Ontario Securities Commission Bulletin
Issue 38/25 - June 25, 2015
Ont. Sec. Bull. Issue 38/25
Table of Contents
Chapter 1 - Notices / News Releases
Notices
• CSA Staff Notice 45-308 (Revised) -- Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions
• OSC Staff Notice 81-727 -- Report on Staff's Continuous Disclosure Review of Mutual Fund Practices Relating to Portfolio Liquidity
• Practice Guideline -- Electronic Copies of Written Submissions
Notices of Hearing
• David M. O'Brien -- ss. 127 and 127.1 of the Act and Rule 12 of the OSC Rules of Procedure
• Good Mining Exploration Inc. -- s. 127
Notices from the Office of the Secretary
• Practice Guideline -- Electronic Copies of Written Submissions
• 1415409 Ontario Inc. et al.
• David M. O'Brien
• Good Mining Exploration Inc.
• Good Mining Exploration Inc.
Chapter 2 - Decisions, Orders and Rulings
Decisions
• NorthWest International Healthcare Properties Real Estate Investment Trust -- s. 1(10)(a)(ii)
• Middlefield Limited et al.
• Enbridge Inc.
• Santacruz Silver Mining Ltd.
• Cardinal Energy Ltd.
• JDS Uniphase Corporation
• 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
• Canadian Pacific Railway Limited -- s. 104(2)(c)
• Canadian Pacific Railway Limited -- s. 104(2)(c)
• Canadian Pacific Railway Limited -- s. 104(2)(c)
• Dollarama Inc. -- s. 104(2)(c)
• Pyramis Global Advisors, LLC et al. -- s. 80 of the CFA
• Russell Investments Canada Limited -- s. 80 of the CFA
• BlackRock Asset Management Canada Limited and BlackRock Institutional Trust Company, N.A. -- s. 80 of the CFA
• BNY Mellon Asset Management Canada Limited and Standish Mellon Asset Management Company LLC -- s. 80 of the CFA
• 1415409 Ontario Inc. et al. -- ss. 127, 127.1
• Good Mining Exploration Inc. -- s. 127(1)
• Lucy Marie Pariak-Lukic -- ss. 8(3), 21.7
Chapter 3 - Reasons: Decisions, Orders and Rulings
OSC Decisions, Orders and Rulings
• Lucy Marie Pariak-Lukic -- ss. 8(3), 27.1
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 Amendments to NI 33-105 Underwriting Conflicts
• Notice of Amendments to OSC Rule 45-501 Ontario Prospectus and Registrations Exemptions and NI 45-106 Prospectus Exemptions
• Unofficial Consolidation of NI 55-104 Insider Reporting Requirements and Exemptions and Companion Policy 55-104CP
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 -- Client Relationship Model -- Phase 2 -- Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
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