Ontario Securities Commission Bulletin

Issue 35/27 - July 05, 2012

Ont. Sec. Bull. Issue 35/27

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Current Proceedings before the Ontario Securities Commission

• CSA Staff Notice 31-330 -- Omnibus/Blanket Orders Extending Certain Transition Provisions Relating to the Investment Fund Manager Registration Requirement and the Obligation to Provide Dispute Resolution Services

• OSC Staff Notice 35-704 -- (Commodity Futures Act) Non-Resident Advisers

• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments

News Releases

• Canadian Securities Regulators Establish Regulatory Framework to Manage Electronic Trading Risks

• Ontario Securities Commission Provides Funding to the Canadian Foundation for the Advancement of Investor Rights (FAIR Canada)

• OSC Launches "OSC SME Institute" for Small And Medium Enterprises

Notices from the Office of the Secretary

• Normand Gauthier et al.

• Colby Cooper Capital Inc. et al.

• Alexander Christ Doulis et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• NAL Energy Corporation

• Value Partners Investments Inc.

• Fidelity Investments Canada ULC

• Teléfonos de México, S.A.B. de C.V.

• First Asset Investment Management Inc. et al.

• Liquidnet Canada Inc.

Orders

• Normand Gauthier et al. -- ss. 127(1), 127.1

• Colby Cooper Capital Inc. et al. -- ss. 127(1), 127.1

• Alexander Christ Doulis et al. -- s. 127 of the Act and Rule 6 of the OSC Rules of Procedure

• Fédération des Caisses Desjardins du Québec

• Capital International, Inc.

• Barrantagh Investment Management Inc.

• TSX Inc. -- s. 15.1 of NI 21-101 Marketplace Operation and s. 6.1 of OSC Rule 13-502 Fees

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

• MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers and Companion Policy 32-102CP Registration Exemptions for Non-Resident Investment Fund Managers

Chapter 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

• Registrants

Chapter 13 - SROs, Marketplaces and Clearing Agencies

Marketplaces

• TSX Inc. -- Notice of Proposed Changes and Request for Feedback -- Post Only Attribute for Dark Order Types

Clearing Agencies

• CDS -- Notice and Request for Comments -- Material Amendments to CDS Rules -- Disclosure of Participant Information

• CDS -- Notice and Request for Comments -- Material Amendments to CDS Rules -- Delegation of Board Authority to Management

Chapter 25 - Other Information

Approvals

• Vanguard Investments Canada Inc. -- s. 213(3)(b) of the LTCA

Top