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 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

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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