Securities Law & Instruments

OSC Bulletin Volume 37, Issue 31 (July 31, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7027
1.1 Notices 7027
1.1.1 CSA Multilateral Notice 24-311 – Qualifying Central Counterparties 7027
1.1.2 The Investment Funds Practitioner – July 2014 7030
1.2 Notices of Hearing 7034
1.2.1 Kris Sundell – ss. 127(1), 127(10) 7034
1.2.2 Lucy Marie Pariak-Lukic – ss. 8, 21.7 7038
1.2.3 Patrick Myles Lough et al. – ss. 127(1), 127(10) 7039
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 7045
1.4.1 Kris Sundell 7045
1.4.2 Lucy Marie Pariak-Lukic – ss. 8, 21.7 7045
1.4.3 Patrick Myles Lough 7046
Chapter 2 Decisions, Orders and Rulings 7047
2.1 Decisions 7047
2.1.1 RBC Global Asset Management Inc. and the Top Funds 7047
2.1.2 Safran S.A. 7054
2.1.3 DDS Wireless International Inc. – s. 1(10)(a)(ii) 7060
2.1.4 PNI Digital Media ULC (formerly PNI Digital Media Inc.) – s. 1(10)(a)(ii) 7061
2.1.5 Starlight U.S. Multi-Family (No. 3) Core Fund 7062
2.1.6 Marquest Asset Management Inc. 7065
2.1.7 McGraw-Hill Ryerson Limited – s. 1(10)(a)(ii) 7070
2.2 Orders 7071
2.2.1 Poseidon Concepts Corp. and the Estate of V Marion Taylor – s. 144(1) 7071
2.2.2 McVicar Industries Inc. – s. 1(6) of the OBCA 7072
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 7075
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7075
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7075
4.2.2 Outstanding Management & Insider Cease Trading Orders 7075
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7077
Chapter 8 Notice of Exempt Financings 7133
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 7133
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7135
Chapter 12 Registrations 7141
12.1.1 Registrants 7141
Chapter 13 SROs, Marketplaces, and Clearing Agencies 7143
13.1 SROs (nil)
13.2 Marketplaces 7143
13.2.1 Lynx ATS – Notice of Proposed Operating Hours Change and Request for Comment 7143
13.2.2 Omega ATS – Notice of Proposed Operating Hours Change and Request for Comment 7146
13.3 Clearing Agencies (nil)
13.4 Trade Repositories 7149
13.4.1 OSC Notice and Request for Comment – Chicago Mercantile Exchange Inc., DTCC Data Repository (U.S.) LLC, ICE Trade Vault, LLC – Application for Designation as a Trade Repository 7149
13.4.2 Chicago Mercantile Exchange Inc. – Application for Designation as a Trade Repository and Draft Order 7151
13.4.3 DTCC Data Repository (U.S.) LLC – Application for Designation as a Trade Repository and Draft Order 7191
13.4.4 ICE Trade Vault, LLC – Application for Designation as a Trade Repository and Draft Order 7221
Chapter 25 Other Information (nil)
Index 7253