Securities Law & Instruments

OSC Bulletin Volume 37, Issue 41 (October 9, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9195
1.1 Notices 9195
1.1.1 Notice of Ministerial Approval of NI 52-108 Auditor Oversight and Amendments to NI 41-101 General Prospectus Requirements, NI 51-101 Continuous Disclosure Obligations and NI 71-102 Continuous Disclosure and Other Exemptions Relating to Foreign Issuers 9195
1.1.2 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments 9196
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 9198
1.4.1 Pro-Financial Asset Management Inc. 9198
1.4.2 A25 Gold Producers Corp. et al. 9198
1.4.3 2196768 Ontario Ltd. carrying on business as RARE Investments et al. 9198
1.4.4 Ernst & Young LLP and Ernst & Young LLP (Audits of Zungui Haixi Corporation) 9199
   
Chapter 2 Decisions, Orders and Rulings 9201
2.1 Decisions 9201
2.1.1 Fidelity Investments Canada ULC et al. 9201
2.1.2 Fidelity Investments Canada ULC et al. 9205
2.1.3 Kimberly-Clark Corporation 9210
2.1.4 ISG Capital Corporation 9212
2.1.5 Fidelity Investments Canada ULC et al. 9214
2.2 Orders 9218
2.2.1 Pro-Financial Asset Management Inc. 9218
2.2.2 A25 Gold Producers Corp. 9225
2.2.3 The Business, Engineering, Science & Technology Discoveries Fund Inc. – s. 1(10)(a)(ii) 9226
2.3 Rulings (nil)
   
Chapter 3 Reasons: Decisions, Orders and Rulings 9227
3.1 OSC Decisions, Orders and Rulings 9227
3.1.1 Ernst & Young LLP and Ernst & Young LLP (Audits of Zungui Haixi Corporation) 9227
3.2 Court Decisions, Order and Rulings (nil)
   
Chapter 4 Cease Trading Orders 9233
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9233
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9233
4.2.2 Outstanding Management & Insider Cease Trading Orders 9233
   
Chapter 5 Rules and Policies 9235
5.1.1 NI 52-108 Auditor Oversight 9235
5.1.2 Amendments to NI 41-101 General Prospectus Requirements 9238
5.1.3 Amendments to NI 51-102 Continuous Disclosure Obligations 9239
5.1.4 Amendments to NI 71-102 Continuous Disclosure Obligation and Other Exemptions Relating to Foreign Issuers 9240
   
Chapter 6 Request for Comments (nil)
   
Chapter 7 Insider Reporting 9241
   
Chapter 8 Notice of Exempt Financings 9351
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9351
   
Chapter 9 Legislation (nil)
   
Chapter 11 IPOs, New Issues and Secondary Financings 9351
   
Chapter 12 Registrations 9363
12.1.1 Registrants 9363
   
Chapter 13 SROs, Marketplaces, and Clearing Agencies (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
   
Chapter 25 Other Information (nil)
Index 9365