Ontario Securities Commission Bulletin
Issue 37/46 - November 13, 2014
Ont. Sec. Bull. Issue 37/46
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Correction -- OSC Bulletin, Volume 37, Issue 42, Supplement 5 -- Final Amendments to NI 31-103, NI 33-109 and Related Instruments, Policies and Forms
Notices of Hearing
• TD Waterhouse Private Investment Counsel Inc. et al. -- ss. 127(1), 127(2), 127.1
Notices from the Office of the Secretary
• Wealth Stewards Portfolio Management Inc. and Sushila Lucas
• TD Waterhouse Private Investment Counsel Inc. et al.
• Eric Inspektor
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Genworth Financial, Inc. and Genworth MI Canada Inc.
• Independent Electricity System Operator -- s. 42 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting
• Concentra Financial Services Association
• Russell Investments Canada Limited
• CI Investments Inc. et al.
• Augusta Resource Corporation -- s. 1(10)(a)(ii)
• Shahuindo Gold Limited (formerly Sulliden Gold Corporation Ltd.)
• Mongolia Growth Group Ltd. and Cantor Fitzgerald Canada Corporation
• Timber Hill Canada Co.
• Global Diversified Investment Grade Income Trust
• New Red Canada Limited Partnership and Tim Hortons Inc.
Orders
• Wealth Stewards Portfolio Management Inc. and Sushila Lucas
• BMO MSCI USA High Quality Index ETF et al. -- s. 1.1
• Kombat Copper Inc. -- s. 1(11)(b)
• Pinebridge Investments LLC -- s. 80 of the CFA
• Ontario Genomics Institute -- s. 74(1)
• Eric Inspektor
Rulings
• Wells Fargo Securities, LLC -- s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options
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
SROs
• MFDA -- Variation and Restatement of Recognition Order
• IIROC -- Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member
• IIROC -- Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 -- Notice of Commission Approval
Clearing Agencies
• CDS -- Proposed Amendments to CDS Fee Schedule re Issuer Services Program -- Notice and Request for Comment
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