Ontario Securities Commission Bulletin
Issue 35/26 - June 28, 2012
Ont. Sec. Bull. Issue 35/26
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA Consultation Paper 91-406 -- Derivatives: OTC Central Counterparty Clearing (Corrected)
• OSC Notice 11-767 -- Notice of Statement of Priorities for Financial Year to End March 31, 2013
• OSC Staff Notice 33-737 -- Enhanced Transparency of Communications with Registrants
Notices of Hearing
• Peter Beck et al.
• Peter Beck et al. -- ss. 127, 127.1
• Peter Beck et al. -- ss. 127, 127.1
News Releases
• Canadian Securities Regulators Seek Comments on OTC Central Counterparty Derivatives Clearing Framework
• Canadian Securities Regulators Seek Comments on the Potential Regulation of Proxy Advisory Firms
• Peter Beck, Swift Trade et al. Settle with the Ontario Securities Commission
Notices from the Office of the Secretary
• Peter Beck et al.
• Peter Beck et al.
• Peter Beck et al.
• Firestar Capital Management Corp. et al.
• Bunting & Waddington Inc. et al.
• New Hudson Television Corporation et al.
• Simply Wealth Financial Group Inc. et al.
• David Charles Phillips and John Russell Wilson
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Wand Capital Corporation -- s. 1(10)
• BMO Investments Inc. et al.
• First Asset Investment Management Inc. and First Asset Morningstar Emerging Markets Composite Bond Index ETF
• Franklin Templeton Investments Corp. and Wellington West Franklin Templeton Balanced Retirement Income Fund
• Sara Lee Corporation
• Clairvest Group Inc.
• AlphaPro Management Inc.
• AlphaPro Management Inc. and Horizons ETFs Management (Canada) Inc.
Orders
• Aeroquest International Limited -- s. 1(6) of the OBCA
• Peter Beck et al. -- ss. 127, 127.1
• Firestar Capital Management Corp. et al. -- s. 127
• Bunting & Waddington Inc. et al.
• New Hudson Television Corporation et al. -- ss. 127(1), 127(8)
• David Charles Phillips and John Russell Wilson -- ss. 127, 127.1
• Chicago Mercantile Exchange Inc. -- s. 147
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Simply Wealth Financial Group Inc. et al.
• Peter Beck et al.
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
• NI 23-103 Electronic Trading
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
SROs
• Notice of Commission Approval -- IIROC Rules Notice -- UMIR -- Provisions Respecting Electronic Trading
Marketplaces
• Chi-X Canada ATS Ltd. -- Notice of Proposed Changes and Request for Comment
• Chi-X Canada ATS Ltd. -- Notice of Proposed Changes and Request for Comment
• Liquidnet Canada Inc. -- Notice of Proposed Changes and Request for Comment
• Chicago Mercantile Exchange Inc. -- Notice of Commission Order -- Application for Interim Exemptive Relief
• ICE Futures Canada, Inc. -- Notice and Request for Comment -- Application for Exemption from Recognition and Registration as an Exchange
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