Ontario Securities Commission Bulletin
Issue 36/24 - June 13, 2013
Ont. Sec. Bull. Issue 36/24
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• OSC Staff Notice 15-706: Update to OSC Staff Notice 15-704 on Proposed Enforcement Initiatives
• No Contest Settlements and the SEC's Recent Experience: Implications for Ontario
• OSC Staff Notice 51-721 -- OSC Forward Looking Disclosure
Notices of Hearing
• Bunting & Waddington Inc. et al. -- s. 127, 127.1
News Releases
• Canadian Securities Regulators Seek Comment on Derivatives Rules Relating to Product Determination and Trade Repositories and Data Reporting
• Boyuan Construction Group, Inc. Settles with the Ontario Securities Commission
• Ontario Securities Commission Seeks Comment on Derivatives: Product Determination and Derivatives Trade Repositories and Data Reporting Rules
• OSC Provides Update on Proposed Enforcement Initiatives
• OSC Release Results of Forward Looking Information Disclosure Review
• Canadian Securities Regulators Now Require Delivery of the Fund Facts for Mutual Funds
Notices from the Office of the Secretary
• Portfolio Capital et al.
• Global Consulting et al.
• Boyuan Construction Group, Inc.
• Issam El-Bouji et al.
• Bunting & Waddington Inc. et al.
• Garth H. Drabinsky et al.
• New Hudson Television LLC and James Dmitry Salganov
• Ground Wealth Inc. et al.
• Michael Robert Shantz and Canada Pacific Consulting Inc.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• I.G. Investment Management, Ltd. and I.G. Mackenzie Sentinel Strategic Income Fund
• Northwest & Ethical Investments L.P.
• MD Physician Services Inc.
Orders
• Magna International Inc. -- s. 104(2)(c)
• Saputo Inc. -- s. 104(2)(c)
• Global Consulting and Financial Services et al. -- ss. 127(1), (8) and Rules 1.4, 1.5.3(3) of the Rules of Procedure
• Boyuan Construction Group, Inc.
• Issam El-Bouji et al. -- s. 127
• Garth H. Drabinsky -- s. 127, 127.1
• New Hudson Television LLC and James Dmitry Salganov -- s. 127
• Ground Wealth Inc. et al. -- ss. 127(1), (7), (8)
• Michael Robert Shantz and Canada Pacific Consulting Inc. -- ss. 127(1), (10)
• Nuveen Asset Management LLP -- Commodity Futures Act, s. 80
• Canadian Derivatives Clearing Corporation -- s. 144
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Boyuan Construction Group, Inc.
• Investment Allocation International Inc. and Marshall Miller
• Michael Robert Shantz and Canada Pacific Consulting Inc. -- ss. 127(1), (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
• Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds -- Delivery of Fund Facts -- Notice of Amendments to NI 81-101 Mutual Fund Prospectus Disclosure, Form 81-101F3 Contents of Fund Facts Document, Companion Policy 81-101CP to National Instrument 81-101 Mutual Fund Prospectus Disclosure and Consequential Amendments
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
• Notice of Commission Approval -- IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives
Marketplaces
• CNSX Markets -- NOTICE 2013-003 -- Request for Comments -- Passive-only Order Type
Clearing Agencies
• CDCC -- Notice of Commission Order -- Third Variation to the Temporary Exemption Order
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