osc bulletin - cumulative index 2013 for volume 36 (2013) oscb€¦ · cumulative index 2013 index...

The Ontario Securities Commission

OSC Bulletin

Cumulative Index 2013

Index for Volume 36

(2013), 36 OSCB

December 19, 2013

The Ontario Securities Commission Administers the

Securities Act of Ontario (R.S.O. 1990, c. S.5) and the Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20)

The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Carswell, a Thomson Reuters business 22nd Floor, Box 55 One Corporate Plaza 20 Queen Street West 2075 Kennedy Road Toronto, Ontario Toronto, Ontario M5H 3S8 M1T 3V4 416-593-8314 or Toll Free 1-877-785-1555 416-609-3800 or 1-800-387-5164 Contact Centre - Inquiries, Complaints: Fax: 416-593-8122 TTY: 1-866-827-1295 Office of the Secretary: Fax: 416-593-2318

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Introduction to the OSC Bulletin Cumulative Index

This is a cumulative index of documents published in the OSC Bulletin (Volume 36) for the period January – December 2013, inclusive. The index includes material found in Chapters 1 (Notices / News Releases), 2 (Decisions, Orders and Rulings), 3 (Reasons: Decisions, Orders and Rulings), 4 (Cease Trading Orders), 5 (Rules and Policies), 6 (Request for Comments), 9 (Legislation), 12 (Registrations), 13 (SROs, Marketplaces and Clearing Agencies) and 25 (Other Information). Chapters 7 (Insider Reporting), 8 (Notice of Exempt Financings) and 11 (IPOs, New Issues and Secondary Financings) are not indexed. All corporate and personal names that appear in the bold titles of each document published in the indexed chapters are indexed. The tables found in Chapters 4 and 12 are indexed by corporate name only. Where tables appear in Chapter 25, they are indexed by corporate name only. Index entries are arranged alphabetically. Each index entry includes an action of concern, a statutory instrument cited (if applicable) and finding information consisting of the issue number, issue date and page number. Citations are to the Securities Act, if not otherwise specified. For instance, an entry reading: Lake Louise Inn Limited Partnership Order – s. 144 #36 (Sept. 5) 8714 means that the order titled “Lake Louise Inn Limited Partnership” made under s. 144 of the Securities Act appeared in Issue 36 of the Bulletin, dated September 5, on page 8714.

Supplements in 2013 Supplements are not indexed. The Supplements published in 2013 were:

• Implementation of a New Prospectus Form for Scholarship Plans (Final Publication) – Volume 36, Issue 2, Supplement 1 (January 10, 2013)

• Amendments to Prospectus Rules (Final) – Volume 36, Issue 9, Supplement 2 (February 28, 2013)

• Modernization of Investment Fund Product Regulation (Phase 2) – Volume 36, Issue 13, Supplement 3 (March 27,

2013)

• Pre-Marketing and Marketing Amendments to Prospectus Rules (Final) – Volume 36, Issue 22, Supplement 4 (May 30, 2013)

• Memorandums of Understanding Related to the Supervision of Cross-Border Alternative Investment Fund

Managers – Volume 36, Issue 31, Supplement 5 (August 1, 2013)

• OSC Exempt Market Review – Progress Report – Volume 36, Issue 35, Supplement 6 (August 29, 2013)

• Proposed Amendments to NI 31-103, NI 33-109, NI 52-107, OSC Rule 33-506 and OSC Rule 35-502 and Related Forms – Volume 36, Issue 49, Supplement 7 (December 5, 2013)

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(2013), 36 OSCB Cumulative Index

1

Ontario Securities Commission Bulletin

Annual Cumulative Index, 2013

0976408 B.C. Ltd. Decision ............................................. #45 (Nov. 7) 10630 108 Securities Inc. New Registration ................................. #29 (July 18) 7325 1096966 Ontario Ltd. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 1303066 Ontario Ltd. Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #12 (Mar 21) 2919 1426430 Ontario Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 169 Dufferin Street Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 1725587 Ontario Inc. Notice of Withdrawal ............................. #10 (Mar 7) 2246 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2266 1729319 Ontario Ltd. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489

1732577 Ontario Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 1778445 Ontario Inc. Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 17 Order – s. 127 ............................................ #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ................................ #30 (July 25) 7446 1832 Asset Management L.P. Decision ............................................. #42 (Oct. 17) 10050 Order – ss. 74(1), 144(1) ................... #44 (Oct. 31) 10459 Decision ............................................ #46 (Nov. 14) 10791 Decision ............................................ #46 (Nov. 14) 10799 Decision ............................................ #46 (Nov. 14) 10805 Decision ............................................ #46 (Nov. 14) 10823 Decision ............................................ #46 (Nov. 14) 10834 Decision ............................................ #46 (Nov. 14) 10838 1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C. Name Change ....................................... #40 (Oct. 3) 9703 1855 Lasalle Boulevard Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 18th-Paulina General Partner Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489

Cumulative Index to the Ontario Securities Commission Bulletin, 2013

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18th-Paulina Limited Partnership Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 2100 Xenon Group LLC Order – s. 78(1) of the CFA............... #42 (Oct. 17) 10055 2150129 Ontario Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 17 Order – s. 127 ............................................. #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ............................... #30 (July 25) 7446 2196768 Ontario Ltd. Notice of Hearing – ss. 127(1), 127.1 .............................. #12 (Mar 21) 2872 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2879 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2885 Order – Rule 9 of the OSC Rules of Procedure .................... #12 (Mar 21) 2907 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2909 Settlement Agreement ........................ #12 (Mar 21) 2934 Notice from the Office of the Secretary .................................... #23 (June 6) 5661 Order .................................................... #23 (June 6) 5697 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order .................................................. #34 (Aug. 22) 8379 2620 Chamberland Street Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 274 Dundas Street Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 360 Trading Networks Inc. Order – s. 147 .................................... #41 (Oct. 10) 9789

360 Vox Corporation Decision ................................................ #19 (May 9) 4777 3IQ Corp. New Registration ................................ #35 (Aug. 29) 8661 56-62 Pond Street Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 6845941 Canada Inc. Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 80 Courthouse Square Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 833 Upper James Street Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 a2b Fiber Inc. Decision – s. 1(10) ........................... #48 (Nov. 28) 11368 Abbott Laboratories Decision ................................................ #4 (Jan. 24) 1039 Acadian Energy Inc. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order ......................... #21 (May 23) 5349 Acadian Mining Corporation Decision ............................................ #48 (Nov. 28) 11358 Acasta Capital Inc. New Registration ................................. #13 (Mar 28) 3399 Acernis Capital Management Inc. New Registration .............................. #46 (Nov. 14) 11181



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ACG Graphic Communications Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #12 (Mar 21) 2919 Ackroo Inc. Order – s. 1(11)(b) ................................. #5 (Jan 31) 1225 ACM Advisors Ltd. Change in registration category .............. #3 (Jan. 17) 961 Adaly Investment Management Corp. Consent to Suspension (Pending Surrender) ................................. #1 (Jan. 4) 481 Voluntary Surrender of Registration ..................................... #12 (Mar 21) 3061 Adams, Herbert Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 37, 127, 127.1 .................... #9 (Feb 28) 2055 OSC Reasons – s. 127 ......................... #9 (Feb 28) 2104 Notice from the Office of the Secretary ..................................... #19 (May 9) 4754 Order – Rules 1.6(2) and 11.5 of the OSC Rules of Procedure ...................... #19 (May 9) 4793 News Release .................................... #49 (Dec. 5) 11555 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Order – ss. 127, 127.1 ....................... #49 (Dec. 5) 11600 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ...................... #49 (Dec. 5) 11642 Advanced Growing Systems, Inc. Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 ............................. #39 (Sept. 26) 9361 Aegon USA Investment Management, LLC Order – s. 80 of the CFA .................. #50 (Dec. 12) 11827 Aequitas Innovations Inc. News Release .................................... #33 (Aug. 15) 8158 Marketplaces ...................................... #33 (Aug. 15) 8315 AFG Flameguard Ltd. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Afren plc Decision ............................................ #38 (Sept. 19) 9136 AGF Investments Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ...................... #12 (Mar 21) 2913

Agnico Eagle Mines Limited Decision ................................................ #32 (Aug. 8) 7957 Agrium Inc. Decision ............................................ #48 (Nov. 28) 11364 Agueci, Eda Marie Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Order – s. 127 ....................................... #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................. #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ....................... #39 (Sept. 26) 9341 Settlement Agreement ....................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations........................ #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 AHF Capital Partners Inc. New Registration ................................. #13 (Mar 28) 3399 Approval – s. 213(3)(b) of the LTCA .......................................... #18 (May 2) 4731 Ahluwalia, Balbir Notice from the Office of the Secretary .................................... #15 (Apr 11) 3833 Order – ss. 37, 127, 127.1 .................... #15 (Apr 11) 3883 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ................... #15 (Apr 11) 3915 Ahluwalia, Mohinder Notice from the Office of the Secretary ...................................... #2 (Jan. 10) 561 Order – ss. 127, 127.1 ............................ #2 (Jan. 10) 610 OSC Reasons (Sanctions) – ss. 127, 127.1 ...................................... #2 (Jan. 10) 617 AIP Asset Management Inc. New Registration ................................. #30 (July 25) 7593


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Alboini, Victor Philip Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 20 Order – s. 21.7 and 8 ................................ #1 (Jan. 4) 136 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1651 Notice of Hearing .................................. #7 (Feb 14) 1646 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2000 Order – ss. 21.7, 8 ................................ #9 (Feb 28) 2044 Alignvest Capital Management Inc. New Registration ................................... #19 (May 9) 5023 Change in Registration Category ........ #21 (May 23) 5471 Allarde, Naida Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 806 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 773 Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 811 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #20 (May 16) 5099 News Release .................................. #50 (Dec. 12) 11778 Allarde-Giangrosso, Naida News Release .................................. #50 (Dec. 12) 11778 Allegro™ Aggressive Canada Focus Portfolio Decision ................................................ #27 (July 4) 6695 Allegro™ Aggressive Portfolio Decision ................................................ #27 (July 4) 6695 Allegro™ Conservative Portfolio Decision ................................................ #27 (July 4) 6695 Allegro™ Moderate Aggressive Canada Focus Portfolio Decision ................................................ #27 (July 4) 6695 Allegro™ Moderate Aggressive Portfolio Decision ................................................ #27 (July 4) 6695 Allegro™ Moderate Conservative Portfolio Decision ................................................ #27 (July 4) 6695 Allegro™ Moderate Portfolio Decision ................................................ #27 (July 4) 6695 Allianz Global Investors U.S. LLC New Registration ................................ #35 (Aug. 29) 8661 Allie, Saudia Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 ............................. #39 (Sept. 26) 9361 Allon Therapeutics Inc. Decision – s. 1(10) ............................. #34 (Aug. 22) 8342

