Ontario Securities Commission Bulletin

Issue 38/38 - September 24, 2015

Ont. Sec. Bull. Issue 38/38

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• CSA Staff Notice 31-342 -- Guidance for Portfolio Managers Regarding Online Advice

• OSC Staff Notice 33-746 -- Annual Summary Report for Dealers, Advisers and Investment Fund Managers

Notices from the Office of the Secretary

• Travis Michael Hurst et al.

• AMTE Services Inc. et al.

• Pro-Financial Asset Management Inc. et al.

• Oversea Chinese Fund Limited Partnership et al.

• GreenStar Agricultural Corporation and Lianyun Guan

• Portfolio Strategies Securities Inc. and Clifford Todd Monaghan

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Aston Hill Capital Markets Inc. and Aston Hill Asset Management Inc.

• Bullion Management Services Inc. et al.

• Invesco Canada Ltd.

• IG AGF Canadian Growth Fund et al.

• Canadian Advantaged Convertibles Fund et al.

• DHX Media Ltd.

• First National Mortgage Investment Fund and Stone Asset Management Limited

• Brookfield New Horizons Income Fund et al.

• BMO Investments Inc.

• GE Capital International Funding Company

• Desjardins Investments Inc.

Orders

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

• Travis Michael Hurst et al. -- ss. 127(1), 127(10)

• AMTE Services Inc. -- s. 127(8)

• Pro-Financial Asset Management Inc. et al. -- s. 127

• Oversea Chinese Fund Limited Partnership et al. -- ss. 127(7), 127(8)

• GreenStar Agricultural Corporation and Lianyun Guan

• Portfolio Strategies Securities Inc. and Clifford Todd Monaghan

Chapter 3 - Reasons: Decisions, Orders and Rulings

OSC Decisions

• GreenStar Agricultural Corporation and Lianyun Guan -- ss. 127, 127.1

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 Relating to Rights Offerings to NI 45-106 Prospectus Exemptions, NI 41-101 General Prospectus Requirements, NI 44-101 Short Form Prospectus Distributions and NI 45-102 Resale of Securities, and Repeal of NI 45-101 Rights Offerings

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 -- Amendments to Research Report Quiet Periods -- Immediate Implementation of Amendments to Rule 3400, Requirement 14 -- Notice of Commission Approval

Marketplaces

• TSX Inc. -- Notice of Housekeeping Rule Amendments -- Housekeeping Amendments to Toronto Stock Exchange Rule Book and Policies

• Alpha Exchange Inc. -- Notice of Housekeeping Rule Amendments -- Housekeeping Amendments to TSX Alpha Exchange Trading Policies

• Aequitas Neo Exchange Inc. -- OSC Staff Notice of Request for Comment -- Appeal Procedures

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