Ontario Securities Commission Bulletin

Issue 38/03 - January 22, 2015

Ont. Sec. Bull. Issue 38/03

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• CSA Staff Notice 44-305 -- 2015 Update -- Structured Notes Distributed Under the Shelf Prospectus System

• OSC Staff Notice 13-705 -- Reduced Late Fee for Certain Outside Business Activities Filings

• OSC Staff Notice 11-739 (Revised) -- Policy Reformulation -- Table of Concordance and List of New Instruments

Notices from the Office of the Secretary

• David M. O'Brien

• Bluestream Capital Corporation et al.

• Pro-Financial Asset Management Inc. et al.

• Pro-Financial Asset Management Inc.

• David Charles Phillips and John Russell Wilson

• David Charles Phillips and John Russell Wilson

• Darren Spears and May Spears

• Christopher Reaney

Chapter 2 - Decisions, Orders and Rulings

Decisions

• American Hotel Income Properties REIT LP

• Great Canadian Gaming Corporation

• Bravura Ventures Corp. et al.

• PSM Exploration Inc. (formerly Polar Star Mining Corporation) -- s. 1(10)(a)(ii)

• Primary Energy Recycling Corporation -- s. 1(10)(a)(ii)

• Curis Resources Ltd. -- s. 1(10)(a)(ii)

Orders

• David M. O'Brien -- s. 9(1) of the SPPA and Rules 5.2(1) and 8.1 of the OSC Rules of Procedure

• Pro-Financial Asset Management Inc. et al. -- s. 127

• Pro-Financial Asset Management Inc.

• David Charles Phillips and John Russell Wilson

• Darren Spears and May Spears -- ss. 127(1), 127(5)

• Christopher Reaney -- s. 8(4)

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

• David Charles Phillips and John Russell Wilson -- Rule 3 of the OSC Rules of Procedure

• David Charles Phillips and John Russell Wilson

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

SROs

• IIROC -- Amendments to IIROC Rules to Harmonize with Client Relationship Model Phase 2 Provisions Effective July 15, 2015 and July 15, 2016

Marketplaces

• Liquidnet Canada -- Notice of Proposed Changes and Request for Comment

• Canadian Securities Exchange -- Request for Comments -- Additional Self Trade Prevention Features

• CX2 Canada ATS -- Notice of Commission Approval of Proposed Changes

• Toronto Stock Exchange -- Request for Comments -- Amendments to Toronto Stock Exchange Company Manual

• Toronto Stock Exchange -- Request for Comment -- Amendments to Toronto Stock Exchange Company Manual

Clearing Agencies

• CDS Clearing and Depository Services Inc. -- Material Amendments to CDS Rules -- Emergency Authority -- Notice of Commission Approval

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