Ontario Securities Commission Bulletin
Issue 36/29 - July 18, 2013
Ont. Sec. Bull. Issue 36/29
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• Notice of Correction -- Global Consulting and Financial Services et al. -- Rules 1.4 and 1.5.3(3) of the OSC Rules of Procedure
• OSC Staff Notice 33-741 -- Report on the Results of the Reviews of Capital Markets Participation Fees
• Hollinger Inc. et al.
• CSA Staff Notice 31-334 -- CSA Review of Relationship Disclosure Practices
• OSC Staff Notice 81-720 -- Report on Staff's Continuous Disclosure Review of Sales Communications by Investment Funds
Notices of Hearing
• Global Consulting And Financial Services et al. -- ss. 27, 127
• Conrad M. Black et al.
News Releases
• Canadian Securities Regulators Further the Discussion on Statutory 'Best Interest' Duty
• CSA Requirements to Improve Disclosure for Investors Are Now In Effect
• Canadian Securities Administrators Publish Guidance on Relationship Disclosure Practices
Notices from the Office of the Secretary
• Vincenzo (Vincent) Sirianni
• Ajit Singh Basi
• Newer Technologies Limited et al.
• Global Consulting and Financial Services et al.
• Pro-Financial Asset Management Inc.
• Alexander Christ Doulis and Liberty Consulting Ltd.
• Paul Azeff et al.
• Hollinger Inc. et al.
• Conrad M. Black et al.
• Welcome Place Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Chieftain Metals Inc. -- s. 1(10)(a)(ii)
• Aston Hill Senior Gold Producers Income Corp. -- s. 1(10)
• BMO Asset Management Inc.
• Cowen and Company, LLC and Sea Port Group Securities, LLC
• Merrill Lynch Financial Assets Inc.
• Aurizon Mines Ltd. -- s. 1(10)(a)(ii)
• ClareGold Trust
• Real Estate Asset Liquidity Trust
• Astral Media Inc.
Orders
• Vincenzo (Vincent) Sirianni -- ss. 127(1), 127(10)
• Ajit Singh Basi -- ss. 127(1), 127(10)
• Newer Technologies Limited et al. -- ss. 127(1), 127.1
• Chieftain Metals Inc. -- s. 1(6) of the OBCA
• Freeport Capital Inc. -- s. 144
• Pro-Financial Asset Management Inc. -- ss. 127(1), (2) and (8)
• Alexander Christ Doulis and Liberty Consulting Ltd. -- s. 127 of the Act and the OSC Rules of Procedure
• Paul Azeff et al. -- Rules 3, 9 and 6 of the OSC Rules of Procedure
• Amundi S.A. -- s. 80 of the CFA
• Welcome Place Inc. et al. -- ss. 127(1), 127(7) and 127(8)
• TMX Group Inc. and TSX Inc. -- s.144
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
• CSA Notice of Approval -- MI 13-102 System Fees for SEDAR and NRD
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 of Approval -- MFDA Investor Protection Corporation ("MFDA IPC") -- Amendments to Agreement between MFDA IPC and the Mutual Fund Dealers Association of Canada ("MFDA") ("The Services Agreement")
Clearing Agencies
• Notice of Commission Approval -- Material Amendments to CDS Procedures -- Trade Confirmation and Matching Compliance as per IIROC Dealer Member Rules 800.49 and 200.1(h) changes
• CDS -- Notice of Commission Approval -- Amendments to By-law No. 1
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