Ally Credit Canada Limited Decision – s. 1(10)(a)(ii) ...................... #12 (Mar 21) 2893 Alpha Exchange Inc – Notice of Proposed Changes and Request for Feedback – Amendments to the Alpha Exchange Trading Policies to Reflect Migration to TSX Quantum Marketplaces ......................................... #10 (Mar 7) 2477 Alpha Exchange Inc. – Amendments to the Alpha Exchange Inc. Trading Policies to Reflect Migration to TSX Quantum Marketplaces ...................................... #22 (May 30) 5625 Alpha Exchange Inc. – Amendments to the Alpha Exchange Inc. Trading Policies – SDL Order Interaction Marketplaces ...................................... #22 (May 30) 5627 Alpha Exchange Inc. – Amendments to the Alpha Exchange Trading Policies – Notice of Proposed Changes and Request for Feedback Marketplaces ........................................ #4 (Jan. 24) 1189 Alpha Exchange Inc. – Intraspread Trading Fee Model Amendment – Notice of Proposed Fee Change and Request for Comment Marketplaces ........................................ #15 (Apr 11) 4093 Alpha Exchange Inc. Revocation Order – s. 144 ................... #30 (July 25) 7411 Marketplaces ..................................... #39 (Sept. 26) 9483 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Alpha Market Services Inc. Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Alpha Trading Systems Inc. Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Alpha Trading Systems Limited Partnership Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 AlphaEngine Global Investment Solutions LLC New Registration ................................. #30 (July 25) 7593 AlphaPro Management Inc. Decision ................................................. #10 (Mar 7) 2287 Decision ................................................ #31 (Aug. 1) 7645 Decision .............................................. #35 (Aug. 29) 8514 Alta West Capital Corporation Consent to Suspension (Pending Surrender) ................................ #6 (Feb 7) 1581 Altamont Exploration Corp. Decision ............................................... #36 (Sept. 5) 8694



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Alternative Capital Group Inc. New Registration .................................. #31 (Aug. 1) 7891 Altium Wealth Management Inc. / Altium Gestion Patrimoniale Inc. New Registration .............................. #48 (Nov. 28) 11513 Alto Aggressive Canada Focus Portfolio Decision ................................................ #27 (July 4) 6695 Alto Aggressive Portfolio Decision ................................................ #27 (July 4) 6695 Alto Conservative Portfolio Decision ................................................ #27 (July 4) 6695 Alto Moderate Aggressive Canada Focus Portfolio Decision ................................................ #27 (July 4) 6695 Alto Moderate Aggressive Portfolio Decision ................................................ #27 (July 4) 6695 Alto Moderate Conservative Portfolio Decision ................................................ #27 (July 4) 6695 Alto Moderate Portfolio Decision ................................................ #27 (July 4) 6695 Alto™ Monthly Income and Enhanced Growth Portfolio Decision ................................................ #27 (July 4) 6695 Alto™ Monthly Income and Global Growth Portfolio Decision ................................................ #27 (July 4) 6695 Alto™ Monthly Income and Growth Portfolio Decision ................................................ #27 (July 4) 6695 Alto™ Monthly Income Portfolio Decision ................................................ #27 (July 4) 6695 Altrinsic Global Advisors, LLC Change of Registration Category ......... #16 (Apr 18) 4375 American Heritage Stock Transfer Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ........................ #1 (Jan. 4) 89 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1035 Order ..................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ..................... #16 (Apr 18) 4227 Notice from the Office of the Secretary ................................... #22 (May 30) 5490 Order ................................................... #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162

Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons (Reasons and Decision) – s. 127 ............................... #33 (Aug. 15) 8202 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8494 Order .................................................. #35 (Aug. 29) 8553 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – Rules 3 and 9 of the OSC Rules of Procedure ................... #38 (Sept. 19) 9152 Notice of Hearing – ss. 127, 127.1 ..................................... #40 (Oct. 3) 9509 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 American Heritage Stock Transfer, Inc. Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ....................... #1 (Jan. 4) 89 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order .................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ...................... #16 (Apr 18) 4227 Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Order .................................................. #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons (Reasons and Decision) – s. 127 ............................... #33 (Aug. 15) 8202 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8494 Order .................................................. #35 (Aug. 29) 8553 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – Rules 3 and 9 of the OSC Rules of Procedure ................... #38 (Sept. 19) 9152 Notice of Hearing – ss. 127, 127.1 ..................................... #40 (Oct. 3) 9509 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 AMI Partners Inc. Consent to Suspension (Pending Surrender) .......................... #25 (June 20) 6383 Voluntary Surrender of Registration ................................... #43 (Oct. 24) 10399


6


AMTE Services Inc. Temporary Order – s. 127(8) ................ #7 (Feb 14) 1669 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Temporary Order – s. 127(8) .............. #13 (Mar 28) 3158 Notice from the Office of the Secretary ................................... #22 (May 30) 5493 Temporary Order – s. 128(8) .............. #22 (May 30) 5514 Notice from the Office of the Secretary ................................... #30 (July 25) 7369 Order – s. 127(8) ................................. #30 (July 25) 7413 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Temporary Order – s. 127(8) ............ #39 (Sept. 26) 9357 Amundi S.A. Order – s. 80 of the CFA ..................... #29 (July 18) 7204 Anatolia Energy Corp Decision – s. 1(10)(a)(ii) ..................... #33 (Aug. 15) 8164 Andina Minerals Inc. Decision – s. 1(10)(a)(ii) ...................... #12 (Mar 21) 2898 Andor Mining Inc. Decision ................................................ #9 (Feb 28) 2024 Anesis Investments Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #12 (Mar 21) 2919 Angoss Software Corporation Decision ............................................... #23 (June 6) 5680 Final Order ........................................... #23 (June 6) 5704 Annapolis Capital Limited Registrant................................................ #2 (Jan. 10) 742 Antares Investment Management, Inc. Change in registration category .............. #3 (Jan. 17) 961 Anvest Financial Services Inc. Consent to Suspension (Pending Surrender) ............................. #19 (May 9) 5023 Arbor Memorial Services Inc. Decision – s. 1(10) ...................................... #1 (Jan. 4) 47 Arconti, Alexander Flavio Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12045 Order – ss. 127, 127.1 ..................... #51 (Dec. 19) 12080 OSC Reasons – s. 127 .................... #51 (Dec. 19) 12095

Arconti, Luigino Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12045 Order – ss. 127, 127.1 ...................... #51 (Dec. 19) 12080 OSC Reasons – s. 127 ..................... #51 (Dec. 19) 12095 Argent Energy Trust Decision ............................................... #30 (July 25) 7395 Argentium Resources Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #20 (May 16) 5120 Cease Trading Order .......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5518 Cease Trading Order ........................... #23 (June 6) 5721 Cease Trading Order ......................... #24 (June 13) 5999 Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ......................... #26 (June 27) 6519 Argosy Energy Inc. Cease Trading Order ............................ #16 (Apr 18) 4285 Cease Trading Order ............................ #17 (Apr 25) 4463 Armadillo Energy Inc. Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ....................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing ................................... #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order ................................................... #11 (Mar 14) 2592 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #16 (Apr 18) 4214 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary ................................. #24 (June 13) 5930 Order ................................................. #24 (June 13) 5963 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) ................... #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) ............... #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) ........... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609



7

Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) ......... #46 (Nov. 14) 10867 Armadillo Energy LLC Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order ................................................... #11 (Mar 14) 2592 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary .................................. #24 (June 13) 5930 Order .................................................. #24 (June 13) 5963 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) .................. #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) .............. #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) .......... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) ......... #46 (Nov. 14) 10867 Armadillo Energy, Inc. Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order ................................................... #11 (Mar 14) 2592 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596

Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary ................................. #24 (June 13) 5930 Order ................................................. #24 (June 13) 5963 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) ................... #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) ............... #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) ........... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) .......... #46 (Nov. 14) 10867 Armadillo Resources Ltd. Cease Trading Order ........................ #46 (Nov. 14) 11013 Cease Trading Order ........................ #47 (Nov. 21) 11249 Arrow Capital Management Inc. Decision ............................................ #50 (Dec. 12) 11787 Artaflex Inc. Decision – s. 1(10)(a)(ii) ...................... #23 (June 6) 5693 Order – s. 1(6) of the OBCA ................ #23 (June 6) 5707 Artemis Investment Management Limited Decision ................................................ #32 (Aug. 8) 7959 Arton Investments Name Change ....................................... #10 (Mar 7) 2455 Ashraf, Talat Notice of Hearing – ss. 127(7), 127(8) #28 (July 11) 6934 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Temporary Order – ss. 127(1), 127(5) . #28 (July 11) 6962 Notice from the Office of the Secretary ................................... #29 (July 18) 7155 Order – ss. 127(1), 127(7) and 127(8) . #29 (July 18) 7211 Asia Telecom Ltd., Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Assignment of Certain Powers and Duties of the Ontario Securities Commission Assignment – s. 6(3) ........................ #46 (Nov. 14) 10878 Assisted Living Concepts, Inc. Decision ............................................. #42 (Oct. 17) 10031


8


Associate Advising Representatives of Portfolio Managers Notice ...................................................... #3 (Jan. 17) 758 Asterias Biotheraputics, Inc. Decision ............................................ #42 (Oct. 17) 10037 Aston Hill Asset Management Inc. Decision ...................................................... #1 (Jan. 4) 37 Decision ................................................ #19 (May 9) 4767 Decision .............................................. #28 (July 11) 6952 Decision ........................................... #51 (Dec. 19) 12060 Decision ........................................... #51 (Dec. 19) 12073 Aston Hill Capital Markets Inc. Name Change .................................... #35 (Aug. 29) 8661 Aston Hill Global Resource & Infrastructure Fund Decision ................................................ #19 (May 9) 4767 Aston Hill Oil & Gas Income Fund Decision ........................................... #51 (Dec. 19) 12060 Aston Hill Securities Inc Name Change ....................................... #7 (Feb 14) 1793 Aston Hill Senior Gold Producers Income Corp. Decision – s. 1(10) .............................. #29 (July 18) 7158 Order – s. 1(6) of the OBCA ................ #30 (July 25) 7402 Aston Hill VIP Income Fund Decision ........................................... #51 (Dec. 19) 12060 Astral Media Inc. Decision .............................................. #29 (July 18) 7191 Astral Mining Corporation Decision – s. 1(10)(a)(ii) ........................ #10 (Mar 7) 2293 ATB Investment Management Inc. Change in Registration Category ...... #44 (Oct. 31) 10585 Atkinson, Peter Y. Notice of Withdrawal ........................... #29 (July 18) 7119 Notice of Hearing and Amended Statement of Allegations ..................... #29 (July 18) 7138 Notice from the Office of the Secretary ................................... #29 (July 18) 7154 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8491 Order .................................................. #35 (Aug. 29) 8539 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9295 News Release ................................... #39 (Sept. 26) 9302 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9304 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Order – s. 127(10), Undertaking and Settlement Agreement ............... #39 (Sept. 26) 9348 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10290

