Ontario Securities Commission Bulletin
Issue 37/33 - August 14, 2014
Ont. Sec. Bull. Issue 37/33
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Ministerial Approval of Amendments to Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting
Notices from the Office of the Secretary
• Wealth Stewards Portfolio Management Inc. and Sushila Lucas
• Gold-Quest International and Sandra Gale
• Tuckamore Capital Management Inc.
• Access Holdings Management Company LLC and Tuckamore Capital Management Inc.
• Portfolio Capital Inc. et al.
• Tuckamore Capital Management Inc.
• Ground Wealth Inc. et al.
• Paul Azeff et al.
• Crown Hill Capital Corporation and Wayne Lawrence Pushka
• Pro-Financial Asset Management Inc.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Purpose Investments Inc. and Purpose Enhanced US Equity Fund
• 8913404 Canada Inc. -- s. 1(10)(a)(ii)
• Agilent Technologies, Inc.
• Northwest & Ethical Investments L.P. and the Corporate Classes
• Powder Mountain Inc. (formerly Passport Energy Ltd.) -- s. 1(10)(a)(ii)
• Tangerine Investment Management Inc. (formerly known as ING Direct Asset Management Limited)
• Fidelity Investments Canada ULC and Fidelity Floating Rate High Income Fund
• Ranaz Corporation -- s. 1(10)(a)(ii)
• Heritage Oil Plc -- 1(10)(a)(ii)
• Interactive Brokers Canada Inc.
• Longview Oil Corp. -- s. 1(10)
• Canadian Malartic Corporation -- s. 1(10)
• 360 VOX Corporation
• True North Apartment Real Estate Investment Trust
• The Brick Ltd. -- s. 1(10)(a)(ii)
Orders
• McGraw-Hill Ryerson Limited -- s. 1(6) of the OBCA
• Mediterranean Resources Ltd. -- s. 144
• Wealth Stewards Portfolio Management Inc. and Sushila Lucas -- s. 8(4) of the Act and Rule 9.2 of the OSC Rules of Procedure
• Gold-Quest International and Sandra Gale -- s. 127
• Rodocanachi Capital Inc. -- s. 144
• Access Holdings Management Company LLC and Tuckamore Capital Management Inc.
• Portfolio Capital Inc. et al.
• Tuckamore Capital Management Inc.
• Ground Wealth Inc. et al.
• Crown Hill Capital Corporation and Wayne Lawrence Pushka -- ss. 127, 127.1
• Pro-Financial Asset Management Inc.
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Acasta Capital Inc. -- s. 31
• Paul Azeff et al. -- ss. 5.2 and 9 of the OSC Rules of Procedure and s. 9 of the SPPA
• Crown Hill Capital Corporation and Wayne Lawrence Pushka
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
• Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting
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, Clearing Agencies and Trade Repositories
Clearing Agencies
• CDCC -- OSC Staff Notice of Request for Comment -- Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address the Concentration Risk
• CDCC -- OSC Staff Notice of Request for Comment -- Amendments to the Operations Manual and Risk Manual of the Canadian Derivatives Clearing Corporation to address the Mismatched Settlement Risk in the margin calculation
• CDCC -- OSC Staff Notice of Request for Comment -- Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address the close-out periods in the margin calculation
• CDCC -- OSC Staff Notice of Request for Comment -- Amendments to the Operations Manual and Risk Manual of the Canadian Derivatives Clearing Corporation to address additional margin for specific wrong-way risk
• CDCC -- OSC Staff Notice of Request for Comment -- Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address the collateral haircuts
• CDCC -- OSC Staff Notice of Request for Comment -- Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address procyclicality of margin
• Notice of Commission Approval -- Material Amendments to CDS Rules -- Financial Institutions
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