Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 16
-- April 17, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 3883
1.1 Notices (nil)
1.2 Notices of Hearing 3883
1.2.1 Ronald James Ovenden et al. - s. 127 3883
1.2.2 Issam El-Bouji et al. - ss. 127 and 127.1 3884
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 3885
1.4.1 Eda Marie Agueci et al. 3885
1.4.2 Global RESP Corporation and Global Growth Assets Inc. 3886
1.4.3 Ronald James Ovenden et al. 3886
1.4.4 Issam El-Bouji et al. 3887
1.4.5 Fawad Ul Haq Khan and Khan Trading Associates Inc. c.o.b. as Money Plus 3887
1.4.6 Issam El-Bouji et al. 3888
1.4.7 Pro-Financial Asset Management Inc. 3888
Chapter 2 Decisions, Orders and Rulings 3889
2.1 Decisions 3889
2.1.1 Mackenzie Financial Corporation et al. 3889
2.1.2 AGF Investments 3893
2.1.3 Fidelity Investments Canada ULC et al. 3898
2.1.4 Blumont Capital Corporation et al. 3901
2.1.5 Fidelity Investments Canada ULC 3905
2.2 Orders 3907
2.2.1 Eda Marie Agueci et al. - Rule 1.4(2) of the OSC Rules of Procedure 3907
2.2.2 Global RESP Corporation and Global Growth Assets Inc. - s. 127(1) 3909
2.2.3 Consolidated Tanager Limited - s. 144 3912
2.2.4 Canadian Derivatives Clearing Corporation - s. 21.2(0.1) 3915
2.2.5 Issam El-Bouji et al. - Rule 9 of the OSC Rules of Procedure 3934
2.2.6 Fawad Ul Haq Khan and Khan Trading Associates Inc. c.o.b. as Money Plus - Rules 1.6(2), 4.5(2) and 10.5 of the OSC Rules of Procedure 3935
2.2.7 Investment Dealers Association of Canada and the Investment Industry Regulatory Organization of Canada - s. 21.4 and s. 19 of the CFA 3937
2.2.8 Market Regulation Services Inc. and the Investment Industry Regulatory Organization of Canada - s. 21.4 3939
2.2.9 Pro-Financial Asset Management Inc. 3941
2.3 Rulings (nil)
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 3947
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3947
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3947
4.2.2 Outstanding Management & Insider Cease Trading Orders 3947
Chapter 5 Rules and Policies 3949
5.1.1 OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting and Companion Policy 91-507CP 3949
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3983
Chapter 8 Notice of Exempt Financings 4075
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 4075
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 4079
Chapter 12 Registrations 4089
12.1.1 Registrants 4089
Chapter 13 SROs, Marketplaces, and Clearing Agencies 4091
13.1 SROs 4091
13.1.1 Surrender of Investment Dealers Association of Canada (IDA) and Market Regulation Services (RS) Recognition Orders - Notice of Approval 4091
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
13.3.1 Canadian Derivatives Clearing Corporation - Application for Recognition - Notice of Commission Order 4092
Chapter 25 Other Information (nil)
Index 4093