Ontario Securities Commission Bulletin

Issue 38/04 - January 29, 2015

Ont. Sec. Bull. Issue 38/04

Table of Contents

Chapter 1 - Notices / News Releases

Notices

CSA Staff Notice 81-325 -- Status Report on Consultation under CSA Notice 81-324 and Request for Comment on Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts

CSA Staff Notice 54-303 -- Progress Report on Review of the Proxy Voting Infrastructure

CSA Consultation Paper 92-401-- Derivatives Trading Facilities

Ontario Securities Commission, Investment Funds and Structured Products Branch -- IFRS Release No. 4

OSC Staff Notice 51-724 -- Report on Staff's Review of REIT Distributions Disclosure

Practice Guideline -- January 26, 2015 -- Case Management Timeline for Enforcement Proceedings

CSA Staff Notice 11-312 (Revised) -- National Numbering System

OSC Staff Notice 51-723 -- Report on Staff's Review of Related Party Transaction Disclosure and Guidance on Best Practices

Notices of Hearing

Thomas Hochhausen and Douglas Bender -- ss. 127(1), 127(10)

Ground Wealth Inc. et al. -- ss. 127(1), 127.1 and Rule 12 of the OSC Rules of Procedure

Notices from the Office of the Secretary

Thomas Hochhausen and Douglas Bender

Ground Wealth Inc. et al.

Ground Wealth Inc. et al.

Wealth Stewards Portfolio Management Inc. and Sushila Lucas

Practice Guideline -- Case Management Timeline for Enforcement Proceedings

Chapter 2 - Decisions, Orders and Rulings

Decisions

First Asset Investment Management Inc. and the Top Funds

UNIPCO Ltd. et al.

Encana Corporation

NexGen Financial Corporation -- s. 1(10)(a)(ii)

Orders

Fire River Gold Corp. -- s. 144

NexGen Financial Corporation -- s. 1(6) of the OBCA

Ground Wealth Inc. et al.

Wealth Stewards Portfolio Management Inc. and Sushila Lucas -- s. 8(4) of the Act and Rule 9.2 of the OSC Rules of Procedure

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

Ground Wealth 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 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 -- Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision

Marketplaces

Lynx ATS -- Notice of OSC Approval of Proposed Changes and Notice of Withdrawal of the Self-Trade Prevention Across Multiple Brokers

TriAct Canada Marketplace LP -- Notice of Withdrawal of the No Self Trade Feature for Orders Across Multiple Subscribers

Omega ATS -- Notice of OSC Approval of Proposed Changes and Notice of Withdrawal of the Self-Trade Prevention Across Multiple Brokers

 

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