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 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
• 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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