Order ................................................. #43 (Oct. 24) 10335 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10436 Order ................................................. #44 (Oct. 31) 10457 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11820 Audentium Financial Corp. Voluntary Surrender of Registration .................................... #49 (Dec. 5) 11751 Aumento Capital III Corporation Consent – s. 4(b) of the Regulation .... #22 (May 30) 5631 AuRico Gold Inc. Decision ................................................. #10 (Mar 7) 2289 Auriga Gold Corp. Cease Trading Order ............................ #32 (Aug. 8) 7975 Cease Trading Order .......................... #33 (Aug. 15) 8227 Cease Trading Order .......................... #34 (Aug. 22) 8383 Cease Trading Order .......................... #35 (Aug. 29) 8567 Aurion Capital Management Inc. Decision ................................................ #17 (Apr 25) 4416 Aurizon Mines Ltd. Decision – s. 1(10)(a)(ii) ...................... #29 (July 18) 7178 AUX Canada Acquisition Decision ................................................... #6 (Feb 7) 1430 Aventine Management Group Ltd. Change in Registration Category ...... #24 (June 13) 6169 Approval – s. 213(3)(b) of the LTCA ...................................... #48 (Nov. 28) 11527 Axcess Automation LLC Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 Axcess Fund Management, LLC Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 Axcess Fund, L.P. Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 Axiom All Equity Portfolio Decision ............................................... #23 (June 6) 5665



9

Axiom Balanced Growth Portfolio Decision ............................................... #23 (June 6) 5665 Axiom Balanced Income Portfolio Decision ............................................... #23 (June 6) 5665 Axiom Canadian Growth Portfolio Decision ............................................... #23 (June 6) 5665 Axiom Diversified Monthly Income Portfolio Decision ............................................... #23 (June 6) 5665 Axiom Foreign Growth Portfolio Decision ............................................... #23 (June 6) 5665 Axiom Global Growth Portfolio Decision ............................................... #23 (June 6) 5665 Axiom Long-Term Growth Portfolio Decision ............................................... #23 (June 6) 5665 AYAL Capital Advisors Limited Name Change ................................... #42 (Oct. 17) 10261 AYAL Capital Advisors ULC Name Change ................................... #42 (Oct. 17) 10261 AYAL Capital Advisors ULC New Registration ............................... #38 (Sept. 19) 9259 Azeff, Paul Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1033 Order – Rule 6 of the OSC Rules of Procedure ...................... #4 (Jan. 24) 1058 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3832 Order – Rule 9 of the OSC Rules of Procedure ..................... #15 (Apr 11) 3880 Notice from the Office of the Secretary ................................... #29 (July 18) 7153 Order – Rules 3, 9 and 6 of the OSC Rules of Procedure .................... #29 (July 18) 7201 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7818 Order – Rule 3 of the OSC Rules of Procedure ..................... #31 (Aug. 1) 7760 Order – Rules 1.6(2), 3, 6 and 9 of the OSC Rules of Procedure ............ #31 (Aug. 1) 7766 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Order ................................................ #48 (Nov. 28) 11379 Azimuth Resources Limited Order – s. 1(10)(a)(ii) ........................ #38 (Sept. 19) 9140 B&A Fertilizers Limited Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ............................ #27 (July 4) 6769

Baglione, Aurelio Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Bajovski, Nikola Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Banks, Lorne Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) ............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice of Hearing – ss. 37, 127, 127.1 ................................ #14 (Apr 4) 3433 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) .............................. #18 (May 2) 4611 Notice from the Office of the Secretary .................................. #22 (May 30) 5489 Order .................................................. #22 (May 30) 5505 Notice from the Office of the Secretary ................................. #24 (June 13) 5927 Order ................................................. #24 (June 13) 5953


10


Notice from the Office of the Secretary .................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8).......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ..................................... #27 (July 4) 6677 Order – Rules 1.4 and 1.5.3(3) of the OSC Rules of Procedure ................. #27 (July 4) 6729 Notice of Correction ............................ #29 (July 18) 7114 Notice of Hearing – ss. 27, 127 ........... #29 (July 18) 7137 Notice from the Office of the Secretary ................................... #29 (July 18) 7151 Notice from the Office of the Secretary ................................... #30 (July 25) 7368 Order – ss. 37, 127(1) ......................... #30 (July 25) 7411 Settlement Agreement ........................ #30 (July 25) 7486 Notice of Hearing – ss. 37, 127 ............ #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Order – ss. 37, 127(1) ........................ #33 (Aug. 15) 8187 Settlement Agreement ....................... #33 (Aug. 15) 8195 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8689 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ...................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary and Amended Statement of Allegations ................... #39 (Sept. 26) 9306 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – s. 127 ....................................... #40 (Oct. 3) 9572 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 27, 127(1), 127(10) ........... #41 (Oct. 10) 9776 OSC Reasons (Sanctions) .................. #41 (Oct. 10) 9859 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 Order – s. 127(1) ................................ #49 (Dec. 5) 11598 OSC Reasons – s. 127(1) .................. #49 (Dec. 5) 11627 Barclays Capital Canada Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 Barclays Capital Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 Baring Asset Management LLC Change in Registration Category ....... #11 (Mar 14) 2845 Name Change ................................... #41 (Oct. 10) 10003 Baring North America LLC Name Change ................................... #41 (Oct. 10) 10003

Baryshnik Capital Management Inc. Consent to Suspension (Pending Surrender) ........................... #34 (Aug. 22) 8475 Voluntary Surrender of Registration ................................... #44 (Oct. 31) 10585 Basi, Ajit Singh Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) ....... #27 (July 4) 6669 Notice from the Office of the Secretary ..................................... #27 (July 4) 6685 Notice from the Office of the Secretary ................................... #29 (July 18) 7150 Order – ss. 127(1), 127(10) ................. #29 (July 18) 7194 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10617 Order – ss. 127(1) and 127(10) .......... #45 (Nov. 7) 10671 OSC Reasons – ss. 127(1) and 127(10) .................... #45 (Nov. 7) 10685 Bassingdale, Scott Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3476 OSC Reasons – s. 127 ........................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 Baum, Michael Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3836 Order – Rule 1.5.3 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3885 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3890 Notice of Correction .............................. #19 (May 9) 4746 Notice from the Office of the Secretary .................................. #20 (May 16) 5046 Order – Rules 1.6(2), 4.3(1), 4.5(1), and 4.5(2) of the OSC Rules of Procedure .................... #20 (May 16) 5091 Notice from the Office of the Secretary ................................. #26 (June 27) 6441 Order– ss. 127 and 127.1 .................. #26 (June 27) 6476 OSC Reasons .................................. #26 (June 27) 6500 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Order – ss. 127, 127.1 .......................... #31 (Aug. 1) 7759 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Order – ss. 127, 127.1 ........................ #35 (Aug. 29) 8529 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ....................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Order – ss. 127, 127.1 ........................ #49 (Dec. 5) 11595



11

OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ...................... #49 (Dec. 5) 11613 Bayfield Ventures Corp. Order – s. 1(11)(b) ............................... #16 (Apr 18) 4220 Beacon Acquisition Partners Inc. Cease Trading Order ........................ #39 (Sept. 26) 9397 Cease Trading Order ........................ #38 (Sept. 19) 9169 Beattie & Company Limited Suspension (Pending Surrender) ....... #49 (Dec. 5) 11751 Bedford, Terrence M. News Release ................................... #39 (Sept. 26) 9296 Bell Canada Decision ........................................... #51 (Dec. 19) 12065 Bennington Investment Management Inc. Suspension (Non-Renewal) .................... #6 (Feb 7) 1581 Berkshire Management Services Inc. Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #12 (Mar 21) 2919 Beutel Goodman Global Dividend Fund Decision .......................................... #2 (Jan. 10) 589, 593 Beutel Goodman Global Equity Fund Decision .......................................... #2 (Jan. 10) 589, 593 Beutel Goodman Managed Funds Inc. Decision .......................................... #2 (Jan. 10) 589, 593 Beutel Goodman Short Term Bond Fund Decision .......................................... #2 (Jan. 10) 589, 593 Beutel, Goodman & Company Ltd. Registrant................................................ #2 (Jan. 10) 741 Beutel, Goodman Managed Funds Inc. Registrant................................................ #2 (Jan. 10) 741 BFM Industries Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ........................ #1 (Jan. 4) 89 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1035 Order ..................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ..................... #16 (Apr 18) 4227

Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Order .................................................. #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons (Reasons and Decision) – s. 127 ............................... #33 (Aug. 15) 8202 BGC Canada Securities Company Surrender of Registration .................... #23 (June 6) 5879 BGC Derivative Markets, L.P. Order – s. 147 .................................... #41 (Oct. 10) 9794 Big Bank Big Oil Split Corp. Order – s. 158(1.1) of the OBCA ........ #22 (May 30) 5512 Big Rock Capital Management Inc. Amalgamation ...................................... #17 (Apr 25) 4555 Bill 65, Prosperous and Fair Ontario Act (Budget Measures), 2013 Legislation ......................................... #26 (June 27) 6615 BioExx Specialty Proteins Ltd. Cease Trading Order ........................ #48 (Nov. 28) 11397 Cease Trading Order ........................ #51 (Dec. 19) 12171 Bishop, Steve Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 37, 127, 127.1 ..................... #9 (Feb 28) 2055 OSC Reasons – s. 127 .......................... #9 (Feb 28) 2104 Notice from the Office of the Secretary .................................... #19 (May 9) 4754 Order – Rules 1.6(2) and 11.5 of the OSC Rules of Procedure ...................... #19 (May 9) 4793 News Release .................................... #49 (Dec. 5) 11555 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Order – ss. 127, 127.1 ........................ #49 (Dec. 5) 11600 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #49 (Dec. 5) 11642 BKC Capital Inc. New Registration ................................ #23 (June 6) 5879 Black Swan Dexteritas Inc. Change in Registration Category ........ #23 (June 6) 5879 Black, Conrad M. Notice of Withdrawal ........................... #29 (July 18) 7119 Notice of Hearing and Amended Statement of Allegations...................... #29 (July 18) 7138 Notice from the Office of the Secretary ................................... #29 (July 18) 7154 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8491 Order .................................................. #35 (Aug. 29) 8539 Notice of Hearing – ss. 127, 127.1 ................................. #39 (Sept. 26) 9295


