Ontario Securities Commission Bulletin

Issue 38/35 - September 03, 2015

Ont. Sec. Bull. Issue 38/35

Table of Contents

Chapter 1 - Notices / News Releases

Notices

1415409 Ontario Inc. et al.

Notice of Ministerial Approval of Amendments to NI 33-105 Underwriting Conflicts, NI 45-106 Prospectus Exemptions and OSC Rule 45-501 Ontario Prospectus and Registration Exemptions

Notices from the Office of the Secretary

1415409 Ontario Inc. et al.

1415409 Ontario Inc. et al.

Richvale Resource Corporation et al.

Andre Lewis

Chapter 2 - Decisions, Orders and Rulings

Decisions

PetroNova Inc. -- s. 1(10)(a)(ii)

Alder Resources Ltd. -- s. 1(10)(a)(ii)

Excel Funds Management Inc. et al.

Sintana Holdings Corp. -- s. 1(10)

Horizons ETFs Management (Canada) Inc.

Orders

Magna International Inc. -- s. 104(2)(c)

Thomson Reuters Corporation -- s. 104(2)(c)

Thomson Reuters Corporation -- s. 104(2)(c)

Thomson Reuters Corporation -- s. 104(2)(c)

Alder Resources Ltd. -- s. 1(6) of the OBCA

Richvale Resource Corporation et al. -- ss. 17, 153 of the Act and Rule 11 of the OSC Rules of Procedure

Andre Lewis -- ss. 127(1), 127(10)

Orders with Related Settlement Agreements

1415409 Ontario Inc. et al. -- ss. 127(1), 127.1

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

Andre Lewis -- ss. 127(1), 127(10)

Director's Decisions

Eva-Christine Missullis

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 Related to the Recognition of Aequitas NEO Exchange Inc.

Amendments to NI 33-105 Underwriting Conflicts

Amendments to OSC Rule 45-501 Ontario Prospectus and Registration Exemptions

Amendments to NI 45-106 Prospectus Exemptions

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

IIROC -- Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread -- Notice of Commission Approval

IIROC -- Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees -- Notice of Commission Approval

 

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