Securities Law & Instruments

IN THE MATTER OF

CALDWELL INVESTMENT MANAGEMENT LTD.

 

Robert P. Hutchison, Commissioner and Chair of the Panel

 

October 18, 2018

ORDER

 

                WHEREAS on October 18, 2018, the Ontario Securities 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 and for Caldwell Investment Management Ltd. (the Respondent);

 

                IT IS ORDERED THAT:

 

1.             the Respondent shall file and serve a witness list, serve a summary of each witness’s anticipated evidence on Staff, and indicate any intention to call an expert witness no later than November 16, 2018;

 

2.             the parties shall file the e-hearing checklist for the hearing on the merits no later than December 7, 2018; and

 

3.             the third attendance in this matter is scheduled for December 17, 2018 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.

 

“Robert P. Hutchison”