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 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 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

 

Top