Securities Law & Instruments

FILE NO.: 2018-36

 

IN THE MATTER OF

CALDWELL INVESTMENT MANAGEMENT LTD.

 

Robert P. Hutchison, Commissioner and Chair of the Panel

 

July 5, 2018

 

ORDER

(Subsections 127(1) and (2) and

Section 127.1 of the

Securities Act, RSO 1990, c S.5)

 

                WHEREAS on July 3, 2018, the Ontario Securities Commission (Commission) held a hearing at the offices of the Commission, located at 20 Queen Street West, 17th Floor, Toronto, Ontario;

 

                ON HEARING the submissions of the represen-tatives for Staff of the Commission (Staff) and for Caldwell Investment Management Ltd. (Caldwell), including that on July 3, 2018 Staff disclosed to Caldwell non-privileged, relevant documents and things in the possession or control of Staff (Staff’s Disclosure);

 

                IT IS ORDERED THAT:

 

1.             Caldwell shall serve and file a motion, if any, regarding Staff’s Disclosure or seeking disclosure of additional documents by no later than October 5, 2018;

 

2.             Staff shall file and serve a witness list, and serve a summary of each witnesses’ anticipated evidence on Caldwell, and indicate any intention to call any expert witnesses by no later than October 11, 2018; and

 

3.             The Second Attendance in this matter is scheduled for October 18, 2018 at 10:00 a.m., or on such other date and time as may be agreed by the parties and set by the Office of the Secretary.

 

“Robert P. Hutchison”