Ontario Securities Commission Bulletin

Issue 37/03 - January 16, 2014

Ont. Sec. Bull. Issue 37/03

Table of Contents

Chapter 1 - Notices / News Releases

News Releases

• OSC Announces Agenda for Roundtable to Discuss Canada's Proxy Voting Infrastructure

• CSA Publishes Guidance for Know-Your-Client, Know-Your-Product and Suitability Obligation

• CSA Announces Successful Transition of CSA National Systems Operations and Support to CGI

Notices from the Office of the Secretary

• Global RESP Corporation and Global Growth Assets Inc.

• Portfolio Capital Inc et al.

• Conrad M. Black et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

• CT Real Estate Investment Trust

• Choice Properties Real Estate Investment Trust

• Capstone Mining Corp.

• Brazilian Gold Corporation

• Energy Leaders Income Fund and Harvest Portfolios Group Inc.

• Credential Securities Inc.

Orders

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

• Pivot Technology Solutions, Inc. -- s. 1(11)(b)

• Portfolio Capital Inc. et al -- ss. 127 and 127.1

• Preston Capital LLC and Preston Capital Management LLC -- s. 80 of the CFA

• Conrad M. Black et al.

Rulings

• CI Private Counsel LP

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 Staff Notice 91-304 -- Model Provincial Rule -- Derivatives: Customer Clearing and Protection of Customer Collateral and Positions

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 -- Staff Notice and Request for Comment -- Proposed Requirements for Debt Securities Transaction Reporting

Marketplaces

• Aequitas Innovations Inc. -- OSC Notice Regarding Proposed Structure of Trading Facilities for a New Exchange Proposed to be Established by Aequitas Innovations Inc.

Clearing Agencies

• CDS -- Notice of Effective Date -- Technical Amendments to CDS Procedures -- New Depositary Agent Report: Daily Tender-Payment Tracking Report

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