Ontario Securities Commission Bulletin
Issue 38/19 - May 14, 2015
Ont. Sec. Bull. Issue 38/19
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• Notice of Ministerial Approval of Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting
• Multilateral CSA Staff Notice 24-313 -- CSA Staff's Review of Proposed Amendments to Fee Schedule of The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
Notices from the Office of the Secretary
• Constance Anderson
• Edward Furtak et al.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• Counsel Portfolio Services Inc. and Brigata Diversified Portfolio
• Glacier Credit Card Trust
• Kelt Exploration (LNG) Ltd. -- s. 1(10)(a)(ii)
• Manulife Securities Incorporated and Manulife Securities Investment Services Inc.
• Fiera Capital Corporation
• Mackenzie Financial Corporation et al.
• Auspice Capital Advisors Ltd. et al.
• Auspice Capital Advisors Ltd. et al.
• Global Infrastructure Dividend Fund and Middlefield Limited
• Ten Star Financial Inc. and Investia Financial Services Inc.
• Foto Source Canada Inc.
• Toron Capital Markets Inc.
Orders
• Constance Anderson -- ss. 127(1), 127.1(1)
• Edward Furtak et al. -- ss. 127, 127.1
• RBC Quant Canadian Equity Leaders ETF et al. -- s. 1.1
• DW SEF LLC -- s. 147
• MFDA Investor Protection Corporation et al. -- s. 144
• BlueMountain Capital Management, LLC -- s. 80 of the CFA
• Cline Mining Corporation -- s. 144
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Constance Anderson
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
• Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting
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
• MFDA Investor Protection Corporation -- Variation and Restatement of Approval Order -- Notice of Commission Approval
Marketplaces
• DW SEF LLC
Clearing Agencies
• Technical Amendments to CDS Procedures -- CDS Currency Service -- Notice of Effective Date
Chapter 25 - Other Information
Approvals
• The Murray Wealth Group Inc. -- s. 213(3)(b) of the LTCA
Suspensions of Registration
• Madison Peak Securities Ltd. -- s. 28
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