Securities Law & Instruments

OSC Bulletin Volume 37, Issue 39 (December 4, 2014)

(published weekly on behalf of the OSC by Carswell)

Table of Contents


Chapter 1 Notices / News Releases 10673
1.1 Notices 10673
1.1.1 CSA Staff Notice 13-315 (Revised) – Securities Regulatory Authority Closed Dates 2015 10673
1.1.2 CSA Staff Notice 51-324 – Revised Glossary to NI 51-101 Standards of Disclosure for Oil and Gas Activities              10675
1.1.3 CSA Staff Notice 51-327 – Revised Guidance on Oil and Gas Disclosure 10695
1.2 Notices of Hearing 10705
1.2.1 7997698 Canada Inc.et al. – ss. 127(7), 127(8) 10705
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 10706
1.4.1 Paul Azeff et al. 10706
1.4.2 7997698 Canada Inc. et al. 10706
1.4.3 IAC – Independent Academies Canada Inc. et al. 10707
1.4.4 TD Waterhouse Private Investment Counsel Inc. et al.                10707
1.4.5 Patrick Myles Lough et al.  10708
1.4.6 Kris Sundell 10708
1.4.7 Paul Yoannou

10709

1.4.8 A25 Gold Producers Corp. et al.       10709
Chapter 2 Decisions, Orders and Rulings 10711
2.1 Decisions 10711
2.1.1 CHI-X Canada ATS Limited 10711
2.1.2 The Trendlines Group Ltd. 10714
2.1.3 FAM Real Estate Investment 10717
2.1.4 CI Investments Inc. 10722
2.2 Orders 10726
2.2.1 Canadian Pacific Railway Limited – s. 104(2)(c) 10726
2.2.2 799698 Canada Inc. et al. – ss. 127(1), 127(5) 10730
2.2.3 Patrick Myles Lough et al. – ss. 127(1), 127(10) 10731
2.2.4 Kris Sundell – ss. 127(1), 127(10) 10732
2.2.5

Paul Yoannou – ss. 127(1), 127(10)               

10733
2.2.6 A25 Gold Producers Corp. et al. 10734
2.2.7 Onex Corporation – s. 104(2)(c) 10735
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 10739
3.1 OSC Decisions, Orders and Rulings 10739
3.1.1 Paul Azeff et al.   10739
3.1.2 TD Waterhouse Private Investment Counsel Inc. et al. – ss. 127, 127(1)                10742
3.1.3 Patrick Myles Lough et al. – ss. 127(1), 127(10) 10744
3.1.4 Kris Sundell – ss. 127(1), 127(10) 10755
3.1.5 Paul Yoannou – ss. 127(1), 127(10) 10762
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 10769
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 10769
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 10769
4.2.2 Outstanding Management & Insider Cease Trading Orders 10769
Chapter 5 Rules and Policies 10769
5.1.1 CSA Notice of Amendments to NI 51-101 Standards of Disclosure for Oil and Gas Activities and Companion Policy 51-101 Standards of Disclosure for Oil and Gas Activities 10771
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 10849
Chapter 8 Notice of Exempt Financings 10915
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 10915
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 10917
Chapter 12 Registrations 10923
12.1.1 Registrants 10923
Chapter 13 SROs, Marketplaces, and Clearing Agencies 10925
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies 10925
13.3.1 OSC Staff Notice of Request for Comment – CDCC Canadian Derivatives Clearing Corporation – Amendments to the Rules, Operations Manual, Risk Manual and Default Manual to Address the Clearing Fund Framework         10925
13.3.2 OSC Staff Notice of Request for Comment – CDCC Canadian Derivatives Clearing Corporation – Amendments to the Rules and the Risk Manual to Address the Collateral Framework 10925
13.3.3 OSC Staff Notice of Request for Comment – CDCC Canadian Derivatives Clearing Corporation – Amendments to the Operations Manual and the Risk Manual to Address its Intra-Day Variation Margin Exposure 10926
13.3.4 OSC Staff Notice of Request for Comment – CDCC Canadian Derivatives Clearing Corporation – Amendment to the Risk Manual to Address the Stress Testing Framework 10926
Chapter 25 Other Information (nil)
Index 10927