Ontario Securities Commission Bulletin
Issue 37/04 - January 23, 2014
Ont. Sec. Bull. Issue 37/04
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Agreement among Provincial and Territorial Securities Regulatory Authorities Transferring and Assigning Trade-mark to the Alberta Securities Commission
• Notice of Correction -- OSC Announces Agenda for Roundtable to Discuss Canada's Proxy Voting Infrastructure
Notices of Hearing
• Sterling Grace & Co. Ltd. and Graziana Casale -- s. 8(3)
News Releases
• CSA Seek Comment on Derivatives Model Rule for Customer Clearing and Protection of Customer Collateral and Positions
• OSC Proposes Rule Amendments Regarding Disclosure of Women on Boards and in Senior Management
• OSC Requests Members for Small and Medium Enterprises Committee
• Canadian Securities Regulators Propose Changes to the Prospectus-Exempt Distribution of Short-Term Debt and Short-Term Securitized Products
Notices from the Office of the Secretary
• Irwin Boock et al.
• Sterling Grace & Co. Ltd. and Graziana Casale
• Ground Wealth Inc. et al.
• A25 Gold Producers Corp. et al.
• Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor
• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus
Chapter 2 - Decisions, Orders and Rulings
Decisions
• CI Investments Inc.
• Counsel Portfolio Services Inc. and Brigata Diversified Portfolio
• Catchmark Timber Trust, Inc.
• Man Investments Canada Corp. et al.
• BBS Securities Inc.
• New Dawn Mining Corp. -- s. 1(10)(a)(ii)
Orders
• Global AutoTrading Inc. and Jimmy Talbot -- s. 74(1)
• Irwin Boock et al. -- ss. 127, 127.1
• Ground Wealth Inc. et al.
• NWQ Investment Management Company, LLC -- s. 80 of the CFA
• A25 Gold Producers Corp. et al.
• Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor -- ss. 127(1), 127(10)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Irwin Boock et al. -- ss. 127, 127.1
• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus
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
• Proposed Amendments to NI 45-106 Prospectus and Registration Exemptions Relating to the Short-term Debt Prospectus Exemption and Proposed Securitized Products Amendments
Chapter 8 - Notice of Exempt Financings
• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1
Chapter 12 - Registrations
• Registrants
Chapter 25 - Other Information
Approvals
• Claret Asset Management Corporation -- s. 213(3)(b) of the LTCA
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