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 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

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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