Securities Law & Instruments

OSC Bulletin Volume 37, Issue 35 (August 28, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7803
1.1 Notices (nil)
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 7803
1.4.1 Paul Azeff et al. 7803
1.4.2 Quadrexx Hedge Capital Management Ltd. et al 7804
1.4.3

Fawad Ul Haq Khan and Khan Trading Associates Inc.carrying on business as Money Plus

7804
1.4.4 Ernst & Young LLP 7805
1.4.5 Sino-Forest Corporation et al. 7805
Chapter 2 Decisions, Orders and Rulings 7807
2.1 Decisions 7807
2.1.1 PGNX Capital Corp 7807
2.1.2 DoubleLine Income Solutions Trust 7810
2.1.3 Canadian Banc Corp. et al 7812
2.1.4 Caterpillar Financial Services Limited and Caterpillar Financial Services Corporation 7815
2.1.5

Trans Québec & Maritimes Pipeline Inc. and Trans Québec & Maritimes Pipeline Inc., as Mandatary for TQM Pipeline and Company, Limited Partnership

7818
2.2 Orders 7821
2.2.1 Paul Azeff et al. 7821
2.2.2 Quadrexx Hedge Capital Management Ltd. et al. – Rule 9 of the OSC Rules of Procedure 7825
2.2.3 Ernst & Young LLP 7826
2.2.4 Sino-Forest Corporation et al.– s. 152 7828
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 7829
3.1 OSC Decisions, Orders and Rulings 7829
3.1.1 Arkady Burdo 7829
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 7833
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 7833
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 7833
4.2.2 Outstanding Management & Insider Cease Trading Orders 7833
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 7835
Chapter 8 Notice of Exempt Financings 7917
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 7917
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 7919
Chapter 12 Registrations 7925
12.1.1 Registrants 7925
Chapter 13 SROs, Marketplaces, and Clearing Agencies and Trade Repositories 7927
13.1 SROs (nil)
13.2.2 Marketplaces 7927
13.2.1 TriAct Canada Marketplace LP – Notice of Proposed Changes and Request for Comment – Changes to the MATCH Now Trading System 7927
13.2.2 TSX – Notice of Approval – Market on Close Facility and Amendments to Section 4-902 of the TSX Rule Book 7936
13.2.3 TSX – Notice of Approval – Enhanced Self-Trade Order Features and Acceptance of Mixed Lot and Odd Lot Volumes for Specialty Priced Crosses 7945
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information 7949
25.1 Consents 7949
25.1.1 Senator Minerals Inc. – s. 4(b) of the Regulation 7949
Index 7951