Ontario Securities Commission Bulletin
Issue 36/37 - September 12, 2013
Ont. Sec. Bull. Issue 36/37
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA Staff Notice 11-323 -- Withdrawal of Notices and Policies
• OSC Staff Notice 81-722 -- Mortgage Investment Entities and Investment Funds
Notices from the Office of the Secretary
• Bunting & Waddington Inc. et al.
• Global Energy Group, Ltd. et al.
• Juniper Fund Management Corporation et al.
• Kevin Warren Zietsoff
• Energy Syndications Inc. et al.
• Global Consulting and Financial Services et al.
• Bunting & Waddington Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Leerink Swann LLC
• TD Asset Management Inc.
• Fiera Capital Corporation and Fiera Diversified Strategy Fund
• Sprott Resource Lending Corp.
• Kelt Exploration Ltd.
• Scotia Asset Management L.P. et al.
Orders
• Bunting & Waddington Inc. et al. -- ss. 127(1), 127.1
• Global Energy Group, Ltd. et al. -- ss. 127(7), 127(8)
• Juniper Fund Management Corporation et al. -- s. 127, 127.1
• Kevin Warren Zietsoff
• Energy Syndications Inc. et al. -- ss. 127, 127.1
• Global Consulting and Financial Services et al. -- Rule 11 of the OSC Rules of Procedure
• Bunting & Waddington Inc. et al.
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Bunting & Waddington Inc. et al.
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 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 Commission Approval -- MFDA -- Proposed Amendments to Section 1 (Definitions) of MFDA By-law No. 1, MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 Regarding Minimum Standards for Account Supervision -- Notice of Commission Approval
Chapter 25 - Other Information
Consents
• Input Capital Corp. -- s. 4(b) of the Regulation
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