Ontario Securities Commission Bulletin
Issue 35/43 - October 25, 2012
Ont. Sec. Bull. Issue 35/43
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA Consultation Paper 33-403 -- The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
Notices of Hearing
• AMTE Services Inc. et al. -- ss. 127(7), 127(8)
News Releases
• Canadian Securities Regulators Seek Comment on Amendments Relating to Direct Electronic Access
• Canadian Regulators Publish Consultation Paper on a Statutory Best Interest Duty
Notices from the Office of the Secretary
• Jowdat Waheed and Bruce Walter
• AMTE Services Inc. et al.
• Paul Azeff et al.
• Sandy Winick et al.
• Sage Investment Group et al.
• David Charles Phillips and John Russell Wilson
• MBS Group (Canada) Ltd. and Balbir Ahluwalia
• Firestar Capital Management Corp. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Compton Petroleum Corporation -- s. 1(10)(a)(ii)
• ING Direct Asset Management Limited et al.
• Mackenzie Financial Corporation and the Mutual Funds Listed in Schedule A
Orders
• Jowdat Waheed and Bruce Walter
• AMTE Services Inc. et al. -- ss. 127(1), 127(5)
• Paul Azeff et al. -- Rules 4.7 and 6.2 of the OSC Rules of Procedure
• Sandy Winick et al. -- ss. 127, 127.1
• Sage Investment Group et al. -- s. 127
• David Charles Phillips and John Russell Wilson -- Rule 6 of the OSC Rules of Procedure
• Firestar Capital Management Corp. et al. -- ss. 127(1, 127(7), 127(8)
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 6 - Request for Comments
• Proposed Amendments to 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
• OSC Staff Notice of Approval -- MFDA Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
• IIROC Rules Notice -- Request for Comment -- Proposed Amendments Respecting Third-Party Electronic Access to Marketplaces
Chapter 25 - Other Information
Approvals
• Meadowbank Capital Inc. -- s. 213(3)(b) of the LTCA
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