Proceedings

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PDF Version

 

FILE NO.: 2018-36

 

IN THE MATTER OF
CALDWELL INVESTMENT MANAGEMENT LTD.

D. Grant Vingoe, Vice-Chair and Chair of the Panel

April 15, 2019

ORDER

WHEREAS on April 15, 2019, the Ontario Securities Commission (the 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 representatives for Staff of the Commission (Staff) and for Caldwell Investment Management Ltd. (the Respondent), appearing in person;

IT IS ORDERED THAT:

  1. The hearing dates scheduled for July 8, 9, 11, 12, 15, 16, 18, 19, 29 and 30, 2019 and all deadlines arising after today’s date that were in effect and that have not yet been complied with, are vacated;
  2. the Respondent shall serve on Staff the Respondent’s bond expert report no later than May 13, 2019;
  3. Staff shall serve any expert reports in reply to the Respondent’s previously delivered equities expert report, no later than May 24, 2019;
  4. Staff shall serve any expert reports in reply to the Respondent’s bond expert report no later than June 28, 2019;
  5. each party shall serve the other party with a hearing brief containing copies of the documents, and identifying the other things, that the party intends to produce or enter as evidence at the merits hearing no later than July 3, 2019;
  6. each party shall provide to the Registrar a copy of an index to the party’s hearing brief no later than July 8, 2019;
  7. an attendance is scheduled for July 11, 2019 at 10:00 a.m. or such other dates and times as provided by the Office of the Secretary and agreed to by the parties; and
  8. each party shall provide to the Registrar the electronic documents that the party intends to rely on or enter into evidence at the merits hearing, along with an index file, in accordance with the Protocol for E-hearings, no later than July 23, 2019.
 
" D. Grant Vingoe "
D. Grant Vingoe