Securities Law & Instruments

OSC Bulletin Volume 40, Issue 37 (September 14, 2017)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7603
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 Notices of Hearing with Related Statements of Allegations (nil)
1.4 News Releases (nil)
1.5 Notices from the Office of the Secretary 7603
1.5.1 Benedict Cheng et al. 7603
1.6 Notices from the Office of the Secretary with Related Statements of Allegations (nil)
Chapter 2 Decisions, Orders and Rulings 7605
2.1 Decisions 7605
2.1.1 Capital International Asset Management (Canada), Inc. 7605
2.1.2 CI Investments Inc. 7611
2.2 Orders 7615
2.2.1 Benedict Cheng et al. 7615
2.3 Orders with Related Settlement Agreements (nil)
2.4 Rulings 7616
2.4.1 Barclays Bank PLC and Barclays Capital Inc. – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options 7616
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions (nil)
3.2 Director's Decisions (nil)
3.3 Court Decisions (nil)
Chapter 4 Cease Trading Orders 7629
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7629
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7629
4.2.2 Outstanding Management & Insider Cease Trading Orders 7629
Chapter 5 Rules and Policies

(nil)

Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7631
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7719
Chapter 12 Registrations 7725
12.1.1 Registrants 7725
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7727
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 7727
13.3.1 CDS – Material Amendments to CDS Procedures – The Continuous Net Settlement Default Fund – Notice of Commission Approval 7727
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 7729