Securities Law & Instruments

OSC Bulletin Volume 37, Issue 36 (September 4, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 7953
1.1 Notices (nil)
1.2 Notices of Hearing 7953
1.2.1 Newer Technologies Limited et al.– ss. 127 and 127.1 and Rule 12 of the Commission’s Rules of Procedure 7953
1.2.2 Newer Technologies Limited et al. – ss.127 and 127.1 and Rule 12 of the Commission’s Rules 7954
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 7954
1.4.1 Jowdat Waheed and Bruce Walter 7954
1.4.2 Pro-Financial Asset Management Inc 7955
1.4.3 Conrad M. Black et al 7955
1.4.4 Newer Technologies Limited et al 7956
1.4.5 Newer Technologies Limited et al 7957
Chapter 2 Decisions, Orders and Rulings 7959
2.1 Decisions 7959
2.1.1 Needham & Company, LLC 7959
2.1.2 1832 Asset Management L.P

7966

2.1.3 First Asset Investment Management Inc. and First Asset U.S. & Canada Lifeco Income Fund 7968
2.1.4 CMQ Resources Inc 7972
2.1.5 iShares Advantaged Short Duration High Income ETF and Blackrock Asset Management Canada Limited 7973
2.1.6 Tranzeo Wireless Technologies Inc 7976
2.2 Orders 7978
2.2.1 Pro-Financial Asset Management Inc. 7978
2.2.2 Kalenjin Advisory Ltd. – s. 74(1) 7985
2.2.3 Conrad M. Black et al 7992
2.2.4

UBS Global Asset Management (Canada) Inc. et al.– s. 80 of the CFA

7996
2.2.5

DMD Digital Health Connections Group Inc. – s. 144

8002
2.3 Rulings 8004
2.3.1 Carthos Services LP – ss. 144 and 74(1) 8004
Chapter 3 Reasons: Decisions, Orders and Rulings 8007
3.1 OSC Decisions, Orders and Rulings 8007
3.1.1

Jowdat Waheed and Bruce Walter – s. 127

8007
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 8083
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8083
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8083
4.2.2 Outstanding Management & Insider Cease Trading Orders 8083
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8085
Chapter 8 Notice of Exempt Financings 8205
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 8205
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 8207
Chapter 12 Registrations 8213
12.1.1 Registrants 8213
Chapter 13 SROs, Marketplaces, Clearing Agencies, and Trade Repositories 8215
13.1 SROs (nil)
13.2 Marketplaces 8215
13.2.1 Toronto Stock Exchange – Notice of Approval Amendments to Parts III, VI and VII of the Toronto Stock Exchange Company Manual and to Parts 2 and 7 of The Toronto Stock Exchange Rule Book 8215
13.2.2 Notice 2014-005 – Notice & Request for Comments – Changes to Odd Lot Matching 8225
13.3 Clearing Agencies (nil)
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 8227