Securities Law & Instruments

OSC Bulletin Volume 37, Issue 33 (August 14, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7427
1.1 Notices 7427
1.1.1 Notice of Ministerial Approval of Amendments to Ontario Securities Commission Rule 91-507 Trade Repositories and Derivatives Data Reporting 7427
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 7428
1.4.1

Wealth Stewards Portfolio Management Inc. and Sushila Lucas

7428
1.4.2 Gold-Quest International and Sandra Gale 7428
1.4.3 Tuckamore Capital Management Inc. 7429
1.4.4 Access Holdings Management Company LLC and Tuckamore Capital Management Inc. 7429
1.4.5 Portfolio Capital Inc. et al. 7430
1.4.6 Tuckamore Capital Management Inc. 7430
1.4.7 Ground Wealth Inc. et al. 7431
1.4.8 Paul Azeff et al. 7431
1.4.9 Crown Hill Capital Corporation and Wayne Lawrence Pushka 7432
1.4.10 Pro-Financial Asset Management Inc. 7432
Chapter 2 Decisions, Orders and Rulings 7433
2.1 Decisions 7433
2.1.1 Purpose Investments Inc. and Purpose Enhanced US Equity Fund 7433
2.1.2 8913404 Canada Inc. – s. 1(10)(a)(ii) 7436
2.1.3 Agilent Technologies, Inc. 7437
2.1.4 Northwest & Ethical Investments L.P. and the Corporate Classes 7440
2.1.5 Powder Mountain Inc. (formerly Passport Energy Ltd.) – s. 1(10)(a)(ii) 7443
2.1.6 Tangerine Investment Management Inc. (formerly known as ING Direct Asset Management Limited) 7444
2.1.7 Fidelity Investments Canada ULC and Fidelity Floating Rate High Income Fund 7450
2.1.8 Ranaz Corporation – s. 1(10)(a)(ii) 7451
2.1.9 Heritage Oil Plc – 1(10)(a)(ii) 7452
2.1.10 Interactive Brokers Canada Inc. 7453
2.1.11 Longview Oil Corp. – s. 1(10) 7459
2.1.12 Canadian Malartic Corporation – s. 1(10) 7460
2.1.13 360 VOX Corporation 7461
2.1.14 True North Apartment Real Estate Investment Trust 7463
2.1.15 The Brick Ltd. – s. 1(10)(a)(ii) 7466
2.2 Orders 7467
2.2.1 McGraw-Hill Ryerson Limited – s. 1(6) of the OBCA 7467
2.2.2 Mediterranean Resources Ltd. – s. 144 7468
2.2.3 Wealth Stewards Portfolio Management Inc. and Sushila Lucas – s. 8(4) of the Act and Rule 9.2 of the OSC Rules of Procedure 7469
2.2.4 Gold-Quest International and Sandra Gale – s. 127 7472
2.2.5 Rodocanachi Capital Inc. – s. 144 7475
2.2.6 Access Holdings Management Company LLC and Tuckamore Capital Management Inc. 7477
2.2.7 Portfolio Capital Inc. et al. 7479
2.2.8 Tuckamore Capital Management Inc. 7484
2.2.9 Ground Wealth Inc. et al. 7486
2.2.10 Crown Hill Capital Corporation and Wayne Lawrence Pushka – ss. 127, 127.1 7493
2.2.11 Pro-Financial Asset Management Inc. 7495
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 7503
3.1 OSC Decisions, Orders and Rulings 7503
3.1.1 Acasta Capital Inc. – s. 31 7503
3.1.2 Paul Azeff et al. – ss. 5.2 and 9 of the OSC Rules of Procedure and s. 9 of the SPPA 7505
3.1.3 Crown Hill Capital Corporation and Wayne Lawrence Pushka 7509
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 7557
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7557
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7557
4.2.2 Outstanding Management & Insider Cease Trading Orders 7557
Chapter 5 Rules and Policies 7559
5.1.1 Amendments to OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting 7559
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7567
Chapter 8 Notice of Exempt Financings 7639
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 7639
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7641
Chapter 12 Registrations 7647
12.1.1 Registrants 7647
Chapter 13 SROs, Marketplaces, and Clearing Agencies 7649
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 7649
13.3.1 CDCC – OSC Staff Notice of Request for Comment – Material Amendments to CDCC Procedures – Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address the Concentration Risk 7649
13.3.2 CDCC – OSC Staff Notice of Request for Comment – Material Amendments to CDCC Procedures – Amendments to the Operations Manual and Risk Manual of the Canadian Derivatives Clearing Corporation to address the Mismatched Settlement Risk in the margin calculation 7650
13.3.3 CDCC – OSC Staff Notice of Request for Comment – Material Amendments to CDCC Procedures – Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address the close-out periods in the margin calculation 7651
13.3.4 CDCC – OSC Staff Notice of Request for Comment – Material Amendments to CDCC Procedures – Amendments to the Operations Manual and Risk Manual of the Canadian Derivatives Clearing Corporation to address additional margin for specific wrong-way risk 7652
13.3.5 CDCC – OSC Staff Notice of Request for Comment – Material Amendments to CDCC Procedures – Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address the collateral haircuts 7653
13.3.6 CDCC – OSC Staff Notice of Request for Comment – Material Amendments to CDCC Procedures – Amendments to the Risk Manual of the Canadian Derivatives Clearing Corporation to address procyclicality of margin 7654
13.3.7 Notice of Commission Approval – Material Amendments to CDS Rules – Financial Institutions 7655
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 7657