12


News Release ................................... #39 (Sept. 26) 9302 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9304 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Order – s. 127(10), Undertaking and Settlement Agreement ............... #39 (Sept. 26) 9348 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10290 Order ................................................. #43 (Oct. 24) 10335 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10436 Order ................................................. #44 (Oct. 31) 10457 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11820 Blackett, Sylvan Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 17 Order – s. 127 ............................................. #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ............................... #30 (July 25) 7446 BlackRock Asset Management Canada Limited Decision ............................................. #26 (June 27) 6447 Decision ............................................... #31 (Aug. 1) 7654 Decision ............................................... #32 (Aug. 8) 7951 Blackwood & Rose Inc. Notice of Hearing – ss. 127(7), 127(8) ........ #1 (Jan. 4) 11 Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 19 Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 25 Temporary Order – ss. 127(1), 127(5) ........ #1 (Jan. 4) 90 Temporary Order – ss. 127(7), 127(8) ...... #1 (Jan. 4) 180 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1419 Notice of Hearing – ss. 37, 127, 127.1 ................................ #6 (Feb 7) 1413 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1998 Order – ss. 127(7), 127(8)..................... #9 (Feb 28) 2035 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Order – ss. 127(7), 127(8).................... #16 (Apr 18) 4219 Notice from the Office of the Secretary ................................... #22 (May 30) 5490 Temporary Order – ss. 127(7) and (8) ............................. #22 (May 30) 5507 Notice from the Office of the Secretary .................................. #26 (June 27) 6440 Temporary Order – ss. 127(7) and 127(8) ...................... #26 (June 27) 6475 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order – s. 127 .................................... #34 (Aug. 22) 8381

Blair Franklin Asset Management Inc. Approval – ss. 213(3)(b) of the LTCA ..... #2 (Jan. 10) 746 Blair Franklin Capital Partners Inc. New Registration ...................................... #1 (Jan. 4) 481 Bloomberg SEF LLC Order – s. 147 .................................... #41 (Oct. 10) 9809 Bloomberg Tradebook Canada Company Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Blue Horizon Industries Inc. Cease Trading Order ............................ #16 (Apr 18) 4285 Cease Trading Order ............................ #18 (May 2) 4649 Cease Trading Order ........................ #50 (Dec. 12) 11847 Blue Note Mining Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 BlueScout Technologies Ltd. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 BluMont Capital Corporation Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ... #12 (Mar 21) 2913 Decision ............................................ #50 (Dec. 12) 11787 BMO Asset Management Inc. Decision ............................................... #29 (July 18) 7159 Decision ................................................ #31 (Aug. 1) 7663 BMO Capital Markets Corp. Decision ................................................ #31 (Aug. 1) 7621 BMO Investorline Inc. Decision ................................................ #31 (Aug. 1) 7699 BMO Long Provincial Bond Index ETF Designation Order – s. 1.1 of OSC Rule 48-501 ................ #7 (Feb 14) 1681 BMO Low Volatility US Equity ETF Designation Order – s. 1.1 of OSC Rule 48-501 ................ #7 (Feb 14) 1681 BMO Mid Provincial Bond Index ETF Designation Order – s. 1.1 of OSC Rule 48-501 ................ #7 (Feb 14) 1681 BMO Mid-Term US IG Corporate Bond Hedged To CAD Index ETF Designation Order – s. 1.1 of OSC Rule 48-501 ................ #7 (Feb 14) 1681



13

BMO Mid-Term US IG Corporate Bond Index ETF Designation Order – s. 1.1 of OSC Rule 48-501 ................ #7 (Feb 14) 1681 BMO Nesbitt Burns Balanced Fund Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns Balanced Portfolio Fund Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns Bond Fund Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns Canadian Stock Selection Fund Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns Growth Portfolio Fund Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns Inc. Decision ............................................... #15 (Apr 11) 3867 Decision ................................................ #27 (July 4) 6700 Decision ............................................... #31 (Aug. 1) 7621 Decision ............................................... #31 (Aug. 1) 7699 Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns International Equity Fund Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns Maximum Growth Portfolio Fund Decision ............................................ #43 (Oct. 24) 10322 BMO Nesbitt Burns U.S. Stock Selection Fund Decision ............................................ #43 (Oct. 24) 10322 BMO US Dividend ETF Designation Order – s. 1.1 of OSC Rule 48-501 ................ #7 (Feb 14) 1681 BMO US Dividend Hedged to CAD ETF Designation Order – s. 1.1 of OSC Rule 48-501 ................ #7 (Feb 14) 1681 BNP Paribas Prime Brokerage, Inc. Decision .............................................. #13 (Mar 28) 3141 BNP Paribas Securities Corp. Decision .............................................. #28 (July 11) 6941 BNY Mellon Wealth Management, Advisory Services, Inc. Name Change ......................................... #3 (Jan. 17) 961 Board of Trade of the City of Chicago, Inc. Marketplaces ...................................... #34 (Aug. 22) 8477 Order – s. 147 of the Act and ss. 38, 80 of the CFA ........................ #44 (Oct. 31) 10472 Marketplaces ..................................... #44 (Oct. 31) 10588

Bobrow, Korin Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Order – Rule 6 of the OSC Rules of Procedure ...................... #4 (Jan. 24) 1058 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3832 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3880 Notice from the Office of the Secretary ................................... #29 (July 18) 7153 Order – Rules 3, 9 and 6 of the OSC Rules of Procedure ..................... #29 (July 18) 7201 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7818 Order – Rule 3 of the OSC Rules of Procedure ...................... #31 (Aug. 1) 7760 Order – Rules 1.6(2), 3, 6 and 9 of the OSC Rules of Procedure ............ #31 (Aug. 1) 7766 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Order ................................................ #48 (Nov. 28) 11379 Boily, Bernard Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – s. 127 .......................................... #1 (Jan. 4) 141 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2885 Order – s. 127 ..................................... #12 (Mar 21) 2911 Notice of Hearing – ss. 127, 127.1 ................................... #13 (Mar 28) 3079 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3107 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3452 Order– ss. 127(1), 127.1 ........................ #14 (Apr 4) 3482 Order ...................................................... #14 (Apr 4) 3484 Settlement Agreement ............................ #14 (Apr 4) 3622 Bonavista Asset Management Ltd. Amalgamation .................................... #45 (Nov. 7) 10755 Bontan Corporation Inc. Consent – s. 4(b) of the Regulation ....... #27 (July 4) 6895 Boock, Irwin Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Boost Capital Corp. Cease Trading Order ............................ #32 (Aug. 8) 7975 Cease Trading Order .......................... #34 (Aug. 22) 8383 Borealis Exploration Limited et al. Order – s. 144 ................................... #44 (Oct. 31) 10450


14


Borg, David News Release .................................. #50 (Dec. 12) 11780 Borland, Brent Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Boultbee, John A. Notice of Withdrawal ........................... #29 (July 18) 7119 Notice of Hearing and Amended Statement of Allegations ..................... #29 (July 18) 7138 Notice from the Office of the Secretary ................................... #29 (July 18) 7154 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8491 Order .................................................. #35 (Aug. 29) 8539 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9295 News Release ................................... #39 (Sept. 26) 9302 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9304 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Order – s. 127(10), Undertaking and Settlement Agreement ............... #39 (Sept. 26) 9348 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10290 Order ................................................. #43 (Oct. 24) 10335 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10436 Order ................................................. #44 (Oct. 31) 10457

Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11820 Boyuan Construction Group, Inc. Cease Trading Order ................................ #1 (Jan. 4) 235 Notice of Hearing and Statement of Allegations...................... #23 (June 6) 5657 Notice from the Office of the Secretary ................................... #23 (June 6) 5663 News Release ................................... #24 (June 13) 5917 Notice from the Office of the Secretary ................................. #24 (June 13) 5928 Order ................................................. #24 (June 13) 5958 OSC Reasons .................................. #24 (June 13) 5977 BPO Properties Ltd. Decision .............................................. #34 (Aug. 22) 8373 Bradesco Securities, Inc. Decision ............................................... #36 (Sept. 5) 8703 Bradford Bachinski Limited Voluntary Surrender .......................... #26 (June 27) 6623 Bradon Technologies Ltd. Notice of Hearing – ss. 127, 127.1 ................................. #43 (Oct. 24) 10277 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10290 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Order – s. 127 .................................... #45 (Nov. 7) 10678 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12044 Order – s. 127 .................................. #51 (Dec. 19) 12075 Brandes Investment Partners & Co. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ... #12 (Mar 21) 2913 Brandywine Global Investment Management LLC Order – s. 80 of the CFA ....................... #9 (Feb 28) 2036 Brekelmans, Jenifer Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order .................................................... #4 (Jan. 24) 1060 Notice of Hearing – ss. 127(1), 127.1 ............................... #17 (Apr 25) 4396 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Notice from the Office of the Secretary .................................... #19 (May 9) 4754 Order .................................................... #19 (May 9) 4792 Notice from the Office of the Secretary .................................. #20 (May 16) 5047 Order – s. 127(1) ................................ #20 (May 16) 5094 Settlement Agreement ........................ #20 (May 16) 5112



15

Bridgeport Asset Management Inc. Change in Registration Category ...... #44 (Oct. 31) 10585 BridgingFinance Inc. Change in Registration Category ..... #41 (Oct. 10) 10003 Brigata Canadian Equity Fund Decision .................................................. #2 (Jan. 10) 585 Brigata Capital Management Inc. Decision .................................................. #2 (Jan. 10) 585 Decision ........................................... #48 (Nov. 28) 11377 Brigata Diversified Portfolio Decision ........................................... #48 (Nov. 28) 11377 Brikman, Vyacheslav Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8)..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary ..................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 .............. #51 (Dec. 19) 12153 Brilliante Brasilcan Resources Corp. Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 Brookfield Infrastructure Partners L.P. Decision ........................................... #46 (Nov. 14) 10854 Brookfield Property Partners L.P. Decision ............................................... #17 (Apr 25) 4412 Decision ............................................. #35 (Aug. 29) 8495 Brookfield Renewable Energy Partners LP Notice of Hearing– ss. 104, 127 .............. #6 (Feb 7) 1418

Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1422 Order– ss. 104, 127 ............................... #7 (Feb 14) 1678 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1650 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 OSC Reasons ...................................... #27 (July 4) 6749 Brown, Roy Notice from the Office of the Secretary .................................... #16 (Apr 18) 4191 Order – ss. 127, 127.1 .......................... #16 (Apr 18) 4226 OSC Reasons ...................................... #16 (Apr 18) 4243 Notice from the Office of the Secretary .................................. #21 (May 23) 5277 Order– ss. 127 and 127.1 ................... #21 (May 23) 5304 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Order – ss. 127, 127.1 ......................... #28 (July 11) 6963 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8948 Order – s. 127, 127.1 ........................ #37 (Sept. 12) 8981 Brown-Rodrigues, Roy Notice from the Office of the Secretary .................................... #16 (Apr 18) 4191 Order – ss. 127, 127.1 .......................... #16 (Apr 18) 4226 OSC Reasons ...................................... #16 (Apr 18) 4243 Notice from the Office of the Secretary .................................. #21 (May 23) 5277 Order– ss. 127 and 127.1 ................... #21 (May 23) 5304 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Order – ss. 127, 127.1 ......................... #28 (July 11) 6963 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8948 Order – s. 127, 127.1 ........................ #37 (Sept. 12) 8981 BSM Capital Corporation Change in Registration Category .......... #7 (Feb 14) 1793 BTG Pactual US Capital LLC Decision ................................................. #27 (July 4) 6718 Buchanan, Donald Iain Notice of Withdrawal ............................. #10 (Mar 7) 2246 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2266 Buchanan, Lisa Notice of Withdrawal ............................. #10 (Mar 7) 2246 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2266 Bucking Horse Energy Inc. Cease Trading Order ............................ #16 (Apr 18) 4285 Cease Trading Order ............................ #18 (May 2) 4649 Builders Capital Management Corp. New Registration ................................ #21 (May 23) 5471


