Ontario Securities Commission Bulletin

Issue 38/20 - May 21, 2015

Ont. Sec. Bull. Issue 38/20

Table of Contents

Chapter 1 - Notices / News Releases

Notices

CSA Staff Notice 31-341 -- Omnibus/Blanket Orders Exempting Registrants from Certain CRM2 Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

CSA Staff Notice 45-304 (Revised) -- Notice of Local Exemptions Related to NI 45-106 Prospectus Exemptions and NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

OSC Staff Notice 45-709 (Revised) -- Tips for Filing Reports of Exempt Distribution

Notices of Hearing

Garth H. Drabinsky et al. -- ss. 127, 127.1

Notices from the Office of the Secretary

Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus

Gordon Mak

Garth H. Drabinsky et al.

Chapter 2 - Decisions, Orders and Rulings

Decisions

Lawrence Enterprise Fund Inc. -- s. 1(10)

Coeur San Miguel Corp. -- s. 1(10)(a)(ii)

Genworth Financial Inc. and Genworth MI Canada Inc.

Sentry Investments Inc. and certain other registered firms as of July 15, 2015

TD Investment Services Inc. and MFDA member firms registered as of July 15, 2015

Desjardins Securities Inc. and IIROC member firms registered as of July 15, 2015

Orders

Horizons ETFs Management (Canada) Inc., formerly JovInvestment Management Inc. and ProShare Advisors LLC -- s. 80 of the CFA

Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus -- ss. 60, 60.1

Wheels Group Inc. -- s. 1(6) of the OBCA

Gordon Mak -- ss. 127(1), 127(10)

trueEX LLC -- s. 147

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions, Orders and Rulings

Fawad Ul Haq Khan and Khan Trading Associates Inc. carrying on business as Money Plus -- ss. 60, 60.1

Gordon Mak -- ss. 127(1), 127(10)

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 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

Marketplaces

Toronto Stock Exchange -- Request for Comments -- Public Consultation on Requirements Respecting Customized Share Certificates

Toronto Stock Exchange -- Notice of Housekeeping Rule Amendments -- Housekeeping Amendments to the TSX Company Manual -- Requirements Respecting Share Certificates

TSX Inc. -- Notice of Proposed Amendments and Request for Comments -- Long Life Orders

trueEX LLC -- Application for Interim Exemption Order -- Notice of Commission Order

Clearing Agencies

Technical Amendments to CDS Procedures -- CNS Enhancement Initiatives -- CNS Collateral Deadlines -- Notice of Effective Date

 

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