Ontario Securities Commission Bulletin
Issue 37/02 - January 09, 2014
Ont. Sec. Bull. Issue 37/02
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 31-336 -- Guidance for Portfolio Managers, Exempt Market Dealers and Other Registrants on the Know-Your-Client, Know-Your-Product and Suitablility Obligations
• CSA Staff Notice 13-315 (Revised) -- Securities Regulatory Authority Closed Dates 2014
• CSA Staff Notice 13-319 -- SEDAR Filer Manual Update
• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments
• CSA Staff Notice 13-322 -- Service Transition Cutover Date for Information Management Services and Implementation of Related Consequential Amendments to CSA National Systems Rules
Notices of Hearing
• Kevin Warren Zietsoff -- ss. 127(1), 127.1
News Releases
• OSC Panel Finds Andrea McCarthy, BFM Industries Inc. and Liquid Gold International Inc. in Breach of the Securities Act
• OSC Approves Settlement Permanently Banning Kevin Warren Zietsoff from Ontario's Capital Markets
Notices from the Office of the Secretary
• Sandy Winick et al.
• Kevin Warren Zietsoff
• Andrea Lee McCarthy et al.
• Kevin Warren Zietsoff
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Husky Energy Inc.
• Bonnett's Energy Corp.
• Northwest International Healthcare Properties Real Estate Investment Trust
• Barrick Gold Corporation et al.
• ONE Financial Corporation
• Man Investments Canada Corp. and GLG Income Opportunities Fund
• BMO Nesbitt Burns Inc. et al.
• BMO Nesbitt Burns Inc. et al.
• BMO Investments Inc. et al.
• Sun Life Global Investments (Canada) Inc. and Sun Life Schroder Emerging Markets Fund
• Certain Exempt Market Dealer and Restricted Dealer Firms Listed in Schedule A
• Covington Strategic Capital Fund Inc. and Covington Capital Corporation
• Pacific Rim Mining Corp.
Orders
• Metro Inc. -- s. 104(2)(c)
• Metro Inc. -- s. 104(2)(c)
• Sandy Winick et al. -- ss. 127, 127.1
• ICE Clear Credit LLC -- s. 147
• Crystallex International Corporation et al. -- s. 144(1)
• Andrea Lee McCarthy et al. -- s. 127
• Kevin Warren Zietsoff
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Sandy Winick et al. -- ss. 127, 127.1
• Andrea Lee McCarthy et al. -- s. 127
• Kevin Warren Zietsoff
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
Clearing Agencies
• ICE Clear Credit LLC -- Notice of Commission Order -- Application for Exemptive Relief
Chapter 25 - Other Information
Approvals
• BKC Capital Inc. -- s. 213(3)(b) of the LTCA
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