Compute Mismatched Settlement Risk
Chapter 25 - Other Information
Consents
• Focused Capital II Corp. -- s. 4(b) of the Regulation
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