16


Bunting & Waddington Inc. Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order ..................................................... #4 (Jan. 24) 1060 Notice of Hearing – ss. 127(1), 127.1 ............................... #17 (Apr 25) 4396 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Notice from the Office of the Secretary ..................................... #19 (May 9) 4754 Order ..................................................... #19 (May 9) 4792 Notice from the Office of the Secretary ................................... #20 (May 16) 5047 Order – s. 127(1) ................................. #20 (May 16) 5094 Settlement Agreement ........................ #20 (May 16) 5112 Notice of Hearing ............................... #24 (June 13) 5909 Notice from the Office of the Secretary .................................. #24 (June 13) 5929 Notice from the Office of the Secretary ................................... #30 (July 25) 7365 Order – Rule 11 of the OSC Rules of Practice ........................ #30 (July 25) 7401 Notice of Hearing – ss. 127(1), 127.1 .............................. #36 (Sept. 5) 8681 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8685 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8951 Order – ss. 127(1), 127.1 .................. #37 (Sept. 12) 8972 Order ................................................. #37 (Sept. 12) 8988 Settlement Agreement ...................... #37 (Sept. 12) 8991 C International Income Fund Cease Trading Order .......................... #11 (Mar 14) 2617 Cease Trading Order .......................... #12 (Mar 21) 2943 C.A. Bancorp Inc. Decision ............................................... #16 (Apr 18) 4195 C.A.D.E Resources Group Inc. Notice of Hearing .................................. #4 (Jan. 24) 1028 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1031 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1036 Notice of Withdrawal .............................. #5 (Jan 31) 1205 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1205 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1206 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1207 Order – s. 127 ........................................ #5 (Jan 31) 1218 Order ............................................ #5 (Jan 31) 1220, 1221 Settlement Agreement ........................... #5 (Jan 31) 1231 Settlement Agreement ........................... #5 (Jan 31) 1237 C.E.T. Achievers Plan Decision ................................................ #40 (Oct. 3) 9553

C.E.T. Group Option Plan Decision ................................................. #40 (Oct. 3) 9553 C.E.T. Self-Initiated Option Plan Decision ................................................. #40 (Oct. 3) 9553 C.S.T. Consultants Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ... #12 (Mar 21) 2913 Decision .............................................. #22 (May 30) 5500 C.T.C. Dealer Holdings Limited Decision ............................................... #23 (June 6) 5684 Cabo Catoche Corp. Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 19 Order ........................................................ #1 (Jan. 4) 133 Notice from the Office of the Secretary ...................................... #2 (Jan. 10) 561 Order ...................................................... #2 (Jan. 10) 606 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Order .................................................... #15 (Apr 11) 3875 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Order .................................................... #17 (Apr 25) 4446 Notice from the Office of the Secretary ..................................... #27 (July 4) 6686 Order – ss. 127, 127.1 ........................... #27 (July 4) 6748 Notice from the Office of the Secretary ................................. #26 (June 27) 6440 Order. – ss. 127 and 127.1 ................ #26 (June 27) 6466 OSC Reasons .................................. #26 (June 27) 6487 Cado Investment Fund Management Inc. New Registration .................................. #16 (Apr 18) 4375 Caldera Resources Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Caldwell Investment Management Ltd. Decision ............................................... #30 (July 25) 7392 Caldwell Securities Ltd. Decision .............................................. #35 (Aug. 29) 8511 Caldwell, Brian Order ....................................................... #6 (Feb 7) 1442 OSC Reasons ......................................... #6 (Feb 7) 1464 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Callidus Capital Corporation Name Change ....................................... #9 (Feb 28) 2227



17

Callidus Capital Management Inc. Name Change ....................................... #9 (Feb 28) 2227 Calloway Real Estate Investment Trust Decision ........................................... #46 (Nov. 14) 10814 Cambridge Asset Management Inc. Decision ...................................................... #1 (Jan. 4) 37 Cambridge Canadian Stock Fund Decision ............................................... #32 (Aug. 8) 7942 Cambridge Resources Corporation Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons – s. 127 ..................... #39 (Sept. 26) 9361 Cameron Stephens Securities Ltd. New Registration ................................ #35 (Aug. 29) 8661 Campbell, Stephen Notice of Hearing and Statement of Allegations – ss. 127, 127.1 .................................... #14 (Apr 4) 3427 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3447 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3453 Order – ss. 127(1), 127.1 ....................... #14 (Apr 4) 3484 Settlement Agreement ........................... #14 (Apr 4) 3630 Canaccord Genuity Corp. Decision ................................................ #27 (July 4) 6700 Canaco Resources Inc. Decision ............................................... #17 (Apr 25) 4409 Canada Mortgage Acceptance Corporation Decision ........................................... #46 (Nov. 14) 10821 Canada Pacific Consulting Inc. Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) .... #13 (Mar 28) 3085 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3108 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4190 Order – s. 127 ...................................... #16 (Apr 18) 4223 Notice from the Office of the Secretary .................................. #24 (June 13) 5931 Order .................................................. #24 (June 13) 5966 OSC Decision .................................... #24 (June 13) 5993 Canadian Capital Auto Receivables Asset Trust III Decision – s. 1(10)(a)(ii) ................... #46 (Nov. 14) 10863 Canadian Depository for Securities Limited Order – s. 144 ............................................. #1 (Jan. 4) 92 Clearing Agencies ..................................... #1 (Jan. 4) 498 Variation Order – s. 144 ...................... #20 (May 16) 5095 Clearing Agencies ............................... #20 (May 16) 5250

Variation Order – s. 144 ...................... #28 (July 11) 6966 Clearing Agencies ............................... #28 (July 11) 7097 Canadian Derivatives Clearing Corporation Second Variation to the Temporary Exemption Order – s. 144 ................................................. #10 (Mar 7) 2321 Third Variation to the Temporary Exemption Order ............. #24 (June 13) 5976 Clearing Agencies ............................. #24 (June 13) 6198 Fourth Variation to the Temporary Exemption Order – s. 144 ............................................. #42 (Oct. 17) 10054 Clearing Agencies ............................. #42 (Oct. 17) 10263 Canadian Imperial Bank of Commerce Decision .............................................. #35 (Aug. 29) 8502 Canadian Lamb Producers Cooperative Inc. Decision ............................................... #41 (Oct. 10) 9735 Canadian National Railway Company Order – s. 104(2)(c) ............................ #45 (Nov. 7) 10654 Order – s. 104(2)(c) ............................ #45 (Nov. 7) 10658 Canadian Private Audit Service Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) ............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) .............................. #18 (May 2) 4611 Notice from the Office of the Secretary ................................. #24 (June 13) 5927 Order ................................................. #24 (June 13) 5953 Notice from the Office of the Secretary ................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8) ......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Canadian Public Accountability Board Notice ................................................. #49 (Dec. 5) 11537 Canadian Scholarship Trust Family Savings Plan Decision .............................................. #22 (May 30) 5500 Canadian Scholarship Trust Group Savings Plan 2001 Decision .............................................. #22 (May 30) 5500 Canadian Scholarship Trust Individual Savings Plan Decision .............................................. #22 (May 30) 5500


18


Canadian Special Opportunity Fund, LP Decision ............................................... #15 (Apr 11) 3839 Candeal.Ca Inc Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Canoe Financial LP Decision ............................................. #26 (June 27) 6455 Canoe Financial Ltd. Decision ............................................... #32 (Aug. 8) 7938 CanPro Income Fund I, LP Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 21 Order – s. 127 ........................................... #1 (Jan. 4) 137 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order – s. 127 ..................................... #11 (Mar 14) 2598 Notice from the Office of the Secretary ................................... #22 (May 30) 5488 Order –Rule 1.7.4 of the Rules of Procedure ............................. #22 (May 30) 5504 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8491 Order – s. 127 .................................... #35 (Aug. 29) 8530 Order – s. 127 .................................... #35 (Aug. 29) 8540 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9121 Order – s. 127 ................................... #38 (Sept. 19) 9150 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #41 (Oct. 10) 9722 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9729 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10025 Order– ss. 127, 127.1 ....................... #42 (Oct. 17) 10061 Order –s. 127 .................................... #42 (Oct. 17) 10065 Settlement Agreement ...................... #42 (Oct. 17) 10077 Canso Fund Management Ltd. Amalgamation ...................................... #17 (Apr 25) 4555 Canyon Acquisitions International, LLC Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089

Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ............................ #14 (Apr 4) 3643 Settlement Agreement ............................ #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Canyon Acquisitions, LLC Notice of Hearing – s. 127 ..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 ........................... #9 (Feb 28) 2056 Settlement Agreement ........................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ............................ #14 (Apr 4) 3643 Settlement Agreement ............................ #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Capital BLF Inc. Decision – s. 1(10) ............................ #39 (Sept. 26) 9332 Capital Gains Income Streams Corporation Decision ............................................ #48 (Nov. 28) 11355 Capital International Asset Management (Canada) Inc. Approval – s. 213(3)(b) of the LTCA ....................................... #41 (Oct. 10) 10007



19

Caracal Energy Inc. Decision ............................................ #39 (Sept. 26) 9319 Caruso, Marco Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Casale, Graziana News Release .................................. #47 (Nov. 21) 11207 Opportunity to be Heard by the Director – s. 31 ...................... #47 (Nov. 21) 11243 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 OSC Reasons (Stay Order) – s. 8(4) ............................................. #49 (Dec. 5) 11637 Cash Store Australia Holdings Inc., The Cease Trading Order ................................ #1 (Jan. 4) 235 Cash Store Financial Services Inc. Order – s. 144 ...................................... #23 (June 6) 5711 Cease Trading Order ........................... #23 (June 6) 5721 Caspian Energy Inc. Cease Trading Order ........................... #16 (Apr 18) 4285 Cease Trading Order ............................ #18 (May 2) 4649 Castle Silver Mines Inc. Decision – s. 1(10)(a)(ii) .................... #43 (Oct. 24) 10312 Cavric, Ivan Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513

