Ontario Securities Commission Bulletin
Issue 37/38 - September 18, 2014
Ont. Sec. Bull. Issue 37/38
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Ministerial Approval of Amendments to NI 81-102 Mutual Funds, NI 81-106 Investment Fund Continuous Disclosure, NI 81-101 Mutual Fund Prospectus Disclosure, NI 41-101 General Prospectus Requirements and Consequential Amendments
• OSC Staff Notice 33-744 -- Availability of registration exemptions to foreign dealers in connection with trades in options and futures contracts under the Commodity Futures Act (Ontario)
News Releases
• OSC Proposes Amendments to Fee Rules
Notices from the Office of the Secretary
• Garth H. Drabinsky et al.
• Powerwater Systems, Inc. et al.
• Morgan Dragon Development Corp. et al.
• Fawad Ul Haq Khan and Khan Trading Associates
• Northern Securities Inc. et al.
• North American Financial Group Inc. et al.
• Marc McQuillen
• Gold-Quest International and Sandra Gale
• Eric Inspektor
• Garth H. Drabinsky et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Element Financial Corporation
• Bullion Management Services Inc. and BMG GOLD Advantage Return BullionFund
• PFSL Fund Management Ltd. and PFSL Investments Canada Ltd.
• TD Sponsored Companies Inc. et al.
• Cap Gemini S.A.
• Whitecap Resources Inc.
Orders
• Garth H. Drabinsky et al. -- ss. 127 and 127.1
• Powerwater Systems, Inc. et al. -- ss. 127(1) and 127(10)
• Garth H. Drabinsky et al. -- ss. 127(1) and 127(10)
• Morgan Dragon Development Corp. et al.
• Northern Securities Inc. et al. -- ss. 21.7 and 8(3)
• North American Financial Group Inc. et al. -- ss. 127 and 127.1
• Fawad Ul Haq Khan and Khan Trading Associates Inc.
• Western Asset Management Company
• TriAusMin
• Gold-Quest International and Sandra Gale -- s. 127(1)
• Eric Inspektor -- Rules 1.7.4 and 11 of the OSC Rules of Procedure
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Garth H. Drabinsky et al.
• Morgan Dragon Development Corp. et al. -- ss. 127 and 127.1
• North American Financial Group Inc. et al.
• Northern Securities Inc. et al. --ss. 8(3) and 21.7
• Marc McQuillan
• Gold-Quest International and Sandra Gale
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 NI 81-102 Mutual Funds
• Changes to Companion Policy 81-102CP Mutual Funds
• Amendments to NI 81-106 Investment Fund Continuous Disclosure
• Change to Companion Policy 81-106CP Investment Fund Continuous Disclosure
• Amendments to NI 81-101 Mutual Fund Prospectus Disclosure
• Amendments to NI 41-10 General Prospectus Requirements
• Amendments to NI 81-107 Independent Review Committee for Investment Funds
• Changes to Commentary in NI 81-107 Independent Review Committee for Investment Funds
• Amendments to NI 24-101 Institutional Trade Matching and Settlement, NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, NI 33-109 Registration Information, NI 44-102 Shelf Distributions, NI 45-106 Prospectus and Registration Exemptions, NI 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues, NI 81-104 Commodity Pools, and NI 81-105 Mutual Fund Sales Practices
• Change to Companion Policy 81-104CP Commodity Pools
• Change to Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations
• Change to NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions
Chapter 6 - Request for Comments
• Proposed Amendments to OSC Rule 13-502 Fees and Companion Policy 13-502CP Fees
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
SROs
• IIROC -- Notice of Request for Comments -- Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1
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