Ontario Securities Commission Bulletin

Issue 36/41 - October 10, 2013

Ont. Sec. Bull. Issue 36/41

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Current Proceedings before the Ontario Securities Commission

• OSC Staff Notice 21-707 -- Swap Execution Facilities -- Exemption from Requirement to be Recognized as an Exchange

• CSA Staff Notice 13-320 Regarding Implementation of Multilateral Instrument 13-102 System Fees for SEDAR and NRD and Related Consequential Amendments to CSA National Systems Rules

Notices of Hearing

• Weizhen Tang -- ss. 127(1), 127(10)

• Normand Gauthier et al. -- s. 127 of the Act and Rule 12 of the OSC Rules of Procedure

News Releases

• September 20, 2013 Meeting of the Principals of the OTC Derivative Regulators Group

• CSA Announces Change in Cutover Date for Information Management Services

• CSA Encourages All Canadians to Take Time to "Check Before You Invest"

Notices from the Office of the Secretary

• David M. O'Brien

• Oversea Chinese Fund Limited Partnership et al.

• Weizhen Tang

• Normand Gauthier et al.

• Ernst & Young LLP (Audits of Zungui Haixi Corporation)

• Global Consulting and Financial Services et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Robert W. Baird & Co. Incorporated

• Canadian Lamb Producers Cooperative Inc.

• CMC Markets UK Plc and CMC Markets Canada Inc.

• Timbercreek Mortgage Investment Corporation

• Stuart Investment Management Limited et al.

• Counsel Portfolio Services Inc. and IPC Securities Corporation

• Desjardins Investments Inc. et al.

• Timbercreek Senior Mortgage Investment Corporation

• Guardian Capital LP et al.

• Guardian Capital LP et al.

• Galvanic Applied Sciences Inc.

• Medicago Inc. -- s. 1(10)

Orders

• David M. O'Brien -- s. 9(1) of the SPPA and Rules 5.2(1), 8.1 of the OSC Rules of Procedure

• Oversea Chinese Fund Limited Partnership et al. -- ss. 127(7) and (8)

• Ernst & Young LLP (Audits of Zungui Haixi Corporation) -- ss. 127, 127.1

• Global Consulting and Financial Services et al. -- ss. 27, 127(1), 127(10)

• First Quadrant, L.P. -- s. 80 of the CFA

• Alpha Trading Systems Limited Partnership et al. -- s. 15.1 of NI 21-101 Marketplace Operation

• 360 Trading Networks Inc. -- s. 147

• BGC Derivative Markets, L.P. -- s. 147

• INFX SEF, Inc. -- s. 147

• Javelin SEF, LLC -- s. 147

• Bloomberg SEF LLC -- s. 147

• GFI Swaps Exchange LLC -- s. 147

• ICAP SEF (US) LLC -- s. 147

• TeraExchange, LLC -- s. 147

• ICE SWAP TRADE, LLC -- s. 147

• Thomson Reuters (SEF) LLC -- s. 147

• tpSEF Inc. -- s. 147

• Tradition SEF Inc. -- s. 147

• TW SEF LLC -- s. 147

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• FCPF Corporation (formerly known as Redev Corporation) and Richard Crenian

• Global Consulting and Financial Services 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

• Notice of Ministerial Approval of Memorandum of Understanding between Certain Provincial Securities Regulators Concerning the Mutual Fund Dealers Association of Canada (MFDA)

• OSC Staff Notice of Approval -- MFDA Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations -- Automatic Payment Plans)

Chapter 25 - Other Information

Approvals

• Capital International Asset Management (Canada) Inc. -- s. 213(3)(b) of the LTCA

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