Notice of Hearing: In the Matter of Caldwell Investment Management Ltd.

FILE NO.: 2018-36

IN THE MATTER OF
CALDWELL INVESTMENT MANAGEMENT LTD.

NOTICE OF HEARING

Subsections 127(1) and (2) and Section 127.1 of the Securities Act, RSO 1990, c S.5

PROCEEDING TYPE: Public Settlement Hearing
HEARING DATE AND TIME: July 19, 2019 at 9:00am
LOCATION: 20 Queen Street West, 17th Floor, Toronto, Ontario

PURPOSE
The purpose of this hearing is to consider whether it is in the public interest for the Commission to approve the Settlement Agreement dated July 10, 2019, between Staff of the Commission and Caldwell Investment Management Ltd. in respect of the Statement of Allegations filed by Staff of the Commission dated June 12, 2018.

REPRESENTATION
Any party to the proceeding may be represented by a representative at the hearing.

FAILURE TO ATTEND
IF A PARTY DOES NOT ATTEND, THE HEARING MAY PROCEED IN THE PARTY’S ABSENCE AND THE PARTY WILL NOT BE ENTITLED TO ANY FURTHER NOTICE IN THE PROCEEDING.

FRENCH HEARING
This Notice of Hearing is also available in French on request of a party.  Participation may be in either French or English. Participants must notify the Secretary’s Office in writing as soon as possible if the participant is requesting a proceeding be conducted wholly or partly in French.

AVIS EN FRANÇAIS
L'avis d'audience est disponible en français sur demande d’une partie, que la participation à l'audience peut se faire en français ou en anglais et que les participants doivent aviser le Bureau du secrétaire par écrit dès que possible si le participant demande qu'une instance soit tenue entièrement ou partiellement en français.

Dated at Toronto this 10th day of July 2019.

For more information
Please visit www.osc.gov.on.ca or contact the Registrar at registrar@osc.gov.on.ca.