Ontario Securities Commission Bulletin
Issue 41/50 - December 13, 2018
Ont. Sec. Bull. Issue 41/50
Table of Contents
Chapter 1 - Notices
Notices
• CSA Staff Notice 13-315 (Revised) Securities Regulatory Authority Closed Dates 2019
• Notice of Arrangements Regarding the Access, Collection, Storage and Use of Derivatives Data
• Majd Kitmitto et al.
Notices of Hearing
• Andrew Paul Rudensky -- s. 21.7
Notices of Hearing with Related Statements of Allegations
• Michelle Dunk -- ss. 127(1), 127(10)
• USI-Tech Limited -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Michelle Dunk
• Larry Lee
• USI-Tech Limited
• Majd Kitmitto et al.
• Andrew Paul Rudensky
• Questrade Wealth Management Inc.
• Majd Kitmitto et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Claret Asset Management Corporation
• BloombergSen Inc.
• Fiera Capital Corporation
• Caldwell Investment Management Ltd.
Orders
• Larry Lee -- ss. 127(1), 127(10)
• Brandywine Global Investment Management, LLC et al. -- s. 80 of the CFA
• Gazit Canada Financial Inc.
• Majd Kitmitto et al.
Rulings
• Bruce Power L.P. -- s. 78 of the CFA
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions
• Larry Lee -- ss. 127(1), 127(10)
• Questrade Wealth Management Inc. -- ss. 127(1), 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 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 Sample Auditor's Reports in Form 1 -- Notice of Commission Deemed Approval
• IIROC -- Proposed Amendments Respecting the Provision of Price Improvement by a Dark Order -- Request for Comment
Chapter 25 - Other Information
Exemptions
• CWB Wealth Management Ltd. -- s. 8.1 of OSC Rule 13-502 Fees
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