Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 03
-- January 16, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 739
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 News Releases 739
1.3.1 OSC Announces Agenda for Roundtable to Discuss Canada’s Proxy Voting Infrastructure 739
1.3.2 CSA Publishes Guidance for Know-Your-Client, Know-Your-Product and Suitability Obligation 741
1.3.3 CSA Announces Successful Transition of CSA National Systems Operations and Support to CGI 742
1.4 Notices from the Office of the Secretary 743
1.4.1 Global RESP Corporation and Global Growth Assets Inc. 743
1.4.2 Portfolio Capital Inc et al. 743
1.4.3 Conrad M. Black et al. 744
Chapter 2 Decisions, Orders and Rulings 745
2.1 Decisions 745
2.1.1 CT Real Estate Investment Trust 745
2.1.2 Choice Properties Real Estate Investment Trust 749
2.1.3 Capstone Mining Corp. 752
2.1.4 Brazilian Gold Corporation 755
2.1.5 Energy Leaders Income Fund and Harvest Portfolios Group Inc. 756
2.1.6 Credential Securities Inc. 759
2.2 Orders 765
2.2.1 Global RESP Corporation and Global Growth Assets Inc. – s. 127(1) 765
2.2.2 Pivot Technology Solutions, Inc. – s. 1(11)(b) 767
2.2.3 Portfolio Capital Inc. et al. – ss. 127 and 127.1 769
2.2.4 Preston Capital LLC and Preston Capital Management LLC – s. 80 of the CFA 772
2.2.5 Conrad M. Black et al. 780
2.3 Rulings 782
2.3.1 CI Private Counsel LP 782
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 785
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 785
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 785
4.2.2 Outstanding Management & Insider Cease Trading Orders 785
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 787
6.1.1 CSA Staff Notice 91-304 – Model Provincial Rule – Derivatives: Customer Clearing and Protection of Customer Collateral and Positions 787
Chapter 7 Insider Reporting 815
Chapter 8 Notice of Exempt Financings 939
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 939
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 945
Chapter 12 Registrations 949
12.1.1 Registrants 949
Chapter 13 SROs, Marketplaces, and Clearing Agencies 951
13.1 SROs 951
13.1.1 IIROC – Staff Notice and Request for Comment – Proposed Requirements for Debt Securities Transaction Reporting 951
13.2 Marketplaces 952
13.2.1 Aequitas Innovations Inc. – OSC Notice Regarding Proposed Structure of Trading Facilities for a New Exchange Proposed to be Established by Aequitas Innovations Inc. 952
13.3 Clearing Agencies 953
13.3.1 CDS – Notice of Effective Date – Technical Amendments to CDS Procedures – New Depositary Agent Report: Daily Tender-Payment Tracking Report 953
Chapter 25 Other Information (nil)
Index 955