Securities Law & Instruments

OSC Bulletin Volume 37, Issue 32 (August 7, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7255
1.1 Notices 7255
1.1.1 OSC Staff Notice 81-725 – Recent Amendments to Part XXI Insider Trading and Self-Dealing of the Securities Act (Ontario) – Transition Issues 7255
1.2 Notices of Hearing 7257
1.2.1 Access Holdings Management Company LLC and Tuckamore Capital Management Inc. – s. 127 7257
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 7257
1.4.1 Ernst & Young LLP 7257
1.4.2 Conrad M. Black et al. 7258
1.4.3 Access Holdings Management Company LLC and Tuckamore Capital Management Inc. 7259
1.4.4 Won Sang Shen Cho, also known as Craig Cho, doing business as Chosen Media and Groops Media 7259
1.4.5 Paul Lester Stiles 7260
Chapter 2 Decisions, Orders and Rulings 7261
2.1 Decisions 7261
2.1.1 Nicola Wealth Management Ltd. et al. 7261
2.1.2 Gilder Gagnon Howe & Co. LLC 7267
2.1.3 Southern Hemisphere Mining Limited 7271
2.1.4 Transcontinental Inc. 7274
2.2 Orders 7276
2.2.1 Ernst & Young LLP 7276
2.2.2 Authorization Pursuant to Subsection 3.5.(3) 7277
2.2.3 Conrad M. Black et al. 7278
2.2.4 Won Sang Shen Cho, also known as Craig Cho, doing business as Chosen Media and Groops Media – ss. 127(1), 127(10) 7280
2.2.5 The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. – s. 147 7282
2.2.6 Paul Lester Stiles – ss. 127(1), 127(10) 7283
2.3 Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.1.1 Won Sang Shen Cho, also known as Craig Cho, doing business as Chosen Media and Groops Media – ss. 127(1), 127(10) 7285
3.1.2 Paul Lester Stiles – ss. 127(1), 127(10) 7295
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 7303
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7303
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7303
4.2.2 Outstanding Management & Insider Cease Trading Orders 7303
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7305
Chapter 8 Notice of Exempt Financings 7359
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 7359
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7361
Chapter 12 Registrations 7373
12.1.1 Registrants 7373
Chapter 13 SROs, Marketplaces, and Clearing Agencies 7375
13.1 SROs (nil)
13.2 Marketplaces 7375
13.2.1 Notice and Request for Comment – Application by Nodal Exchange, LLC for Exemption from Recognition and Registration as an Exchange and Related Registration Relief 7375
13.2.2 Notice of Approval – Canadian Securities Exchange – Amendments to Rule 4 – Trading of Securities 7422
13.2.3 Notice of Approval – Canadian Securities Exchange – Amendments to Operations – Self-Trade Prevention 7423
13.3 Clearing Agencies 7424
13.3.1 CDS – Application for Exemption – The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. – Notice of Exemption Order 7424
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 7425