Ontario Securities Commission Bulletin
Issue 35/50 - December 13, 2012
Ont. Sec. Bull. Issue 35/50
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• Caroline Frayssignes Cotton
• Nest Acquisitions and Mergers et al.
• Multilateral CSA Staff Notice 23-313 -- Blanket Orders Exempting Marketplace Participants from Certain Provisions of National Instrument 23-103 Electronic Trading and Related OSC Staff Position
Notices of Hearing
• Newer Technologies Limited et al. -- ss. 127, 127.1
News Releases
• Canadian Securities Regulators Seek Comment on Model Rules Relating to Derivatives: Product Determination and Derivatives Trade Repositories and Data Reporting
• Canadian Securities Regulators Publish Discussion Paper on Mutual Fund Fees
Notices from the Office of the Secretary
• Jowdat Waheed and Bruce Walter
• Newer Technologies Limited et al.
• Nest Acquisitions and Mergers et al.
• Practice Guideline on the use of the Commission's Book of Authorities in proceedings before the Commission
• Caroline Frayssignes Cotton
• OSC Securities Proceedings Advisory Committee -- Request for Applications
• Nest Acquisitions and Mergers et al.
• Children's Education Funds Inc.
• Nest Acquisitions and Mergers et al.
• Nest Acquisitions and Mergers et al.
• International Strategic Investments et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Fidelity Investments Canada ULC
• Brookfield Infrastructure Partners L.P.
• La Mancha Resources Inc.
• Credit Suisse AG
• Tyco International Ltd. et al.
• Karmin Exploration Inc.
• 20-20 Technologies Inc.
Orders
• Jowdat Waheed and Bruce Walter
• Sensato Investors, LLC -- s. 80 of the CFA
• Nest Acquisitions and Mergers et al. -- s. 127(1)
• theScore, Inc. -- s. 1(11)(b)
• Children's Education Funds Inc.
• Nest Acquisitions and Mergers and Caroline Frayssignes -- ss. 127(1), 127(8)
• Nest Acquisitions and Mergers et al.
• International Strategic Investments et al.
• Maple Group Acquisition Corporation et al. -- s. 144
• TD Securities Inc. and 1802146 Ontario Limited -- s. 144
• Happy Creek Minerals Ltd. -- s. 1(11)(b)
• Plexmar Resources Inc. -- s. 144
• Parametric Portfolio Associates LLC -- s. 80 of the CFA
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Nest Acquisitions and Mergers et al.
• Jory Capital Inc. -- s. 28
• Shane Suman and Monie Rahman -- ss. 127, 127.1
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
• Practice Guideline -- December 4, 2012 -- Commission's Book of Authorities
Chapter 6 - Request for Comments
• CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees
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 -- Notice of Revocation of the 2008 Commission Approval to Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1
• OSC Staff Notice of Approval -- IIROC Rules Notice 12-0363 -- Notice of Approval -- UMIR -- Provisions Respecting Electronic Trading
• OSC Staff Notice of Approval -- Amendments to the Universal Market Integrity Rules Respecting Electronic Trading
Clearing Agencies
• Material Amendments to CDS Rules -- Multi-Classification of Limited Purpose Participants -- Request for Comments
Chapter 25 - Other Information
Exemptions
• First Asset Management Inc. and First Asset DEX Provincial Bond ETF -- s. 19.1 of NI 41-101 General Prospectus Requirements
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