Ontario Securities Commission Bulletin
Issue 36/51 - December 19, 2013
Ont. Sec. Bull. Issue 36/51
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Current Proceedings before the Ontario Securities Commission
• CSA Staff Notice 81-323 -- Status Report on Consultation under CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees
• CSA Staff Notice 33-316 -- Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients
• Notice of Ministerial Approval of Amendments to National Instrument 81-106 Investment Fund Continuous Disclosure, Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance and Consequential Amendments
• CSA Staff Notice 91-303 -- Proposed Model Provincial Rule on Mandatory Central Counterparty Clearing of Derivatives
Notices of Hearing
• Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor -- ss. 127(1), 127(10)
News Releases
• Canadian Securities Regulators Seek Comments on Mutual Fund Risk Classification Methodology
• OSC Releases Results of Electronic Trading Risk Analysis
• Canadian Regulators Release Status Reports on Mutual Fund Fees and Best Interest Duty
• OSC Proposes Adopting Global Standards for Ontario Clearing Agencies
Notices from the Office of the Secretary
• Ernst & Young LLP (Audits of Zungui Haixi Corporation)
• Bradon Technologies Ltd. et al.
• David M. O'Brien
• North American Financial Group Inc. et al.
• Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor
• Heritage Education Funds Inc.
• TransCap Corporation et al.
• Crown Hill Capital Corporation and Wayne Lawrence Pushka
• Eda Marie Agueci et al.
• Global Energy Group, Ltd. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Lipari Energy, Inc.
• Timelo Investment Management Inc. et al.
• Manulife Asset Management Limited
• Aston Hill Oil & Gas Income Fund et al.
• CT Real Estate Investment Trust
• Bell Canada
• Hillsdale Investment Management Inc.
• Redwood Asset Management Inc. et al.
Orders
• Ernst & Young LLP (Audits of Zungui Haixi Corporation) -- ss. 127, 127.1
• Bradon Technologies Ltd. et al. -- s. 127
• David M. O'Brien -- s. 9(1) of the SPPA and Rules 8.1, 5.2(1) of the OSC Rules of Procedure
• North American Financial Group Inc. et al. -- ss. 127, 127.1
• Heritage Education Funds Inc.
• TransCap Corporation et al. -- ss. 127(1), 127(10)
• Crown Hill Capital Corporation and Wayne Lawrence Pushka
• LatAm SEF LLC -- s. 147
• Global Energy Group, Ltd. et al. -- ss. 37, 127, 127.1
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• North American Financial Group Inc. et al. -- s. 127
• Eda Marie Agueci et al.
• Global Energy Group, Ltd. et al. -- ss. 37, 127, 127.1
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 5 - Rules and Policies
• Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations -- Dispute Resolution Services
• Amendments to NI 81-106 Investment Fund Continuous Disclosure
• Amendments to Companion Policy 81-106CP to NI 81-106 Investment Fund Continuous Disclosure
• Amendments to NI 41-101 General Prospectus Requirements
• Amendments to NI 81-101 Mutual Fund Prospectus Disclosure
• Amendments to Companion Policy 81-101CP to National Instrument 81-101 Mutual Fund Prospectus Disclosure
• Amendments to NI 81-102 Mutual Funds
• Amendments to NI 81-104 Commodity Pools
• Amendments to OSC Rule 81-801 Implementing National Instrument 81-106 Investment Fund Continuous Disclosure
Chapter 6 - Request for Comments
• Proposed OSC Rule 24-503 Clearing Agency Requirements and Related Companion Policy
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
• LatAm SEF LLC -- Notice of Commission Order -- Application for Interim Exemption Order
Clearing Agencies
• CDS -- Notice of Withdrawal -- Material Amendments to CDS Rules -- Delegation of Board Authority to Management
Chapter 25 - Other Information
Exemptions
• Front Street Global Balanced Income Class and Front Street Tactical Bond Class
• Horizons ETFs Management (Canada) Inc. et al.
Approvals
• Ewing Morris & Co. Investment Partners Ltd. -- s. 213(3)(b) of the LTCA
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