Order ..................................................... #40 (Oct. 3) 9564 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10329 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10779 Order ................................................ #46 (Nov. 14) 10871 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11784 Order ................................................ #50 (Dec. 12) 11825 Cayenne Gold Mines Ltd. Cease Trading Order ........................ #46 (Nov. 14) 11013 Cease Trading Order ........................ #47 (Nov. 21) 11249 CBK Enterprises Inc. Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 37, 127, 127.1 ..................... #9 (Feb 28) 2055 OSC Reasons – s. 127 .......................... #9 (Feb 28) 2104 Notice from the Office of the Secretary .................................... #19 (May 9) 4754 Order – Rules 1.6(2) and 11.5 of the OSC Rules of Procedure ...................... #19 (May 9) 4793 News Release .................................... #49 (Dec. 5) 11555 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Order – ss. 127, 127.1 ........................ #49 (Dec. 5) 11600 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #49 (Dec. 5) 11642 CDCC – Notice of Commission Order – Second Variation to the Temporary Exemption Order Clearing Agencies ................................. #10 (Mar 7) 2529 CDS – Daily Subscription Fee for IIROC Compliance Reporting – Regulation 800.49 Clearing Agencies .............................. #35 (Aug. 29) 8665 CDS – Notice of Commission Approval – Amendments to By-law No. 1 Clearing Agencies ............................... #29 (July 18) 7343 Clearing Agencies ............................. #39 (Sept. 26) 9489 CDS Clearing and Depository Services Inc Order – s. 144 ............................................ #1 (Jan. 4) 92 Clearing Agencies .................................... #1 (Jan. 4) 498 Variation Order – s. 144 ..................... #20 (May 16) 5095 Clearing Agencies .............................. #20 (May 16) 5250 CDS Clearing and Depository Services Variation Order – s. 144 ...................... #28 (July 11) 6966 Clearing Agencies ............................... #28 (July 11) 7097 CDS Introduction of daily subscription fee for IIROC compliance reporting – Regulation 800.49 Clearing Agencies ............................. #43 (Oct. 24) 10413 CDS Procedures – ACT Service Reporting Changes Clearing Agencies .............................. #45 (Nov. 7) 10758


20


CDS Procedures – Amendments to Buy-In Messaging Clearing Agencies ............................... #11 (Mar 14) 2856 Clearing Agencies ................................ #23 (June 6) 5881 CDS Procedures – Amendments to the Buy-in Process Clearing Agencies ............................... #28 (July 11) 7098 Clearing Agencies ............................. #38 (Sept. 19) 9265 CDS Procedures – Decommissioning of NSCC’s OTC Comparison Service Clearing Agencies ................................. #7 (Feb 14) 1797 CDS Procedures – Enhancements to the CNS Mandatory Allotment and Conversion Process Clearing Agencies ................................. #7 (Feb 14) 1795 CDS Procedures – Locked-In Trade Reconciliation Service and the NSCC Trade File Pass-Through Service Clearing Agencies ............................... #11 (Mar 14) 2851 Clearing Agencies ................................ #23 (June 6) 5882 CDS Procedures – Modification of Non-Financial Details on Blind Repo Trades Clearing Agencies ............................... #11 (Mar 14) 2847 Clearing Agencies ............................... #22 (May 30) 5629 CDS Procedures – QST Rate Changes on CDS Forms Clearing Agencies ..................................... #1 (Jan. 4) 543 CDS Procedures – Tax Changes on CDS Forms Clearing Agencies ............................... #13 (Mar 28) 3408 CDS Procedures – Termination of FINnet Clearing Agencies .............................. #25 (June 20) 6390 CDS Procedures – Trade Confirmation and Matching Compliance as per IIROC Dealer Member Rules 800.49 and 200.1(h) changes Clearing Agencies ................................. #19 (May 9) 5026 Clearing Agencies ............................... #29 (July 18) 7343 CDS Procedures– Enhancements to the ATON Mutual Fund Transfer Request Process Clearing Agencies ................................. #7 (Feb 14) 1796 CDS Procedures for Housekeeping Changes – July 2013 Clearing Agencies .............................. #33 (Aug. 15) 8316 CDS Rules – Delegation of Board Authority to Management Clearing Agencies ............................ #51 (Dec. 19) 12410 CDS Rules – Termination of FINet Clearing Agencies ............................... #20 (May 16) 5205 Clearing Agencies ................................ #31 (Aug. 1) 7893 Celtic Exploration Ltd. Decision – s. 1(10)(a)(ii) ...................... #13 (Mar 28) 3113

Celtic Tiger Minerals Exploration Inc. Cease Trading Orders ....................... #38 (Sept. 19) 9169 Cease Trading Order ............................. #40 (Oct. 3) 9599 Centennial Capital Corporation Suspension (Section 29(1) of the Securities Act) ............................... #6 (Feb 7) 1581 Central Fund of Canada Limited Decision .................................................. #3 (Jan. 17) 795 Central Goldtrust Decision .................................................. #3 (Jan. 17) 778 Centurion Apartment REIT Management Inc. Change in Registration Category ....... #21 (May 23) 5471 Name Change .................................... #34 (Aug. 22) 8475 Centurion Asset Management Inc. Name Change .................................... #34 (Aug. 22) 8475 Cerro Resources NL Decision – s. 1(10) .............................. #28 (July 11) 6950 CFI Capital Inc. Consent to Suspension (Pending Surrender) ............................. #16 (Apr 18) 4375 Voluntary Surrender of Registration ..................................... #30 (July 25) 7593 CGA Mining Limited Order ..................................................... #7 (Feb 14) 1680 CGI Information Systems and Management Consultants Inc. News Release ...................................... #18 (May 2) 4570 News Release .................................... #33 (Aug. 15) 8157 News Release ..................................... #41 (Oct. 10) 9725 News Release .................................. #47 (Nov. 21) 11206 CGX Energy Inc. Notice of Hearing – s. 127(1) ............... #12 (Mar 21) 2873 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2879 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3104 Chaddock, Douglas William Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3836 Order – Rule 1.5.3 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3885 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3890 Notice of Correction .............................. #19 (May 9) 4746 Notice from the Office of the Secretary .................................. #20 (May 16) 5046 Order – Rules 1.6(2), 4.3(1), 4.5(1), and 4.5(2) of the OSC Rules of Procedure .................... #20 (May 16) 5091



21

Notice from the Office of the Secretary .................................. #26 (June 27) 6441 Order– ss. 127 and 127.1 .................. #26 (June 27) 6476 OSC Reasons ................................... #26 (June 27) 6500 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Order – ss. 127, 127.1 ......................... #31 (Aug. 1) 7759 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Order – ss. 127, 127.1 ....................... #35 (Aug. 29) 8529 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ...................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Order – ss. 127, 127.1 ....................... #49 (Dec. 5) 11595 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ...................... #49 (Dec. 5) 11613 Chamberland Street Investment Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Chambers, Desmond News Release ....................................... #10 (Mar 7) 2256 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2262 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2310 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ......................... #10 (Mar 7) 2327 Chan, Allen Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1036 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1037 Order ..................................................... #4 (Jan. 24) 1066 Temporary Order – ss. 127(7), 127(8) .. #4 (Jan. 24) 1069 Notice from the Office of the Secretary ................................... #21 (May 23) 5276 Order ................................................... #21 (May 23) 5303 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order ................................................... #30 (July 25) 7423 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8687 Order ................................................... #36 (Sept. 5) 8712 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Order ................................................. #38 (Sept. 19) 9155 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10286 Order ................................................. #43 (Oct. 24) 10324 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order ................................................ #48 (Nov. 28) 11390

Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11822 Change of Location of OSC Proceedings Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3450 Chartier Capital Management Inc. New Registration ................................ #20 (May 16) 5203 Check Registration Day. News Release ..................................... #13 (Mar 28) 3099 Chelmsford/Dunnville Investment Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Cheng, Francis Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Order – Rule 6 of the OSC Rules of Procedure ...................... #4 (Jan. 24) 1058 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3832 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3880 Notice from the Office of the Secretary ................................... #29 (July 18) 7153 Order – Rules 3, 9 and 6 of the OSC Rules of Procedure ..................... #29 (July 18) 7201 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7818 Order – Rule 3 of the OSC Rules of Procedure ...................... #31 (Aug. 1) 7760 Order – Rules 1.6(2), 3, 6 and 9 of the OSC Rules of Procedure ............ #31 (Aug. 1) 7766 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Order ................................................ #48 (Nov. 28) 11379 Cheng, Man Kin Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Order – Rule 6 of the OSC Rules of Procedure ...................... #4 (Jan. 24) 1058 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3832 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3880 Notice from the Office of the Secretary ................................... #29 (July 18) 7153 Order – Rules 3, 9 and 6 of the OSC Rules of Procedure ..................... #29 (July 18) 7201 Notice from the Office


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of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7818 Order – Rule 3 of the OSC Rules of Procedure ..................... #31 (Aug. 1) 7760 Order – Rules 1.6(2), 3, 6 and 9 of the OSC Rules of Procedure ............ #31 (Aug. 1) 7766 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Order ................................................ #48 (Nov. 28) 11379 Cheong, John Order – s. 127 ......................................... #3 (Jan. 17) 817 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2033 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – s. 127 ....................................... #10 (Mar 7) 2317 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3109 Order ................................................... #13 (Mar 28) 3166 Notice of Hearing – ss. 127(1), 127.1 of the Act and Rule 12 of the OSC Rules of Procedure ............ #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4186 Order – Rules 1.7.4 and 11 of the OSC Rules of Procedure ............ #16 (Apr 18) 4211 Order .................................................... #16 (Apr 18) 4212 Settlement Agreement ......................... #16 (Apr 18) 4233 Cheong, Kim Meng Order – s. 127 ......................................... #3 (Jan. 17) 817 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2033 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – s. 127 ....................................... #10 (Mar 7) 2317 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3109 Order ................................................... #13 (Mar 28) 3166 Notice of Hearing – ss. 127(1), 127.1 of the Act and Rule 12 of the OSC Rules of Procedure ............ #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4186 Order – Rules 1.7.4 and 11 of the OSC Rules of Procedure ............ #16 (Apr 18) 4211 Order .................................................... #16 (Apr 18) 4212 Settlement Agreement ......................... #16 (Apr 18) 4233

