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 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 25 - Other Information

Approvals

Claret Asset Management Corporation -- s. 213(3)(b) of the LTCA

 

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