Ontario Securities Commission Bulletin
Issue 32/36 - September 04, 2009
Ont. Sec. Bull. Issue 32/36
• Current Proceedings Before The Ontario Securities Commission
• CSA Staff Notice 33-315 -- Suitability Obligation and Know Your Product
• Rogers Communications Inc. -- s. 104(2)(c)
• Cypress Development Corp. -- s. 1(11)(b)
• James Richard Elliott -- s. 127(1), 127(10)
• W.J.N. Holdings Inc. et al. -- ss. 127(1), 127 (8), 144
• Lyndz Pharmaceuticals Inc. et al. -- ss. 127(1), 127(8)
• UBS Global Asset Management (Americas) Inc. et al. -- s. 80 of the CFA
• UBS Global Asset Management (Canada) Inc. et al. -- ss. 3.1(1), 80 of the CFA
• Uxbridge Capital Funding Inc. -- s. 26(3)
• James Richard Elliott -- 127(1), 127(10)
• Temporary, Permanent & Rescinding Issuer Cease Trading Orders
• Temporary, Permanent & Rescinding Management Cease Trading Orders
• MFDA Hearing Panel Makes Findings Against Wayne Larson
• TSX Notice of Approval -- Housekeeping Amendments to the TSX Company Manual
• CDS Rule Amendment Notice -- Technical Amendments to CDS Procedures -- CDS Test Region Facilities
• Material Amendments to CDS Procedures -- FINet Intraday Netting -- Request for Comments
• MFDA Issues Notice of Settlement Hearing Regarding Douglas St. Arnault