Ontario Securities Commission Bulletin
Issue 36/23 - June 06, 2013
Ont. Sec. Bull. Issue 36/23
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• OSC Investor Roundtable -- Investing in Start-ups or Small and Medium Sized Companies
• OSC Exempt Market Review -- Investor Roundtable -- Backgrounder
• OSC Staff Notice 33-740 -- Report on the Results of the 2012 Targeted Review of Portfolio Managers and Exempt Market Dealers to Assess Compliance with the Know-Your-Client, Know-Your-Product and Suitability Obligations
• Notice of Ministerial Approval of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• CSA Staff Notice 11-322 -- Extension of Consultation Period -- Proposed Amendments to MI 62-104 Take-Over Bids and Issuer Bids and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues -- Proposed Changes to NP 62-203 Take-Over Bids and Issuer Bids -- Proposed NI 62-105 Security Holder Rights Plans -- Proposed Companion Policy 62-105CP Security Holder Rights Plans
Notices of Hearing
• Boyuan Construction Group, Inc.
News Releases
• OSC Releases Results of Targeted Review of Portfolio Managers and Exempt Market Dealers
• OSC Requests Members for Market Structure Advisory Committee
Notices from the Office of the Secretary
• Portfolio Capital Inc. et al.
• 2196768 Ontario Ltd. (c.o.b. as Rare Investments) et al.
• Pro-Financial Asset Management Inc.
• Issam El-Bouji et al.
• Boyuan Construction Group, Inc.
• New Futures Trading International Corporation and Fernando Honorate Fagundes also known as Henry Roche
Chapter 2 - Decisions, Orders and Rulings
Decisions
• CIBC Global Asset Management Inc. et al.
• Total S.A.
• Angoss Software Corporation
• Global Dividend Growers Income Fund
• C.T.C. Dealer Holdings Limited
• Artaflex Inc. -- s. 1(10)(a)(ii)
• White Hat Corporation (formerly Tenth Power Technologies Corp.) -- s. 1(10)
• IROC Energy Services Corp. -- s. 1(10)(a)(ii)
Orders
• Portfolio Capital Inc. et al. -- s. 127, 127.1
• 2196768 Ontario Ltd (c.o.b. as Rare Investments) et al. -- s. 127, 127(1)
• Pro-Financial Asset Management -- s. 127(1), 127(7)
• Issam El-Bouji et al. -- s. 17
• Toronto Standard Condominium Corporation #1703
• Angoss Software Corporation
• LCH.Clearnet Limited -- s. 144
• New Futures Trading International Corporation and Fernando Honorate Fagundes also known as Henry Roche -- ss. 127(1), 127(10)
• Artaflex Inc. -- s. 1(6) of the OBCA
• Dizun International Enterprises Inc. -- s. 144
• Pangolin Diamonds Corp. -- s. 1(11)(b)
• The Cash Store Financial Services Inc. -- s. 144
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• New Futures Trading International Corporation and Fernando Honorate Fagundes also known as Henry Roche -- ss. 127(1), 127(10)
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 National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Chapter 6 - Request for Comments
• Proposed OSC Rule 91-506 Derivatives: Product Determination and Companion Policy 91-506CP and Proposed OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting and Companion Policy 91-507CP
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
Clearing Agencies
• Notice of Commission Approval -- Material Amendments to CDS Procedures -- Amendments to Buy-in Messaging
• Notice of Commission Approval -- Material Amendments to CDS Procedures -- Locked-in Trade Reconciliation Service and the NSCC Trade File Pass-through Service
• LCH.Clearnet Limited -- Notice of Commission Order -- Application for Variation of LCH's Interim Order
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