Ontario Securities Commission Bulletin

Issue 39/01 - January 07, 2016

Ont. Sec. Bull. Issue 39/01

Table of Contents

Chapter 1 - Notices / News Releases

Notices

• CSA Staff Notice 21-316 -- Information Processor for Corporate Debt Securities

• Notice of Amendments to the Securities Act -- Bill 91

• Notice of Amendments to the Securities Act -- Bill 144

• Notice of Ministerial Approval of Amendments to NI 45-106 Prospectus Exemptions

• OSC Staff Notice 11-742 (Revised) -- Securities Advisory Committee

• Notice of Memorandum of Understanding Concerning Monitoring of the Ongoing Compliance with Recognition Conditions by CCPs Established in Canada

Notices of Hearing

• Argosy Securities Inc. and Keybase Financial Group Inc. -- s. 8

Notices from the Office of the Secretary

• Argosy Securities Inc. and Keybase Financial Group Inc.

• Weizhen Tang

Chapter 2 - Decisions, Orders and Rulings

Decisions

• Front Street U.S. MLP Income Fund Ltd. et al.

• Aquinox Pharmaceuticals, Inc.

• Arrow Capital Management Inc. and Exemplar Yield Fund

• Buck Consultants Limited

• PC Gold Inc.

• Kicking Horse Energy Inc.

• MarketAxess Canada Limited -- s. 15.1 of NI 21-101 Marketplace Operation

• 1832 Asset Management L.P.

• Bloom Investment Counsel, Inc. et al.

Orders

• Canadian National Railway Company -- s. 104(2)(c)

• Weizhen Tang -- ss. 127(1), 127(10)

• PC Gold Inc. -- s. 1(6) of the OBCA

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

• Amendments to NI 45-106 Prospectus Exemptions

• Amendments to NI 52-107 Acceptable Accounting Principles and Auditing Standards

• Amendments to NI 45-102 Resale of Securities

• Amendments to MI 11-102 Passport System

• Changes to Companion Policy 45-106CP Prospectus Exemptions

• Changes to NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions

• Amendments to OSC Rule 11-501 Electronic Delivery of Documents to the Ontario Securities Commission

• Amendments to OSC Rule 13-502 Fees

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

• Amendments to NI 45-102 Resale of Securities

• Changes to Companion Policy 45-501CP to Ontario Securities Commission Rule 45-501 Ontario Prospectus and Registration Exemptions

• Changes to Companion Policy 45-106CP Prospectus Exemptions

Chapter 7 - Insider Reporting

Chapter 8 - Notice of Exempt Financings

• Reports of Trades Submitted on Forms 45-106F1 and 45-501F1

Chapter 9 - Legislation

• Bill 91, Building Ontario Up Act (Budget Measures), 2015

• Bill 144, Budget Measures Act, 2015

Chapter 11 - IPOs, New Issues and Secondary Financings

Chapter 12 - Registrations

• Registrants

Chapter 13 - SROs, Marketplaces, Clearing Agencies and Trade Repositories

Marketplaces

• Aequitas Neo Exchange Inc. -- Appeal Procedures -- Notice of Approval

• Aequitas NEO Exchange Inc. -- Proposed Amendments to NEO Exchange Trading Policies -- OSC Staff Notice of Proposed Changes and Request for Comment

Clearing Agencies

• CDS -- Material Amendments to CDS Rules Concerning Enhancements to CNS (Dedicated Own Resources) and Related Change to Fee Schedule -- Notice of Commission Approval

Chapter 25 - Other Information

Approvals

• I.G. Investment Management, Ltd. -- s. 213(3)(b) of the LTCA

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