Chestnut Manor Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Chicago Mercantile Exchange Inc. Clearing Agencies .............................. #20 (May 16) 5209 Notice of Correction ........................... #21 (May 23) 5270 Order – s. 147 ....................................... #27 (July 4) 6735 Clearing Agencies ................................. #27 (July 4) 6894 Marketplaces ...................................... #34 (Aug. 22) 8477 Order – s. 147 of the Act and ss. 38, 80 of the CFA .................. #44 (Oct. 31) 10472 Marketplaces ..................................... #44 (Oct. 31) 10588 Chieftain Metals Inc. Decision ...................................................... #1 (Jan. 4) 34 Decision – s. 1(10)(a)(ii) ...................... #29 (July 18) 7157 Order – s. 1(6) of the OBCA ................ #29 (July 18) 7196 Children’s Education Funds Inc. Children’s Educational Foundation of Canada Decision ................................................. #40 (Oct. 3) 9553 CHI-X Canada ATS Limited Marketplaces ..................................... #25 (June 20) 6388 Marketplaces ...................................... #35 (Aug. 29) 8664 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Choice Properties Real Estate Investment Trust Decision ............................................... #30 (July 25) 7379 Decision ................................................ #31 (Aug. 1) 7735 Chomica, Jan Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) ............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice of Hearing – ss. 37, 127, 127.1 ................................ #14 (Apr 4) 3433 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) .............................. #18 (May 2) 4611 Notice from the Office of the Secretary .................................. #22 (May 30) 5489 Order .................................................. #22 (May 30) 5505



23

Notice from the Office of the Secretary .................................. #24 (June 13) 5927 Order .................................................. #24 (June 13) 5953 Notice from the Office of the Secretary .................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8).......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ..................................... #27 (July 4) 6677 Order – Rules 1.4 and 1.5.3(3) of the OSC Rules of Procedure ................. #27 (July 4) 6729 Notice of Correction ............................ #29 (July 18) 7114 Notice of Hearing – ss. 27, 127 ........... #29 (July 18) 7137 Notice from the Office of the Secretary ................................... #29 (July 18) 7151 Notice from the Office of the Secretary ................................... #30 (July 25) 7368 Order – ss. 37, 127(1) ......................... #30 (July 25) 7411 Settlement Agreement ........................ #30 (July 25) 7486 Notice of Hearing – ss. 37, 127 ............ #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Order – ss. 37, 127(1) ........................ #33 (Aug. 15) 8187 Settlement Agreement ....................... #33 (Aug. 15) 8195 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8689 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ...................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary and Amended Statement of Allegations ................... #39 (Sept. 26) 9306 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – s. 127 ....................................... #40 (Oct. 3) 9572 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 27, 127(1), 127(10) ........... #41 (Oct. 10) 9776 OSC Reasons (Sanctions) .................. #41 (Oct. 10) 9859 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 Order – s. 127(1) ................................ #49 (Dec. 5) 11598 OSC Reasons – s. 127(1) .................. #49 (Dec. 5) 11627 Chomica, Michael Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) .............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice of Hearing – ss. 37, 127, 127.1 ............................... #14 (Apr 4) 3433

Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) .............................. #18 (May 2) 4611 Notice from the Office of the Secretary .................................. #22 (May 30) 5489 Order .................................................. #22 (May 30) 5505 Notice from the Office of the Secretary ................................. #24 (June 13) 5927 Order ................................................. #24 (June 13) 5953 Notice from the Office of the Secretary ................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8) ......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ..................................... #27 (July 4) 6677 Order – Rules 1.4 and 1.5.3(3) of the OSC Rules of Procedure ................. #27 (July 4) 6729 Notice of Correction ............................. #29 (July 18) 7114 Notice of Hearing – ss. 27, 127 ........... #29 (July 18) 7137 Notice from the Office of the Secretary ................................... #29 (July 18) 7151 Notice from the Office of the Secretary ................................... #30 (July 25) 7368 Order – ss. 37, 127(1) ......................... #30 (July 25) 7411 Settlement Agreement ......................... #30 (July 25) 7486 Notice of Hearing – ss. 37, 127 ............ #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Order – ss. 37, 127(1) ........................ #33 (Aug. 15) 8187 Settlement Agreement ........................ #33 (Aug. 15) 8195 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8689 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ....................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary and Amended Statement of Allegations.................... #39 (Sept. 26) 9306 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – s. 127 ....................................... #40 (Oct. 3) 9572 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 27, 127(1), 127(10) ........... #41 (Oct. 10) 9776 OSC Reasons (Sanctions) .................. #41 (Oct. 10) 9859 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 Order – s. 127(1) ................................ #49 (Dec. 5) 11598 OSC Reasons – s. 127(1) .................. #49 (Dec. 5) 11627


24


Chornoboy, Douglas Michael Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 20 Order – s. 21.7 and 8 ................................ #1 (Jan. 4) 136 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1651 Notice of Hearing .................................. #7 (Feb 14) 1646 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2000 Order – ss. 21.7, 8 ................................ #9 (Feb 28) 2044 CHR Investment Corporation Decision – s. 1(10)(a)(ii) ................... #48 (Nov. 28) 11359 Christodoulidis, Alexandros Notice from the Office of the Secretary ................................... #29 (July 18) 7152 Order – s. 127 of the Act and the OSC Rules of Procedure .................... #29 (July 18) 7200 Churchill 11 Real Estate Limited Partnership Decision ................................................ #18 (May 2) 4591 Churchill VI Debenture Corp. Decision – s. 1(10)(a)(ii) ................... #50 (Dec. 12) 11807 Churchill VII Debenture Corp. Decision – s. 1(10) ............................. #33 (Aug. 15) 8163 CI Funds Services Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 CI Investments Inc. Decision ............................................... #32 (Aug. 8) 7942 Decision ............................................... #32 (Aug. 8) 7948 CI Japanese Corporate Class Decision ............................................... #32 (Aug. 8) 7942 CI U.S. Equity Plus Fund Decision ............................................... #32 (Aug. 8) 7942 Ciavarella, Michael Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1032 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #4 (Jan. 24) 1051 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), 127(7), 127(8) ........ #9 (Feb 28) 2052 Notice of Withdrawal ........................... #11 (Mar 14) 2543 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2575 CIBC Asia Pacific Fund Decision ............................................... #23 (June 6) 5665

CIBC Asset Management Inc. Decision .............................................. #35 (Aug. 29) 8502 CIBC Balanced Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond 15 Year Duration Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond 30 Year Duration Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond 5 Year Duration Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond Active Universe Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond Corporate Investment Grade Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond Fund Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond Index Fund Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond Long Term Index Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond Overlay Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Bond Universe Index Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Equity All Cap Value Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Equity Fund Decision ............................................... #23 (June 6) 5665 CIBC Canadian Equity Large Cap Dividend Value Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Equity S&P/TSX Index Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Equity Small Cap Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Equity Value Fund Decision ............................................... #23 (June 6) 5665 CIBC Canadian Index Fund Decision ............................................... #23 (June 6) 5665 CIBC Canadian Money Market Pool Decision ............................................... #23 (June 6) 5665 CIBC Canadian Real Estate Fund Decision ............................................... #23 (June 6) 5665



25

CIBC Canadian Resources Fund Decision ............................................... #23 (June 6) 5665 CIBC Canadian Short-Term Bond Index Fund Decision ............................................... #23 (June 6) 5665 CIBC Dividend Growth Fund Decision ............................................... #23 (June 6) 5665 CIBC Dividend Income Fund Decision ............................................... #23 (June 6) 5665 CIBC EAFE Equity Pool Decision ............................................... #23 (June 6) 5665 CIBC Emerging Markets Fund Decision ............................................... #23 (June 6) 5665 CIBC Emerging Markets Index Fund Decision ............................................... #23 (June 6) 5665 CIBC Energy Fund Decision ............................................... #23 (June 6) 5665 CIBC European Equity Fund Decision ............................................... #23 (June 6) 5665 CIBC Global Asset Management Inc. Decision ............................................... #23 (June 6) 5665 CIBC Global Balanced Pool Decision ............................................... #23 (June 6) 5665 CIBC Global Bond Fund Decision ............................................... #23 (June 6) 5665 CIBC Global Equity Growth Pool Decision ............................................... #23 (June 6) 5665 CIBC Global Monthly Income Fund Decision ............................................... #23 (June 6) 5665 CIBC International Equity Fund Decision ............................................... #23 (June 6) 5665 CIBC International Equity Index Pool Decision ............................................... #23 (June 6) 5665 CIBC International Index Fund Decision ............................................... #23 (June 6) 5665 CIBC Investor Services Inc. Decision ............................................... #31 (Aug. 1) 7719 CIBC Money Market Fund Decision ............................................... #23 (June 6) 5665 CIBC Monthly Income Fund Decision ............................................... #23 (June 6) 5665

CIBC Precious Metals Fund Decision ............................................... #23 (June 6) 5665 CIBC Short-Term Income Fund Decision ............................................... #23 (June 6) 5665 CIBC U.S. Broad Market Index Fund Decision ............................................... #23 (June 6) 5665 CIBC U.S. Dollar Money Market Fund Decision ............................................... #23 (June 6) 5665 CIBC U.S. Equity All Cap Growth Pool Decision ............................................... #23 (June 6) 5665 CIBC U.S. Equity Fund Decision ............................................... #23 (June 6) 5665 CIBC U.S. Equity S&P500 Index Pool Decision ............................................... #23 (June 6) 5665 CIBC U.S. Equity Value Pool Decision ............................................... #23 (June 6) 5665 CIBC U.S. Index Fund Decision ............................................... #23 (June 6) 5665 CIBC U.S. Small Companies Fund Decision ............................................... #23 (June 6) 5665 CIBC World Markets Inc. Decision ................................................ #15 (Apr 11) 3867 Decision ................................................. #27 (July 4) 6700 Decision ................................................ #31 (Aug. 1) 7719 CIC Capital Ltd. Order – s. 144(1) ................................ #49 (Dec. 5) 11588 CIC Mining Resources Ltd. Order – s. 144(1) ................................ #49 (Dec. 5) 11588 Ciccone, Vincent Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 19 Order ........................................................ #1 (Jan. 4) 133 Notice from the Office of the Secretary ...................................... #2 (Jan. 10) 561 Order ...................................................... #2 (Jan. 10) 606 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Order .................................................... #15 (Apr 11) 3875 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Order .................................................... #17 (Apr 25) 4446 Notice from the Office of the Secretary ................................. #26 (June 27) 6440 Order. – ss. 127 and 127.1 ................ #26 (June 27) 6466 OSC Reasons .................................. #26 (June 27) 6487


