Securities Law & Instruments

OSC Bulletin Volume 37, Issue 46 (November 13, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 9883
1.1 Notices 9883
1.1.1 Notice of Correction – OSC Bulletin, Volume 37, Issue 42, Supplement 5 – Final Amendments to NI 31-103, NI 33-109 and Related Instruments, Policies and Forms 9883
1.2 Notices of Hearing 9884
1.2. TD Waterhouse Private Investment Counsel Inc. et al. – ss. 127(1), 127(2), 127.1 9884
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 9887
1.4.1 Wealth Stewards Portfolio Management Inc. and Sushila Lucas 9887
1.4.2 TD Waterhouse Private Investment Counsel Inc. et al. 9887
1.4.3 Eric Inspektor 9888
Chapter 2 Decisions, Orders and Rulings 9889
2.1 Decisions 9889
2.1.1 Genworth Financial, Inc. and Genworth MI Canada Inc. 9889
2.1.2 Independent Electricity System Operator – s. 42 of OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting 9893
2.1.3 Concentra Financial Services Association 9896
2.1.4 Russell Investments Canada Limited 9899
2.1.5 CI Investments Inc. et al. 9903
2.1.6 Augusta Resource Corporation – s. 1(10)(a)(ii) 9910
2.1.7 Shahuindo Gold Limited (formerly Sulliden Gold Corporation Ltd.) 9911
2.1.8 Mongolia Growth Group Ltd. and Cantor Fitzgerald Canada Corporation 9913
2.1.9 Timber Hill Canada Co. 9919
2.1.10 Global Diversified Investment Grade Income Trust 9924
2.1.11 New Red Canada Limited Partnership and Tim Hortons Inc. 9925
2.2 Orders 9940
2.2.1 Wealth Stewards Portfolio Management Inc. and Sushila Lucas 9940
2.2.2 BMO MSCI USA High Quality Index ETF et al. – s. 1.1 9943
2.2.3 Kombat Copper Inc. – s. 1(11)(b) 9944
2.2.4 Pinebridge Investments LLC – s. 80 of the CFA 9946
2.2.5 Ontario Genomics Institute – s. 74(1) 9953
2.2.6 Eric Inspektor 9955
2.3 Rulings 9957
2.3.1 Wells Fargo Securities, LLC – s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options 9957
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 9969
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9969
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9969
4.2.2 Outstanding Management & Insider Cease Trading Orders 9969
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9971
Chapter 8 Notice of Exempt Financings 10075
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 10075
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 10077
Chapter 12 Registrations 10083
12.1.1 Registrants 10083
Chapter 13 SROs, Marketplaces, and Clearing Agencies 10085
13.1 SROs 10085
13.1.1 MFDA – Variation and Restatement of Recognition Order 10085
13.1.2 IIROC – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member 10086
13.1.3 IIROC – Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 – Notice of Commission Approval 10087
13.2 Marketplaces (nil)
13.3 Clearing Agencies 10088
13.3.1

CDS – Proposed Amendments to CDS Fee Schedule re Issuer Services Program – Notice and Request for Comment

10088
13.4 Trade Repositories (nil)
Chapter 25 Other Information (nil)
Index 10095