Ontario Securities Commission Bulletin
Issue 38/01 - January 08, 2015
Ont. Sec. Bull. Issue 38/01
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Redaction -- James Barnett (also known as John David)
Notices of Hearing
• Ground Wealth Inc. et al. -- ss. 127, 127.1
Notices from the Office of the Secretary
• Darren Spears and May Spears
• Eric Inspektor
• GITC Investments and Trading Canada Ltd. et al.
• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus
• Bluestream Capital Corporation et al.
• Ground Wealth Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• RBC Global Asset Management Inc.
• Canoe Financial LP et al.
• Goldman Sachs & Co. et al.
• Pro-Financial Asset Management Inc. et al.
• Stephenson & Company Capital Management Inc.
• Manulife Asset Management Limited et al.
• IA Clarington Investments Inc. et al.
• FundEx Investments Inc. and Investment Financial Group Inc.
Orders
• Darren Spears and May Spears -- ss. 127(1), 127(5)
• Darren Spears and May Spears
• Eric Inspektor
• GITC Investments and Trading Canada Ltd. et al. -- ss. 127(7), 127(8)
• 1700480 Ontario Inc. and the Macerich Company
• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus
• Bluestream Capital Corporation et al. -- s. 127
• HPB Investments Inc. -- s. 144
• Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- s. 147
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus -- ss. 22(1), 55(1) and 60(1) of the CFA
• James Barnett (also known as John David)
• Christopher Reaney -- s. 31
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
Clearing Agencies
• Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. -- Application for Exemption -- Notice of Exemption Order
• CDS -- Material Amendments to CDS Rules and Procedures -- Mitigation of Procyclical Effects on Calculations of Equity Haircuts and the CNS Participant Fund Collateral Requirements; Introduction of a CNS Participant Default Fund; Settlement Agent Category Credit Rings -- Notice of Commission Approval
Chapter 25 - Other Information
Approvals
• Stephenson & Company Capital Management Inc. -- s. 213(3)(b) of the LTCA
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