Ontario Securities Commission Bulletin

Issue 36/50 - December 12, 2013

Ont. Sec. Bull. Issue 36/50

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Current Proceedings before the Ontario Securities Commission

• OSC Staff Notice 23-702 -- Electronic Trading Risk Analysis Update

• OSC Staff Notice 52-722 -- Report on Staff's Review of Non-GAAP Financial Measures and Additional GAAP Measures

• OSC Staff Notice 11-742 (Revised) -- Securities Advisory Committee

News Releases

• OSC INVESTOR ALERT: Glendale Growth & Trust and Leonard (Lennie) Goldman

• OSC Announces Details for Seminar on Derivatives Trade Repositories and Data Reporting Rule

• Naida Allarde-Giangrosso and Bernardo Giangrosso Charged Quasi Criminally with Unregistered Trading and Breaching OSC Cease Trade Order

• OSC Offers Additional Educational Seminars for Registrants

• David Borg Charged Quasi Criminally with Unregistered Trading

• OSC Releases Results of Non-GAAP Financial Measures and Additional GAAP Measures Disclosure Review

Notices from the Office of the Secretary

• Quadrexx Asset Management Inc. et al.

• Conrad M. Black et al.

• Sino-Forest Corporation et al.

• MRS Sciences Inc. (formerly Morningside Capital Corp.) et al.

• Imtiaz Hashmani

• International Strategic Investments et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Arrow Capital Management Inc. and Blumont Capital Corporation

• Barclays Capital Inc. et al.

• Man Investments Canada Corp. and Man Canada AHL DP Investment Fund

• Churchill VI Debenture Corp. -- s. 1(10)(a)(ii)

• Raymond James (USA) Ltd.

• Global Resources Investment Limited

Orders

• Quadrexx Asset Management Inc. et al. -- ss. 127(1) and (8)

• Conrad M. Black et al.

• Sino-Forest Corporation et al.

• MRS Sciences Inc. (formerly Morningside Capital Corp.) et al.

• TW SEF LLC -- s. 144

• Aegon USA Investment Management, LLC -- s. 80 of the CFA

• Imtiaz Hashmani -- ss. 127(1), 127.1

• International Strategic Investments et al.

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• Imtiaz Hashmani

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 6 - Request for Comments

• CSA Notice 81-324 and Request for Comment -- Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts

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

• IIROC -- OSC Staff Notice of Request for Comment -- Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1

Marketplaces

• Omega Securities Inc. -- Notice of Proposed Fee Model Change and Request for Comment

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