Securities Law & Instruments

OSC Bulletin Volume 37, Issue 38 (September 18, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8445
1.1 Notices 8445
1.1.1 Notice of Ministerial Approval ofAmendments to NI 81-102 Mutual Funds,NI 81-106 Investment Fund ContinuousDisclosure, NI 81-101 Mutual Fund Prospectus Disclosure, NI 41-101General Prospectus Requirementsand Consequential Amendments 8445
1.1.2 OSC Staff Notice 33-744 – Availability of registration exemptions to foreign dealersin connection with trades in options and futures contracts under the Commodity Futures Act (Ontario) 8446
1.2 Notices of Hearing (nil)
1.3 News Releases 8450
1.3.1 OSC Proposes Amendments to Fee Rules 8450
1.4 Notices from the Office of the Secretary 8451
1.4.1 Garth H. Drabinsky et al. 8451
1.4.2 Powerwater Systems, Inc. et al 8451
1.4.3

Morgan Dragon Development Corp. et al

8452
1.4.4

Fawad Ul Haq Khan and Khan Trading Associates

8452
1.4.5 Northern Securities Inc. et al 8453
1.4.6

North American Financial Group Inc. et al

8453
1.4.7 Marc McQuillen 8454
1.4.8 Gold-Quest International and Sandra Gale
8454
1.4.9 Eric Inspektor 8455
1.4.10 Garth H. Drabinsky et al 8455
   
Chapter 2 Decisions, Orders and Rulings 8457
2.1 Decisions 8457
2.1.1 Element Financial Corporation 8457
2.1.2 Bullion Management Services Inc. and BMG GOLD Advantage Return BullionFund 8461
2.1.3 PFSL Fund Management Ltd. and PFSL Investments Canada Ltd 8466
2.1.4 TD Sponsored Companies Inc. et al 8469
2.1.5 Cap Gemini S.A 8472
2.1.6 Whitecap Resources Inc 8479
2.2 Orders 8482
2.2.1 Garth H. Drabinsky et al. – ss. 127 and 127.1 8482
2.2.2 Powerwater Systems, Inc. et al. – ss. 127(1) and 127(10) 8483
2.2.3 Garth H. Drabinsky et al.– ss. 127(1) and 127(10) 8484
2.2.4 Morgan Dragon Development Corp. et al. 8486
2.2.5 Northern Securities Inc. et al.– ss. 21.7 and 8(3) 8489
2.2.6 North American Financial Group Inc. et al. – ss. 127 and 127.1 8491
2.2.7 Fawad Ul Haq Khan and Khan Trading Associates Inc 8494
2.2.8 Western Asset Management Company 8495
2.2.9 TriAusMin 8502
2.2.10 Gold-Quest International and Sandra Gale – s. 127(1) 8503
2.2.11 Eric Inspektor – Rules 1.7.4 and 11 of the OSC Rules of Procedure 8505
2.3 Rulings (nil)
   
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.1.1 Garth H. Drabinsky et al 8507
3.1.2 Morgan Dragon Development Corp. et al. – ss. 127 and 127.1 8511
3.1.3 North American Financial Group Inc. et al

8522

3.1.4 Northern Securities Inc. et al. – ss. 8(3) and 21.7

8535

3.1.5 Marc McQuillan 8580
3.1.6 Gold-Quest International and Sandra Gale 8594
3.2 Court Decisions, Order and Rulings (nil)
   
Chapter 4 Cease Trading Orders 8597
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8597
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8597
4.2.2 Outstanding Management & Insider Cease Trading Orders 8597
   
Chapter 5 Rules and Policies 8599
5.1.1 Amendments to NI 81-102 Mutual Funds 8599
5.1.2 Changes to Companion Policy 81-102CP Mutual Funds 8628
5.1.3 Amendments to NI 81-106 Investment Fund Continuous Disclosure 8652
5.1.4 Change to Companion Policy 81-106CP Investment Fund Continuous Disclosure 8653
5.1.5 Amendments to NI 81-101 Mutual Fund Prospectus Disclosure 8654
5.1.6 Amendments to NI 41-10 General Prospectus Requirements 8656
5.1.7 Amendments to NI 81-107 Independent Review Committee for Investment Funds 8656
5.1.8 Changes to Commentary in NI 81-107 Independent Review Committee for Investment Funds 8659
5.1.9 Amendments to NI 24-101 Institutional Trade Matching and Settlement, NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, NI 33-109 Registration Information, NI 44-102 Shelf Distributions, NI 45-106 Prospectus and Registration Exemptions, NI 62-103 The Early Warning Systemand Related Take-Over Bid and Insider Reporting Issues, NI 81-104 Commodity Pools, and NI 81-105 Mutual Fund Sales Practices 8660
5.1.10 Change to Companion Policy 81-104CP Commodity Pools 8661
5.1.11 Change to Companion Policy31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations 8662
5.1.12 Change to NP 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions 8663
   
Chapter 6 Request for Comments 8665
6.1.1 Proposed Amendments to OSC Rule 13-502 Fees and Companion Policy 13-502CP Fees 8665
   
Chapter 7 Insider Reporting 8741
   
Chapter 8 Notice of Exempt Financings 8819
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 8819
   
Chapter 9 Legislation (nil)
   
Chapter 11 IPOs, New Issues and Secondary Financings 8821
   
Chapter 12 Registrations 8827
12.1.1 Registrants 8827
   
Chapter 13 SROs, Marketplaces, Clearing Agencies and Trade Respositories 8829
13.1 SROs 8229
13.1.1 IIROC – Notice of Request for Comments – Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1 8829
13.2 Marketplaces (nil)
.  
13.3 Clearing Agencies (nil)
   
Chapter 25 Other Information (nil)
Index 8831