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 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

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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