Ontario Securities Commission Bulletin
Issue 37/36 - September 04, 2014
Ont. Sec. Bull. Issue 37/36
Table of Contents
Chapter 1 - Notices / News Releases
Notices of Hearing
• Newer Technologies Limited et al. -- ss. 127 and 127.1 and Rule 12 of the Commission's Rules of Procedure
• Newer Technologies Limited et al. -- ss. 127 and 127.1 and Rule 12 of the Commission's Rules of Procedure
Notices from the Office of the Secretary
• Jowdat Waheed and Bruce Walter
• Pro-Financial Asset Management Inc.
• Conrad M. Black et al.
• Newer Technologies Limited et al.
• Newer Technologies Limited et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Needham & Company, LLC
• 1832 Asset Management L.P.
• First Asset Investment Management Inc. and First Asset U.S. & Canada Lifeco Income Fund
• CMQ Resources Inc.
• iShares Advantaged Short Duration High Income ETF and Blackrock Asset Management Canada Limited
• Tranzeo Wireless Technologies Inc.
Orders
• Pro-Financial Asset Management Inc.
• Kalenjin Advisory Ltd. -- s. 74(1)
• Conrad M. Black et al.
• UBS Global Asset Management (Canada) Inc. et al. -- s. 80 of the CFA
• DMD Digital Health Connections Group Inc. -- s. 144
Rulings
• Carthos Services LP -- ss. 144 and 74(1)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Jowdat Waheed and Bruce Walter -- s. 127
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, Clearing Agencies and Trade Repositories
Marketplaces
• Toronto Stock Exchange -- Notice of Approval Amendments to Parts III, VI and VII of the Toronto Stock Exchange Company Manual and to Parts 2 and 7 of The Toronto Stock Exchange Rule Book
• Notice 2014-005 -- Notice & Request for Comments -- Changes to Odd Lot Matching
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