Ontario Securities Commission Bulletin
Issue 41/43 - October 25, 2018
Ont. Sec. Bull. Issue 41/43
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Staff Notice 11-737 (Revised) -- Securities Advisory Committee -- Vacancies
Notices of Hearing with Related Statements of Allegations
• K2 & Associates Investment Management Inc. et al. -- ss. 127(1), 127.1
Notices from the Office of the Secretary
• K2 & Associates Investment Management Inc. et al.
• Caldwell Investment Management Ltd.
• K2 & Associates Investment Management Inc. et al.
• Dennis L. Meharchand and Valt.X Holdings Inc.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• CIBC Asset Management Inc.
• TerrAscend Corp.
• Desjardins Global Asset Management Inc. and the Desjardins Funds
• First Asset Investment Management Inc. et al.
• Tilt Holdings Inc. and Santé Veritas Holdings Inc.
• Ian Robertson et al.
Orders
• Franklin Advisers, Inc. et al. -- s. 80 of the CFA
• Caldwell Investment Management Ltd.
• ValGold Resources Ltd.
• PHH Corporation
Orders with Related Settlement Agreements
• K2 & Associates Investment Management Inc. et al. -- ss. 127(1), 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• K2 & Associates Investment Management Inc. et al. -- ss. 127(1), 127.1
• Dennis L. Meharchand and Valt.X Holdings Inc. -- s. 127(1)
Director's Decisions
• Glenn Coulson
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 Request for Comment -- Proposed Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Custody-Related Amendments
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter - 12 Registrations
• Registrants
Chapter 25 - Other Information
Approvals
• Ullman Wealth Management Inc. -- s. 213(3)(b) of the LTCA
Top