Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 37, Issue 22
-- May 29, 2014 --


Table of Contents
Chapter 1 Notices / News Releases 5245
1.1 Notices 5245
1.1.1 CSA Staff Notice 31-339 - Omnibus/Blanket Orders Exempting IIROC and MFDA Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 5245
1.1.2 Microsourceonline Inc. et al. 5247
1.1.3 Notice of Ministerial Approval of the Memorandum of Understanding with the United States Commodity Futures Trading Commission 5248
1.2 Notices of Hearing 5249
1.2.1 Powerwater Systems, Inc. et al. - ss. 127(1), 127(10) 5249
1.2.2 B&A Fertilizers Limited - ss. 127(7), 127(8) 5254
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 5255
1.4.1 Powerwater Systems, Inc. et al. 5255
1.4.2 Microsourceonline Inc. et al. 5255
1.4.3 B&A Fertilizers Limited 5256
Chapter 2 Decisions, Orders and Rulings 5257
2.1 Decisions 5257
2.1.1 Americas Bullion Royalty Corp. - s. 1(10) 5257
2.1.2 Granite Real Estate Investment Trust and Granite REIT Inc. 5258
2.1.3 Desjardins Securities Inc. and IIROC members firms registered as of July 15, 2014 5269
2.1.4 TD Investment Services Inc. and MFDA members firms registered as of July 15, 2014 5271
2.1.5 Caldwell Investment Management Ltd. and Caldwell Securities Ltd. 5273
2.1.6 Redtail Metals Corp. - s. 1(10)(a)(ii) 5276
2.1.7 NexGen Financial Limited Partnership et al. 5277
2.1.8 Vitran Corporation Inc. - s. 1(10)(a)(ii) 5282
2.1.9 Baring North America LLC 5283
2.1.10 Pareto Investment Management Limited 5285
2.2 Orders 5287
2.2.1 B&A Fertilizers Limited - s. 127(7) 5287
2.2.2 Moss Lake Gold Mines Ltd. - s. 1(6) of the OBCA 5288
2.2.3 Purpose Best Ideas Fund and Purpose Duration Hedged Real Estate Fund - s. 1.1 5289
2.2.4 Vitran Corporation Inc. - s. 1(6) of the OBCA 5290
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 5291
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 5291
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 5292
4.2.2 Outstanding Management & Insider Cease Trading Orders 5292
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 5293
Chapter 8 Notice of Exempt Financings 5371
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 5371
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 5373
Chapter 12 Registrations 5379
12.1.1 Registrants 5379
Chapter 13 SROs, Marketplaces, and Clearing Agencies 5381
13.1 SROs 5381
13.1.1 Notice of Commission Approval - Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 5381
13.1.2 Notice of Commission Approval - Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 5382
13.2 Marketplaces 5383
13.2.1 Omega ATS - Notice of Withdrawal - VWAP and Basis Cross Order Types 5383
13.2.2 Omega ATS - Notice of Withdrawal - VWAP and Basis Cross Order Types 5383
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 5391