Securities Law & Instruments

OSC Bulletin Volume 36, Issue 39 (September 25, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 8835
1.1 Notices 8835
1.1.1 OSC Staff Notice 33-745 – Compliance and Registrant Regulation – Annual Summary Report for Dealers, Advisersand Investment Fund Managers 8835
1.2 Notices of Hearing 8837
1.2.1 Alexander Christ Doulis and Liberty Consulting Ltd. – ss. 127, 127.1 8837
1.2.2 Ernst & Young LLP (Audits of Sino-Forest Corporation and Zungui Haixi Corporation) – ss. 127, 127.1 8838
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 8838
1.4.1 David O'Brien 8838
1.4.2 Alexander Christ Doulis and Liberty 8839
1.4.3 Eric Inspektor 8839
1.4.4 Wealth Stewards Portfolio Management 8840
1.4.5 Paul Azeff et al 8840
1.4.6 Ernst & Young LLP (Audits of Sino-Forest Corporation and Zungui Haixi Corporation) 8841
 
Chapter 2 Decisions, Orders and Rulings 8843
2.1 Decisions 8843
2.1.1 SHSC Financial Inc. et al 8843
2.1.2 Cadillac Mining Corporation – s. 1(10) 8846
2.1.3 Mackenzie Financial Corporation et al 8848
2.2 Orders 8852
2.2.1 David O'Brien – s. 9(1) of the SPPA and Rules 5.2(1), 8.1 of the OSC Rules of Procedure 8852
2.2.2 Alexander Christ Doulis and Liberty Consulting Ltd. – s. 127 and OSC R 8856
2.2.3 Eric Inspektor 8858
2.2.4 Wealth Stewards Portfolio Management Inc. and Sushila Lucas – s. 8(4) of the Act and Rule 9.2 of the OSC Rules of Procedure 8859
2.2.5 Paul Azeff et al. – Rules 1.6(2) and 3of the OSC Rules of Procedure ands. 9 of the SPPA 8862
2.2.6 Chicago Mercantile Exchange Inc.– s. 21.2.2 8863
2.2.7 DTCC Data Repository (U.S.) LLC– s. 21.2.2 8878
2.2.8 ICE Trade Vault, LLC– s. 21.2.2 8894
2.3 Rulings (nil)
 
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.1.1 Alexander Christ Doulis and Liberty Consulting Ltd. – s. 127 8911
3.2 Court Decisions, Order and Rulings (nil)
 
Chapter 4 Cease Trading Orders (nil)
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8953
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8953
4.2.2 Outstanding Management & Insider Cease Trading Orders 8953
 
Chapter 5 Rules and Policies (nil)
 
Chapter 6 Request for Comments (nil)
 
Chapter 7 Insider Reporting 8955
 
Chapter 8 Notice of Exempt Financings 8955
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9021
 
Chapter 9 Legislation (nil)
 
Chapter 11 IPOs, New Issues and Secondary Financings 9023
 
Chapter 12 Registrations 9031
12.1.1 Registrants 9031
 
Chapter 13 SROs, Marketplaces, and Clearing Agencies 9033
13.1 SROs (nil)
13.2 Marketplaces 9033
13.2.1 CHI-X Canada ATS and CX2 Canada ATS – Notice of Commission Approval of Proposed Changes 9033
13.2.2 TSX Inc. – Notice of Withdrawal – Dark Midpoint Orders – Minimum Quantity 9034
13.2.3 TriAct Canada Marketplace LP – Notice of Proposed Changes and Request for Comment – Change to the MATCH Now Trading System 9035
13.2.4 TSX – Notice of Approval – Amendments to Part VI of the TSX Company Manual 9037
13.3 Clearing Agencies 9047
13.3.1. CDS Clearing and Depository Services Inc. – Material Amendments to CDS Procedures – Amendments to Processing a New York Link Participant Default –Notice of Commission Approval 9047
13.4 Trade Repositories 9048
13.4.1 Chicago Mercantile Exchange Inc.,DTCC Data Repository (U.S.) LLC,and ICE Trade Vault, LLC 9048
 
Chapter 25 Other Information 9049
25.1 Approvals 9049
25.1.1 Sodhi Asset Management Inc.– s. 213(3)(b) of the LTCA 9049
 
Index 9051