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 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 11 - IPOs, New Issues and Secondary Financings

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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