Ontario Securities Commission Bulletin

Issue 36/45 - November 07, 2013

Ont. Sec. Bull. Issue 36/45

Table of Contents

Chapter 1 - Notices / News Releases

Notices

Current Proceedings before the Ontario Securities Commission

CSA Staff Notice 54-302 -- Update on CSA Consultation Paper 54-401 Review of the Proxy Voting Infrastructure

OSC Staff Notice 33-742 -- 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers

CSA Staff Notice 21-312 -- Update on Consultation Paper 21-401 Real Time Market Data Fees

Notices of Hearing

Ground Wealth Inc. et al. -- s. 127

News Releases

OSC Announces Roundtable on CSA Consultation Paper regarding Canada's Proxy Voting Infrastructure

Notices from the Office of the Secretary

Jerome John Rak

Global RESP Corporation and Global Growth Assets Inc.

Ajit Singh Basi

Systematech Solutions Inc. et al.

Ernst & Young LLP

Kevin Warren Zietsoff

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

Bradon Technologies Ltd. et al.

Ground Wealth Inc. et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

FAM Real Estate Investment Trust

National Bank Securities Inc. et al.

Harvest Portfolios Group Inc. and Harvest Canadian Income & Growth Fund

Sun-Rype Products Ltd.

0976408 B.C. Ltd.

Oromin Explorations Ltd.

Strathmore Minerals Corp.

Solium Capital Inc. et al.

CNH Capital Canada Receivables Trust

Tri-Star Antimony Canada Inc. -- s. 1(10)(a)(ii)

Richardson GMP Limited and Macquarie Private Wealth Inc.

DWM Securities Inc. and Scotia Capital Inc.

Jovian Capital Corporation -- s. 1(10)

Orders

Jerome John Rak -- ss. 127(1), 127(10)

Canadian National Railway Company -- s. 104(2)(c)

Canadian National Railway Company -- s. 104(2)(c)

Sun Capital Advisers LLC -- s. 80 of the CFA

Global RESP Corporation and Global Growth Assets Inc. -- s. 127

Ajit Singh Basi -- ss. 127(1), 127(10)

Galahad Metals Inc. -- s. 144

Systematech Solutions Inc. -- s. 127(1)

Ernst & Young LLP

Kevin Warren Zietsoff -- s. 127

Purpose High Interest Savings ETF et al. -- s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions

Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus -- Rule 6.7 of the OSC Rules of Procedure

Bradon Technologies Ltd. et al. -- s. 127

SwapEx, LLC -- s. 147

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

Ajit Singh Basi -- ss. 127(1) and 127(10)

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

Marketplaces

SwapEx, LLC -- Notice of Commission Order -- Application for Exemptive Relief

Clearing Agencies

CDS -- Notice of Effective Date -- Technical Amendments to CDS Procedures -- ACT Service Reporting Changes

 

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