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 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 -- 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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