Ontario Securities Commission Bulletin
Issue 38/16 - April 23, 2015
Ont. Sec. Bull. Issue 38/16
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• OSC Staff Notice 21-708 -- OSC Staff Report on the Canadian Fixed Income Market and Next Steps to Enhance Regulation and Transparency of Fixed Income Markets
• OSC Staff Notice 32-505 -- Conditional Exemption from Registration for United States Broker-Dealers and Advisers Servicing U.S. Clients from Ontario
Notices from the Office of the Secretary
• Future Solar Developments Inc. et al.
• Blue Gold Holdings Ltd. et al.
• Pro-Financial Asset Management Inc. et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Investors Group Securities Inc. and Investors Group Financial Services Inc.
• Purpose Investments Inc.
• Caisse de dépôt et placement du Québec
• Slate Retail REIT
• Slate U.S. Opportunity (No. 3) Realty Trust
• Harmony Asset Limited
• Canadian Imperial Bank of Commerce and CIBC Asset Management Inc.
• Respect Your Universe, Inc. -- s. 1(10)(a)(ii)
• RBC Dominion Securities Inc. et al.
Orders
• Future Solar Developments Inc. et al. -- ss. 127, 127.1
• Blue Gold Holdings Ltd. et al. -- s. 127
• Pro-Financial Asset Management Inc. et al. -- s. 127
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
Marketplaces
• OSC Staff Notice -- Notice of Commission Approval of Proposed Changes to Alpha Exchange Inc.
• Liquidnet Canada -- Notice of Proposed Changes and Request for Comment
• Liquidnet Canada -- Notice of Approval of Proposed Changes
• Notice of Approval -- Omega ATS -- Broker Preferencing
Clearing Agencies
• OSC Staff Notice -- CDS Clearing and Depository Services Inc. -- Proposed Amendments to CDS Fee Schedule -- Issuer Services Program
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