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 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
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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