Ontario Securities Commission Bulletin

Issue 37/01 - January 02, 2014

Ont. Sec. Bull. Issue 37/01

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• Notice of Ministerial Approval of OSC Rule 91-506 Derivatives: Product Determination and OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting

Notices of Hearing

• A25 Gold Producers Corp. et al. -- ss. 127, 127.1

News Releases

• OSC's Investor Advisory Panel Releases Annual Report

• Canadian Securities Regulators Seek Comment on Derivatives Rule Relating to Mandatory Central Counterparty Clearing

• Canadian Securities Regulators Mandate OBSI's Dispute Resolution Service for Registered Dealers and Advisers

• CSA Announces Service Transition Cutover Date for Information Management Services

• OSC Panel Issues Sanctions Against Kolt Curry, Laura Mateyak, American Heritage Stock Transfer Inc., and American Heritage Stock Transfer, Inc. for Breaches of the Securities Act

Notices from the Office of the Secretary

• Pro-Financial Asset Management Inc.

• Global RESP Corporation and Global Growth Assets Inc.

• Ernst & Young LLP

• Blackwood & Rose Inc. et al.

• Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)

• International Strategic Investments et al.

• Global Energy Group, Ltd. et al.

• A25 Gold Producers Corp. et al.

• Northern Securities Inc. et al.

• Kolt Curry et al.

• Moncasa Capital Corporation and John Frederick Collins

Chapter 2 - Decisions, Orders and Rulings

Decisions

• ESI Entertainment Systems Inc. -- s. 1(10(a)(ii)

• Dundee Industrial Limited Partnership

• DIR Industrial Properties Inc.

• Starlight U.S. Multi-Family (No. 2) Core Fund

• Gazit-Globe Ltd.

• Stay Gold Inc.

• 1832 Asset Management L.P.

• Raymond James & Associates, Inc.

• Gazit-Globe Ltd.

• Brandes Investment Partners & Co.

• Nylcap Canada Genpar Inc.

• University of Toronto Asset Management Corporation

• Ewing Morris & Co. Investment Partners Ltd. and Ewing Morris Opportunities Trust Fund

• TD Waterhouse Canada Inc. and Broadridge Investor Communications Corporation

• CIBC Asset Management Inc. et al.

• Enbridge Gas Distribution Inc. et al.

Orders

• Trapeze Asset Management Inc. et al. -- s. 144

• Pro-Financial Asset Management Inc. -- ss. 127(1), (2) and (8)

• Global RESP Corporation and Global Growth Assets Inc. -- s. 127(1)

• Knowledge First Financial Inc. -- ss. 144,147

• Ernst & Young LLP

• Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation) -- ss. 127, 127.1

• International Strategic Investments et al.

• Pyramis Global Advisors, LLC et al. -- ss. 78(1), 80 of the CFA

• Pyramis Global Advisors, LLC et al. -- ss. 78(1), 80 of the CFA

• Pyramis Global Advisors, LLC et al. -- ss. 78(1), 80 of the CFA

• Pyramis Global Advisors, LLC et al. -- ss. 78(1), 80 of the CFA

• Global Energy Group, Ltd. et al. -- ss. 127(7), 127(8)

• Kolt Curry et al. -- ss. 37, 127, 127.1

• Moncasa Capital Corporation and John Frederick Collins -- ss. 37, 127, 127.1

• Inova Resources Limited -- s. 1(10)(a)(ii)

• BNY Mellon Asset Management Canada Ltd. and Standish Mellon Asset Management Company LLC -- s. 80 of the CFA

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• Blackwood & Rose Inc. et al. -- s. 127

• Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation)

• Northern Securities Inc. et al. -- ss. 8(3), 21.7

• Kolt Curry et al. -- ss. 37, 127, 127.1

• Moncasa Capital Corporation and John Frederick Collins

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

• OSC Rule 91-506 Derivatives:Product Determination

• OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting

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

Top