Ontario Securities Commission Bulletin

Issue 36/36 - September 05, 2013

Ont. Sec. Bull. Issue 36/36

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Current Proceedings before the Ontario Securities Commission

• OSC Staff Notice 81-721 -- Frequently Asked Questions on the Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds -- Delivery of Fund Facts

• Notice of Ministerial Approval of Amendments to NI 23-103 Electronic Trading

Notices of Hearing

• Bunting & Waddington Inc. et al. -- ss. 127(1), 127.1

News Releases

• OSC Panel Finds Crown Hill Capital Corporation and Wayne Lawrence Pushka Breached Fiduciary Duty

• OSC Announces Next Steps In Exempt Market Review

Notices from the Office of the Secretary

• Crown Hill Capital Corporation and Wayne Lawrence Pushka

• Bunting & Waddington Inc. et al.

• Pro-Financial Asset Management Inc.

• Sino-Forest Corporation et al.

• Innovative Gifting Inc. et al.

• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus

• Global Consulting and Financial Services et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Shanxi Donghui Coal Coking & Chemicals Group Co., Ltd and Inova Resources Limited

• Altamont Exploration Corp.

• Morneau Shepell Ltd. and Morneau Shepell Asset & Risk Management Ltd.

• SG Americas Securities, LLC et al.

Orders

• Pro-Financial Asset Management Inc. -- ss. 127(1), (2) and (8)

• Sino-Forest Corporation et al.

• Lake Louise Inn Limited Partnership -- s. 144

• Innovative Gifting Inc. et al. -- ss. 127, 127.1

• Hudson River Minerals Ltd. -- s. 144

• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus

• Purpose Core Dividend Fund et al. -- s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• Crown Hill Capital Corporation and Wayne Lawrence Pushka

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

• NI 23-103 Electronic Trading and Direct Electronic Access to Marketplaces

• Companion Policy 23-103CP Electronic Trading and Direct Electronic Access to Marketplaces

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 25 - Other Information

Approvals

• SEAMARK Asset Management (2013) Ltd. -- s. 213(3)(b) of the LTCA

Top