Ontario Securities Commission Bulletin
Issue 37/47 - November 20, 2014
Ont. Sec. Bull. Issue 37/47
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Recognition of Aequitas Innovations Inc. and Aequitas Neo Exchange Inc. as an Exchange
Notices from the Office of the Secretary
• TD Waterhouse Private Investment Counsel Inc. et al.
• International Strategic Investments et al.
• William McDonald Ferguson
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Redwood Asset Management Inc.
• Dunav Resources Ltd. -- s. 1(10)
• Elgin Mining Inc. -- s. 1(10)(a)(ii)
• Citizens Bank, National Association
• Excel Funds Management Inc. and Excel Capital Income Fund
• Reckitt Benckiser Group PLC and Indivior PLC
• Invesco Canada Ltd.
Orders
• TD Waterhouse Private Investment Counsel Inc. et al. -- ss. 127(1), 127(2), 127.1
• International Strategic Investments et al.
• Elgin Mining Inc. -- s. 1(6) of the OBCA
• William McDonald Ferguson -- ss. 127(1), 127(10)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• TD Waterhouse Private Investment Counsel Inc. et al.
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
• Recognition of Aequitas Innovations Inc. and Aequitas Neo Exchange Inc.
• TriAct Canada Marketplace LP -- Notice of Approval of Proposed Change
Clearing Agencies
• OSC Staff Notice of Request for Comment -- CDS Clearing and Depository Services Inc. (CDS®) -- Material Amendments to CDS Procedures -- Amendments Related to the Extenders of Credit and Settlement Agents Category Credit Rings
• OSC Staff Notice of Request for Comment -- CDS Clearing and Depository Services Inc. (CDS®) -- Material Amendments to CDS Rules -- Amendments Related to the Extenders of Credit and Settlement Agents Category
• OSC Staff Notice of Request for Comment -- CDS Clearing and Depository Services Inc. (CDS®) -- Material Amendments to CDS Procedures -- Amendments Related to the Mitigation of Procyclical Effects on Calculations of Equitiy Haircuts and the CNS Participant Fund Collateral Requirements
• OSC Staff Notice of Request for Comment -- CDS Clearing and Depository Services Inc. (CDS®) -- Material Amendments to CDS Rules -- Amendments Related to the Introduction of a CNS Participant Default Fund
• OSC Staff Notice of Request for Comment -- CDS Clearing and Depository Services Inc. (CDS®) -- Material Amendments to CDS Procedures -- Amendments Related to the Introduction of a CNS Participant Default Fund
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