REVISED LIST OF ONTARIO FIRMS WHO HAVE
COMPLETED THE CSA SURVEY BY MAY 21, 2003
The Canadian Securities Administrators (CSA) believe that straight-through processing (STP) is an extremely important initiative. The OSC, together with other CSA jurisdictions, has provided a survey to firms to assess the preparedness of the industry in Canada for STP.
The CSA sent a letter in May requesting that firms respond to an online survey of their STP readiness between May 9 and May 30, 2003. The CSA has asked investment dealers; mutual fund dealers; investment counsels and/or portfolio mangers; limited market dealers; mutual fund managers; discount brokers (Quebec registrant category); and unrestricted brokers (Quebec registrant category) to complete the survey.
Below is a list of all Ontario firms who have completed the survey by the end of business on Wednesday May 21, 2003. The OSC will publish during the first week of June in its Bulletin and on its website a final list of business registrants who have completed the survey.
Accilent Capital Management Inc.
Accumulus Investment Management Ltd.
ADA Investments Inc.
ANIX Fund Management Corp.
Archipelago Canada Inc.
Argosy Securities Inc.
Armstrong & Quaile Associates Inc.
ASG Financial Corp.
Ashford Capital Canada Inc.
Aurion Capital Management Inc.
Bick Financial Security Corporation
Bloom Investment Counsel, Inc.
Bluestone Financial Corporation
BMO Harris Investment Management Inc.
BonaVista Asset Management Ltd.
Bradley Leonard Jones
Brant Securities Limited
Brawley Cathers Limited
Burgeonvets Securities
Cale Financial Corporation
Campbell & Lee Investment Management Inc.
CanDeal.ca Inc.
Capital International Asset Management (Canada), Inc.
Castellum Capital Management Inc.
CBID Markets Inc.
CGU Investment Management Canada
Clarica Investco Inc.
ClaringtonFunds Inc.
Clipper Advisors Ltd.
Coleford Investment Management Ltd.
Crystal Wealth Management System Ltd.
D.A.W. Services Ltd.
Danz Financial Corporation
Delmar Investments Inc.
DePutter Publishing Ltd.
Dorchester Investment Management
Drake Goodwin & Co. Canada Limited
East Asia Securities Inc.
ETS Equities Trading Services Inc.
Fahnestock Canada Inc.
Family Wealth Advisors Ltd.
Fidelity Investments
First Affiliated Holdings Inc.
First Canadian Property Investments Ltd.
Foresters Securities (Canada) Inc.
Friedberg Commodity Management Inc.
Friedberg Mecantile Group
Front Street Capital Inc.
FundEX Investments Inc.
Garmaise Investment Technologies Inc.
Gary Bean Securities Ltd.
Goldman Sachs Canada Inc.
Goodreid Investment Counsel Corp.
Griffiths McBurney & Partners
GTS Securities
Guardian Group of Funds Ltd.
H&H Securities Limited
Hamblin Watsa Investment Counsel Ltd.
Hanover Private Client Corporation
Heathbridge Graham Inc.
Hottinger Asset Management Canada Inc.
Hugues Ouimet + Associates Inc.
IBK Capital Corp.
Integra Capital
IPC Securities Corporation
J C Hood Investment Counsel Inc.
J. Zechner Associates, Inc.
J.C. Clark Ltd.
J.R. Senecal & Associates Investment Counsel Corp.
John D. Hillery Investment Counsel Inc.
Jones Collombin Investment Counsel Inc.
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Jones Heward Investment Counsel
Jones, Gable & Company Limited
JR/Janus Merchant Brokers Ltd.
KBSH Capital Management Inc.
Kingsdale Capital Markets Inc.
KPMG Corporate Finance Inc.
Laketon Investment Management Ltd.
Lancet Asset Management Inc.
Latitude Partners Securities Inc.
Lawrence Capital Partners Inc.
Lawrence Decter Investment Counsel Inc.
Leesh Investments Inc.
Leon Frazer & Associates Inc.
Maple Futures Corp.
Maple Securities Canada Limited
Marret Asset Management Inc.
Mellon Asset Management, Limited
Merchant Capital Wealth Management Corp.
META Financial Management Ltd.
Mitchell, Jenner & Associates Inc.
Mizrahi & Mizrahi Ltd.
Morgan Bay Capital Inc.
MRS
New Solutions Capital Partners Ltd.
Nomura Canada Inc.
Norstar Securities International Inc.
Northern Rivers Capital Management Inc.
NT Global Advisors, Inc.
O'Donnell Asset Management Corp.
Optimal Models and Decisions Inc.
Orenda Corporate Finance Ltd.
Osprey Capital Partners
OTG Financial Inc.
P.J. Doherty & Associates Co. Ltd.
Pendo Capital Inc.
Planmar Financial Corp.
Planning Circle Financial Group Inc.
Pope & Company
PricewaterhouseCoopers Securities Inc.
Professional Investments (Kingston) Inc.
Pursuit Financial Services Corp
QFS Financial Services Ltd.
Quant Investment Strategies Inc.
Questrade, Inc.
R.G. Shoniker & Associates Inc.
Red Barn Capital
Reel Capital Corporation
Retrocom Investment Management Inc.
RFA Capital Management Inc.
Rosseau Asset Management Ltd.
SBVM Securities Inc.
Scotiabank/Scotia Capital Inc.
Shah Financial Planning Inc.
Shorcan Brokers Limited
Silvercreek Management Inc.
Sprott Asset Management Inc.
Sprott Securities Inc.
Sprucegrove Investment Management Ltd.
Stone Co. Ltd.
Stonehouse Capital Management Inc.
Stratagem Investment Counsel Inc.
Structured Capital Inc.
Tera Capital Corporation
Tremont Investment Management, Inc.
Tullett Liberty Limited
Tuscarora Capital Inc.
twenty-first Century Funds Inc.
UBS Bank Canada
Value Investment Planning Centre Inc.
Value Sciences Inc.
Verhaag & Partners Financial Services Inc.
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For further information regarding the STP survey, contact:
Emily Sutlic
Legal Counsel, Market Regulation
Capital Markets Branch
Ontario Securities Commission
Phone: 416-593-2362
Fax: 416-595-8940
e-mail: esutlic@osc.gov.on.ca
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