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 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
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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