Ontario Securities Commission Bulletin
Issue 37/29 - July 17, 2014
Ont. Sec. Bull. Issue 37/29
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 51-341 -- Continuous Disclosure Review Program Activities for the Fiscal Year Ended March 31, 2014
• CSA Staff Notice 24-310 -- Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements and Related Companion Policies
Notices of Hearing
• Sino-Forest Corporation et al. -- ss. 127, 127.1
Notices from the Office of the Secretary
• Rezwealth Financial Services Inc. et al.
• Pro-Financial Asset Management Inc.
• Sino-Forest Corporation et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• I.G. Investment Management, Ltd. et al.
• Cancor Mines Inc. -- s. 1(10)(a)(ii)
• Diversinet Corp.
• Credit Suisse Securities (Canada), Inc. and Credit Suisse Securities (USA) LLC
• National Bank Financial Inc. and NBCN Inc.
Orders
• Rezwealth Financial Services Inc. et al. -- ss. 127(1), 127.1
• Rodocanachi Capital Inc. -- s. 144
• Diversinet Corp. -- s. 1(6) of the OBCA
• Pro-Financial Asset Management Inc.
• Maple Group Acquisition Corporation et al. -- s. 144
• National Bank Financial & Co. Inc. and National Bank Group Inc. -- s. 144
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Rezwealth Financial Services Inc. et al. -- ss. 127(1), 127.1
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 5 - Rules and Policies
• Repeal and Replacement of NI 52-108 Auditor Oversight, and Amendments to NI 41-101 General Prospectus Requirements, NI 51-102 Continuous Disclosure Obligations, and NI 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers
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
Clearing Agencies
• Notice of Effective Date -- Technical Amendments to CDS Procedures -- Segregation of CDSX Functions
• CDS -- OSC Staff Notice of Request for Comment -- Material Amendments to CDS Procedures -- Amendments to Processing a New York Link Participant Default
Chapter 25 - Other Information
Consents
• Galahad Metals Inc. -- s. 4(b) of the Regulation
Permissions
• Canaccord Genuity Limited, on behalf of FatFace Group plc
Top