Ontario Securities Commission Bulletin
Issue 37/08 - February 20, 2014
Ont. Sec. Bull. Issue 37/08
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Correction -- Irwin Boock et al.
• OSC Staff Notice 13-704 -- Applications for Participation Fee Relief for Certain Small Registered Firms and Reporting Issuers
• Global Privacy Management Trust and Robert Cranston
News Releases
• OSC to Provide Fee Relief for Certain Small Market Participants
Notices from the Office of the Secretary
• Ernst & Young LLP (Audits of Zungui Haixi Corporation)
• Global Privacy Management Trust and Robert Cranston
• North American Financial Group Inc. et al.
• Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor
• Portfolio Capital Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Edgefront Realty Corp. -- s. 1(10)(a)(ii)
• Rockgate Capital Corp. -- s. 1(10)(a)(ii)
• Plazacorp Retail Properties Ltd. -- s. 1(10)
• First Uranium Corporation -- s. 1(10)(a)(ii)
• Schneider Electric S.A.
• RBC Capital Trust II -- s. 1(10)(a)(ii)
Orders
• Edgefront Realty Corp.
• Irwin Boock et al. -- s. 127 and 127.1
• Ernst & Young LLP (Audits of Zungui Haixi Corporation) -- s. 127 and 127.1
• Canadian Derivatives Clearing Corporation -- Fifth Variation to the Temporary Exemption Order -- s. 144
• First Uranium Corporation -- s. 1(6) of the OBCA
• North American Financial Group Inc. et al. -- ss. 127)7), 127(8)
• Frederick Lawrence Marlatt, also known as Frederick Lawrence Mitschele and Michael Wallace Minor -- ss. 127(1), 127(10)
• Portfolio Capital Inc. et al.
• Celestica Inc. -- s. 104(2)(c)
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
SROs
• IIROC -- Notice of Withdrawal -- Amendments Respecting Trading in US OTC Issuers
• IIROC -- Notice of Withdrawal -- Proposed Financial Planning Rule
• IIROC -- Notice of Withdrawal -- Revisions to the Definition of "Securities Related Activities"
• IIROC -- OSC Staff Notice of Request for Comment -- Proposed Plain Language Rule 9600- Compliance Fees
Clearing Agencies
• Canadian Derivatives Clearing Corporation -- Notice of Commission Order -- Variation to the Temporary Exemption Order -- s. 144
• OSC Notice and Request for Comment -- Canadian Derivatives Clearing Corporation (CDCC) -- Application for Recognition as a Clearing Agency
• OSC Notice and Request for Comment -- LCH.Clearnet LLC -- Application for Exemption from Recognition as a Clearing Agency
Chapter 25 - Other Information
Approvals
• Higgins Investment Group Inc. -- s. 213(3)(b) of the LTCA
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