Ontario Securities Commission Bulletin

Issue 36/19 - May 09, 2013

Ont. Sec. Bull. Issue 36/19

Table of Contents

Chapter 1 - Notices / News Releases

Notices

Current Proceedings before the Ontario Securities Commission

Notice of Ministerial Approval of Amendments to NI 41-101 General Prospectus Requirements

Notice of Correction -- Energy Syndications Inc. et al. (2013), 36 O.S.C.B. 3836

Notice of Ministerial Approval of Amendments to NI 41-101 General Prospectus Requirements and Companion Policy 41-101CP, NI 44-101 Short Form Prospectus Distributions and Companion Policy 44-101CP, NI 44-102 Shelf Distributions and Companion Policy 44-102CP, NI 81-101 Mutual Fund Prospectus Disclosure and Companion Policy 81-101CP and Consequential Amendments to National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards, National Instrument 51-102 Continuous Disclosure Obligations and National Instrument 13-101 System for Electronic Document Analysis and Retrieval

Notices of Hearing

Ming Chao Zhao -- ss. 127, 127.1

News Releases

Canadian Securities Regulators Announce Roundtables to Receive Input on Statutory 'Best Interest' Duty

Notices from the Office of the Secretary

Ming Chao Zhao

Ronald James Ovenden et al.

Bunting & Waddington Inc. et al.

Majestic Supply Co. Inc. et al.

Ontario Securities Commission Policy Hearing on Proposed Enforcement Initiatives -- OSC Staff Notice 15-704 Request for Comments on Proposed Enforcement Initiatives

Chapter 2 - Decisions, Orders and Rulings

Decisions

Redknee Solutions Inc.

Ratel Group Limited -- s. 1(10)(a)(ii)

Sundance Minerals Ltd.

Wescast Industries Inc.

Aston Hill Asset Management Inc. and Aston Hill Global Resource & Infrastructure Fund

LOREX Technology Inc.

Edgehill Partners

National Bank Trust Inc.

360 Vox Corporation

Orders

Franklin Advisers, Inc. et al. -- s. 80 of the CFA

Ronald James Ovenden et al. -- ss. 127, 127.1

Bunting & Waddington Inc. et al.

Majestic Supply Co. Inc. et al. -- Rules 1.6(2) and 11.5 of the OSC Rules of Procedure

Taggart Capital Corp. -- s. 1(6) of the OBCA

iShares MSCI Emerging Markets IMI Index ETF et al. -- s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions

First Trust AlphaDEXTM Canadian Dividend Plus ETF et al. -- s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions

Forex Capital Markets, LLC et al. -- s. 74(1)

Mackenzie Financial Corporation et al. -- ss. 78(1), 80 of the CFA

State Street Global Advisors, Ltd. and SSgA Funds Management, Inc. -- s. 80 of the CFA

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

Amendments to NI 41-101 General Prospectus Requirements

Amendments to NI 41-101 General Prospectus Requirements and Companion Policy 41-101CP

Amendments to NI 44-101 Short Form Prospectus Distributions and Companion Policy 44-101CP

Amendments to NI 44-102 Shelf Distributions and Companion Policy 44-102CP

Amendments to NI 81-101 Mutual Fund Prospectus Disclosure and Companion Policy 81-101CP

Amendments to NI 52-107 Acceptable Accounting Principles and Auditing Standards and Companion Policy 52-107CP

Amendments to NI 51-102 Continuous Disclosure Obligations

Amendments to NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR)

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

Notice of Commission Approval -- TSX Inc. and Alpha Exchange Inc. -- Fees Filed under Section 8(c) of Recognition Order

Clearing Agencies

Material Amendments to CDS Procedures -- Trade Confirmation and Matching Compliance as per IIROC Dealer Member Rules 800.49 and 200.1(h) Changes -- Request for Comments

 

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