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 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
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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