Ontario Securities Commission Bulletin
Issue 37/18 - May 01, 2014
Ont. Sec. Bull. Issue 37/18
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Agreement among Provincial and Territorial Securities Regulatory Authorities Transferring and assigning Trade-Mark to the Alberta Securities Commission
• CSA Staff Notice 31-338 -- Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization
• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation Table of Concordance and List of New Instruments
Notices of Hearing
• Paul Lester Stiles -- ss. 127(1), 127(10)
• Won Sang Shen Cho, also known as Craig Cho, doing business as Chosen Media and Groops Media -- ss. 127(1), 127(10)
Notices from the Office of the Secretary
• Heritage Education Funds Inc.
• Global RESP Corporation and Global Growth Assets Inc.
• Matthew Schloen
• Paul Lester Stiles
• Ronald James Ovenden et al.
• Ronald James Ovenden et al.
• Won Sang Shen Cho, also known as Craig Cho, doing business as Chosen Media and Groops Media
• David De Gouveia
Chapter 2 - Decisions, Orders and Rulings
Decisions
• IPC Investment Corporation and Independent Planning Group Inc.
• HHT Investments Inc. -- s. 1(10)
• JDS Uniphase Canada Ltd. -- s. 1(10)
• Vinci S.A.
• Industrial Alliance Securities Inc. and MGI Securities Inc.
• Industrial Alliance Securities Inc. and MGI Securities Inc.
• Creso Exploration Inc. -- s. 1(10)(a)(ii)
Orders
• Heritage Education Funds Inc.
• Global RESP Corporation and Global Growth Assets Inc. -- s. 127(1)
• Witwatersrand Consolidated Gold Resources Inc. -- s. 1(10)(a)(ii)
• Matthew Schloen
• Ronald James Ovenden et al.
• Ronald James Ovenden et al.
• Canadian Pacific Railway Limited -- s. 104(2)(c)
• David De Gouveia -- ss. 127(1), 127(10)
• Principal Global Investors, LLC and Integra Capital Limited -- s. 80 of the CFA
• LCH.ClearNet LLC -- s. 147
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Ronald James Ovenden et al.
• David De Gouveia -- ss. 127(1), 127(10)
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
Marketplaces
• TSX Inc -- OSC Staff Notice of Proposed Changes and Request for Comment -- Form 21-101F1 -- Mixed Lot and Odd Lot Volumes
• TSX Inc. -- OSC Staff Notice of Proposed Changes and Request for Comment -- Form 21-101F1 -- Dark Midpoint Orders
• TSX Inc -- OSC Staff Notice of Proposed Changes and Request for Comment -- Form 21-101F1 -- Market-on-Close Orders
Clearing Agencies
• LCH.Clearnet LLC -- Notice of Commission Order -- Application for Exemptive Relief
Top