Ontario Securities Commission Bulletin
Issue 35/19 - May 10, 2012
Ont. Sec. Bull. Issue 35/19
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
Notices of Hearing
• Vincent Ciccone et al. -- ss. 127, 127.1
News Releases
• Trapeze Asset Management Inc., Randall Abramson and Herbert Abramson Settle with the Ontario Securities Commission
• Joint Statement on Regulation of OTC Derivatives Markets
Notices from the Office of the Secretary
• Fibrek Inc. and the Toronto Stock Exchange
• Shane Suman and Monie Rahman
• Jowdat Waheed and Bruce Walter
• International Strategic Investments et al.
• Beryl Henderson
• Vincent Ciccone et al.
• Ciccone Group et al.
• 2196768 Ontario Ltd et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• First Asset Investment Management Inc. and First Asset Canadian Dividend Opportunity Fund
• Sprott Asset Management LP and Sprott Physical Platinum and Palladium Trust
• BlackRock Investments Canada Inc. et al.
• Sprott Asset Management LP and Sprott Physical Platinum and Palladium Trust
• Sprott Asset Management LP et al.
• Aegon Fund Management Inc. and the Terminating Funds Listed in Schedule "A"
• Peak Investment Services Inc. and Promutuel Capital Financial Services Firm Inc.
• Barometer Capital Management Inc.
• BNP Paribas Investment Partners Canada Ltd. and BNP Paribas Global Equity Exposure Fund
• Fiera Capital Corporation and the Investment Funds listed in Schedule A et al.
• Galileo Funds Inc.
• Teck Resources Limited
• Dundee Securities Ltd. et al.
• Safran S.A.
Orders
• Jowdat Waheed and Bruce Walter
• International Strategic Investments et al.
• Beryl Henderson
• Ciccone Group et al. -- ss. 127(7), 127(8)
• 2196768 Ontario Ltd et al. -- s. 127
• Alpha Exchange Inc. -- s. 101.2
Chapter 4 - Cease Trading Orders
• Temporary, Permanent & Rescinding Issuer Cease Trading Orders
• Temporary, Permanent & Rescinding Management Cease Trading Orders
• Outstanding Management & Insider Cease Trading Orders
Chapter 5 - Rules and Policies
• Notice of Amendments to NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 13 - SROs, Marketplaces and Clearing Agencies
Clearing Agencies
• Notice of Effective Date -- Technical Amendments to CDS Procedures -- TRAX Deposit and Withdrawal Service Levels
• CDS -- Notice and Request for Comments -- Material Amendments to CDS Procedures -- Amendments to Buy-in Process Functionality
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