Ontario Securities Commission Bulletin
Issue 38/17 - April 30, 2015
Ont. Sec. Bull. Issue 38/17
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Ministerial Approval of Amendments to NI 45-106 Prospectus and Registration Exemptions and Consequential Amendments
Notices from the Office of the Secretary
• 1415409 Ontario Inc. et al.
• Bluestream Capital Corporation et al.
• International Strategic Investments et al.
• Portfolio Capital Inc. et al.
• Paul Azeff et al.
• Bryan Andrew Vickers
• Satish Talawdekar and Anand Hariharan
• Weizhen Tang
• Oversea Chinese Fund Limited Partnership et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Professionals Financial -- Mutual Funds Inc.
• Dominion Equity Resource Growth Class of Brickburn Funds Inc.
• Dixie Energy Trust
• National Bank Trust Inc.
Orders
• 1415409 Ontario Inc. et al. -- ss. 127, 127.1
• Bluestream Capital Corporation et al. -- ss. 127, 127.1
• International Strategic Investments et al. -- ss. 127, 127.1
• Portfolio Capital Inc. et al.
• Paul Azeff et al.
• Sonomax Technologies Inc. -- s. 144(1)
• Satish Talawdekar and Anand Hariharan -- ss. 127(1), 127.1
• Weizhen Tang -- ss. 127(1), 127(10)
• Oversea Chinese Fund Limited Partnership et al. -- ss. 127(7), 127(8)
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Bluestream Capital Corporation et al. -- ss. 127, 127.1
• Bryan Andrew Vickers -- ss. 8(3), 21.7
• Satish Talawdekar and Anand Hariharan
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 5 - Rules and Policies
• CSA Notice of Publication -- National Policy 25-201 Guidance for Proxy Advisory Firms
• Amendments to NI 45-106 Prospectus and Registration Exemptions Relating to the Short-term Debt Prospectus Exemption and Short-term Securitized Products
• Amendments to NI 25-101 Designated Rating Organizations Relating to the Short-term Debt Prospectus Exemption and Short-term Securitized Products
• Amendments to NI 45-106 Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Amendments to NI 51-102 Continuous Disclosure Obligations Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Amendments to MI 11-102 Passport System, MI 13-102 System Fees for SEDAR and NRD, NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers, NI 33-105 Underwriting Conflicts, NI 41-101 General Prospectus Requirements, NI 45-102 Resale of Securities, NI 51-102 Continuous Disclosure Obligations, NI 52-107 Acceptable Accounting Principles and Auditing Standards, NI 62-103 The Early Warning System and Related Take-Over Bid and Insider Reporting Issues, and MI 62-104 Take-Over Bids and Issuer Bids Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Amendments to NI 45-102 Resale of Securities Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Amendments to OSC Rule 91-502 Trades in Recognized Options -- Rule Under the Securities Act Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Amendments to OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission, OSC Rule 13-502 Fees, OSC Rule 91-501 Strip Bonds, and OSC Rule 48-501 Trading during Distributions, Formal Bids and Share Exchange Transactions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Amendments to NI 45-106 Prospectus and Registration Exemptions Relating to the Family, Friends and Business Associates Exemption
• Amendments to NI 45-102 Resale of Securities Relating to the Family, Friends and Business Associates Exemption
• Amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions Relating to the Family, Friends and Business Associates Exemption
• Companion Policy 45-106CP Prospectus and Registration Exemptions (Blackline of Changes Relating to the Accredited Investor, Minimum Amount Investment and Short-term Debt Prospectus Exemptions and Shortterm Securitized Products)
• Changes to Companion Policy 45-501CP to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Changes to Companion Policy 11-102CP Passport System, NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions, Companion Policy 23-103CP Electronic Trading and Direct Electronic Access to Marketplaces, Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations, Companion Policy 45-102CP to NI 45-102 Resale of Securities, Companion Policy 51-105CP Issuers Quoted in the U.S. Over-the-Counter Markets Relating to the Accredited Investor and Minimum Amount Investment Prospectus Exemptions
• Changes to Companion Policy 45-106CP Prospectus and Registration Exemptions Relating to the Family, Friends and Business Associates Exemption
• Changes to Companion Policy 45-501CP to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions Relating to the Family, Friends and Business Associates Exemption
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 -- Amendment to Universal Market Integrity Rule 1.1 -- Notice of Commission Approval
Marketplaces
• Chi-X Canada ATS -- Notice of Commission Approval of Proposed Changes -- MOC Orders
• Toronto Stock Exchange -- Notice of Approval -- Amendments to Section 720 of the TSX Company Manual
Chapter 25 - Other Information
Approvals
• East West Investment Management Corporation -- s. 213(3)(b) of the LTCA
• AYAL Capital Advisors Limited -- s. 213(3)(b) of the LTCA
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