Ontario Securities Commission Bulletin
Issue 37/39 - September 25, 2014
Ont. Sec. Bull. Issue 37/39
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Staff Notice 33-745 -- Compliance and Registrant Regulation -- Annual Summary Report for Dealers, Advisers and Investment Fund Managers
Notices of Hearing
• Alexander Christ Doulis and Liberty Consulting Ltd. -- ss. 127, 127.1
• Ernst & Young LLP (Audits of Sino-Forest Corporation and Zungui Haixi Corporation) -- ss. 127, 127.1
Notices from the Office of the Secretary
• David O'Brien
• Alexander Christ Doulis and Liberty Consulting Ltd.
• Eric Inspektor
• Wealth Stewards Portfolio Management Inc. and Sushila Lucas
• Paul Azeff et al.
• Ernst & Young LLP (Audits of Sino-Forest Corporation and Zungui Haixi Corporation)
Chapter 2 - Decisions, Orders and Rulings
Decisions
• SHSC Financial Inc. et al.
• Cadillac Mining Corporation -- s. 1(10)
• Mackenzie Financial Corporation et al.
Orders
• David O'Brien -- s. 9(1) of the SPPA and Rules 5.2(1), 8.1 of the OSC Rules of Procedure
• Alexander Christ Doulis and Liberty Consulting Ltd. -- s. 127 and OSC Rules of Procedure
• Eric Inspektor
• Wealth Stewards Portfolio Management Inc. and Sushila Lucas -- s. 8(4) of the Act and Rule 9.2 of the OSC Rules of Procedure
• Paul Azeff et al. -- Rules 1.6(2) and 3 of the OSC Rules of Procedure and s. 9 of the SPPA
• Chicago Mercantile Exchange Inc. -- s. 21.2.2
• DTCC Data Repository (U.S.) LLC -- s. 21.2.2
• ICE Trade Vault, LLC -- s. 21.2.2
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Alexander Christ Doulis and Liberty Consulting Ltd. -- 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
• CHI-X Canada ATS and CX2 Canada ATS -- Notice of Commission Approval of Proposed Changes
• TSX Inc. -- Notice of Withdrawal -- Dark Midpoint Orders -- Minimum Quantity
• TriAct Canada Marketplace LP -- Notice of Proposed Changes and Request for Comment -- Change to the MATCH Now Trading System
• TSX -- Notice of Approval -- Amendments to Part VI of the TSX Company Manual
Clearing Agencies
• CDS Clearing and Depository Services Inc. -- Material Amendments to CDS Procedures -- Amendments to Processing a New York Link Participant Default -- Notice of Commission Approval
Trade Repositories
• Chicago Mercantile Exchange Inc., DTCC Data Repository (U.S.) LLC, and ICE Trade Vault, LLC
Chapter 25 - Other Information
Approvals
• Sodhi Asset Management Inc. -- s. 213(3)(b) of the LTCA
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