26


Notice from the Office of the Secretary ..................................... #27 (July 4) 6686 Order – ss. 127, 127.1 .......................... #27 (July 4) 6748 Cinram International Limited Partnership Cease Trading Order .......................... #11 (Mar 14) 2617 Cease Trading Order .......................... #12 (Mar 21) 2943 Citadel Income Fund Decision ............................................... #32 (Aug. 8) 7959 Citadel Securities Inc. Name Change ....................................... #7 (Feb 14) 1793 Citco Securities Inc. New Registration ................................ #49 (Dec. 5) 11751 Citibank Canada Investment Funds Limited Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Citigroup Global Markets Canada Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 Citigroup Global Markets Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 ClareGold Trust Decision .............................................. #29 (July 18) 7179 Class A-1 Income Decision ................................................ #9 (Feb 28) 2011 Class B-1 Canadian Equity Decision ................................................ #9 (Feb 28) 2011 Class C-1 U.S. Equity Decision ................................................ #9 (Feb 28) 2011 Class D-1 International Equity Decision ................................................ #9 (Feb 28) 2011 Class E-1 Emerging Markets Equity Decision ................................................ #9 (Feb 28) 2011 Class F-1 Alternative Strategies Decision ................................................ #9 (Feb 28) 2011 Cleanfield Alternative Energy Inc. Cease Trading Order ............................ #19 (May 9) 4815 Clifton Group Investment Management Corporation Voluntary Surrender of Registration ................................... #35 (Aug. 29) 8661

Cluster Asset Management Inc. Consent to Suspension (Pending Surrender) .......................... #25 (June 20) 6383 CMC Markets Canada Inc. Decision ............................................... #41 (Oct. 10) 9742 CMC Markets UK Plc Decision ............................................... #41 (Oct. 10) 9742 CMEG Exchanges Order – s. 147 of the Act and ss. 38, 80 of the CFA .................. #44 (Oct. 31) 10472 Marketplaces ..................................... #44 (Oct. 31) 10588 CML HealthCare Inc. Decision – s. 1(10) ........................... #46 (Nov. 14) 10818 CMP 2013 Resource Limited Partnership Decision ............................................ #47 (Nov. 21) 11223 CMX Gold & Silver Corp. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 CNH Capital Canada Receivables Trust Decision .............................................. #45 (Nov. 7) 10640 CNOOC Limited Decision ............................................. #25 (June 20) 6217 CNSX Markets – Notice 2013-003 – Request for Comments – Passive-only Order Type Marketplaces ..................................... #24 (June 13) 6196 CNSX Markets Inc. – Amendments to CNSX Markets Inc. Order Functionality – Passive-Only Order Type Marketplaces ........................................ #32 (Aug. 8) 8120 CNSX Markets Inc. Marketplaces ..................................... #39 (Sept. 26) 9483 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Varied and Restated Recognition Order – s. 144 ............... #46 (Nov. 14) 10881 Cobriza Metals Corp. Decision – s. 1(10)(a)(ii) ................... #44 (Oct. 31) 10449 Cohen, Bruce Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573



27

Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 .............. #51 (Dec. 19) 12153 Colbert, Phillip Temporary Order – s. 127(8) ................ #7 (Feb 14) 1669 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Temporary Order – s. 127(8) .............. #13 (Mar 28) 3158 Notice from the Office of the Secretary ................................... #22 (May 30) 5493 Temporary Order – s. 128(8) .............. #22 (May 30) 5514 Notice from the Office of the Secretary ................................... #30 (July 25) 7369 Order – s. 127(8) ................................. #30 (July 25) 7413 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Temporary Order – s. 127(8) ............ #39 (Sept. 26) 9357 Colborne Private Wealth Ltd. Consent to Suspension (Pending Surrender) ............................ #31 (Aug. 1) 7891 Colby Cooper Capital Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 25 Order – s. 127 ........................................... #1 (Jan. 4) 149 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3105 Order – s. 127 ..................................... #13 (Mar 28) 3162 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #17 (Apr 25) 4397 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4406 Notice from the Office of the Secretary ..................................... #18 (May 2) 4572 Order – s. 127 ....................................... #18 (May 2) 4601 Order – ss. 37, 127, 127.1 .................... #18 (May 2) 4602 Settlement Agreement .......................... #18 (May 2) 4619 Colby Cooper Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 25 Order – s. 127 ........................................... #1 (Jan. 4) 149 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3105 Order – s. 127 ..................................... #13 (Mar 28) 3162 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #17 (Apr 25) 4397

Notice from the Office of the Secretary .................................... #17 (Apr 25) 4406 Notice from the Office of the Secretary .................................... #18 (May 2) 4572 Order – s. 127 ...................................... #18 (May 2) 4601 Order – ss. 37, 127, 127.1 .................... #18 (May 2) 4602 Settlement Agreement .......................... #18 (May 2) 4619 Collins Barrow Toronto Corporate Finance Inc. New Registration .............................. #50 (Dec. 12) 11971 Collins, John Frederick Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1208 Order – ss. 127, 127.1 ........................... #5 (Jan 31) 1223 Notice from the Office of the Secretary .................................. #21 (May 23) 5288 Order – ss. 127(1) and 127.1 ............. #21 (May 23) 5312 OSC Reasons ................................... #21 (May 23) 5320 Coltstar Ventures Inc Order – s. 144 ................................... #25 (June 20) 6253 Column Canada Issuer Corporation Decision .............................................. #34 (Aug. 22) 8367 Commodity Exchange, Inc. Marketplaces ...................................... #34 (Aug. 22) 8477 Order – s. 147 of the Act and ss. 38, 80 of the CFA .................. #44 (Oct. 31) 10472 Marketplaces ..................................... #44 (Oct. 31) 10588 CommunityLend Inc. Consent to Suspension (Pending Surrender) ......................... #1 (Jan. 4) 481 Voluntary Surrender of Registration ................................... #24 (June 13) 6169 Compagnie de Saint-Gobain Decision ............................................... #12 (Mar 21) 2899 Companion Policy 13-502CP Fees News Release ............................................ #1 (Jan. 4) 16 Companion Policy 13-503CP (Commodity Futures Act) Fees News Release ............................................ #1 (Jan. 4) 16 Companion Policy 21-101CP Marketplace Operation Rules and Policies ............................... #11 (Mar 14) 2619 Companion Policy 23-103CP Electrontic Trading and Direct Electronic Access to Marketplaces Notice .................................................. #36 (Sept. 5) 8681 Rules and Policies ............................... #36 (Sept. 5) 8842 Companion Policy 24-503CP Clearing Agency Requirements News Release .................................. #51 (Dec. 19) 12043 Request for Comments..................... #51 (Dec. 19) 12209


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Companion Policy 31-103CP Registration Requirements, Exemptions and Ongoing Registrant Obligations Rules and Policies .............................. #13 (Mar 28) 3173 Rules and Policies ........................... #51 (Dec. 19) 12173 Companion Policy 41-101CP General Prospectus Requirements News Release ...................................... #10 (Mar. 7) 2248 Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4884 Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ............................... #32 (Aug. 8) 7994 Companion Policy 44-101CP Short Form Prospectus Distributions News Release ...................................... #10 (Mar. 7) 2248 Rules and Policies .............................. #11 (Mar 14) 2619 Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4917 Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ............................... #32 (Aug. 8) 8027 Companion Policy 44-102CP Shelf Distributions News Release ...................................... #10 (Mar. 7) 2248 Rules and Policies .............................. #11 (Mar 14) 2619 Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4927 Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ............................... #32 (Aug. 8) 8033 Companion Policy 44-103CP Post-Receipt Pricing Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ............................... #32 (Aug. 8) 8039 Companion Policy 51-102CP Standards of Disclosure for Oil and Gas Activities Rules and Policies ............................ #42 (Oct. 17) 10091 Companion Policy 52-107CP Acceptable Accounting Principles and Auditing Standards Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4935 Companion Policy 62-105CP Request for Comments ....................... #11 (Mar 14) 2643 Companion Policy 81-101CP Mutual Fund Prospectus Disclosure News Release ...................................... #10 (Mar. 7) 2248 Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4929 Rules and Policies ............................. #24 (June 13) 6001 Notice ................................................... #31 (Aug. 1) 7609 Rules and Policies ............................... #31 (Aug. 1) 7824 News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................ #40 (Oct. 3) 9612 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ........................... #51 (Dec. 19) 12205

Companion Policy 81-102CP Mutual Funds Rules and Policies ............................... #11 (Mar 14) 2619 News Release ..................................... #13 (Mar 28) 3101 Companion Policy 81-106CP Investment Fund Continuous Disclosure News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................. #40 (Oct. 3) 9612 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12197 Companion Policy 91-504CP Derivatives: Product Determinations Request for Comments........................ #23 (June 6) 5737 Companion Policy 91-505CP Trade Repositories Derivatives: Product Determinationss and Derivatives Data Reporting Request for Comments........................ #23 (June 6) 5737 Companion Policy 91-506CP Derivatives: Product Determination News Release ................................... #24 (June 13) 5915 Rules and Policies ............................ #46 (Nov. 14) 11015 Companion Policy 91-507CP Trade Repositories and Derivatives Data Reporting News Release ................................... #24 (June 13) 5915 Rules and Policies ............................ #46 (Nov. 14) 11015 Compta, Joseph Notice of Hearing – ss. 127, 127.1 ................................. #43 (Oct. 24) 10277 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10290 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Order – s. 127 .................................... #45 (Nov. 7) 10678 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12044 Order – s. 127 .................................. #51 (Dec. 19) 12075 Compushare Transfer Corporation Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Connor, Clark & Lunn Capital Class Inc., Balanced Portfolio Class Shares, Series 1 Decision .................................................. #2 (Jan. 10) 581 Connor, Clark & Lunn Capital Class Inc., Natural Resources Class Shares Decision .................................................. #2 (Jan. 10) 581 Connor, Clark & Lunn Capital Markets Inc. Decision .................................................. #2 (Jan. 10) 581 Name Change .................................... #35 (Aug. 29) 8661



29

Connor, Clark & Lunn Funds Inc. Change in Registration Category ....... #25 (June 20) 6383 Connor, Clark & Lunn Investment Management Ltd. Change in Registration Category ........... #5 (Jan 31) 1377 Conseillers Macro Septentrion Inc./Septentrion Macro Advisors Inc. Change in Registration Category ........... #5 (Jan 31) 1377 Consolidated Tanager Limited Cease Trading Order ....................... #46 (Nov. 14) 11013 Cease Trading Order ....................... #47 (Nov. 21) 11249 ConstantIncome Investment Management Inc. Voluntary Surrender ............................ #13 (Mar 28) 3399 Constellation Software Inc. Decision ............................................. #49 (Dec. 5) 11570 Contact Capital Advisory Corp. Consent to Suspension (Pending Surrender) .......................... #26 (June 27) 6623 Voluntary Surrender of Registration ...................................... #31 (Aug. 1) 7891 Conville, Steven George Notice from the Office of the Secretary .................................... #16 (Apr 18) 4191 Order – s. 8(4) of the Act, and Rule 14.7 of the OSC Rules of Procedure .................................. #16 (Apr 18) 4225 Copal Resort Development Group, LLC Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654

Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Cornerstone Asset Management L.P. Decision ............................................... #41 (Oct. 10) 9751 Cornish, Geoffrey News Release ..................................... #13 (Mar 28) 3096 News Release ................................... #39 (Sept. 26) 9299 Corona Minerals Limited Decision .............................................. #34 (Aug. 22) 8343 Order – s. 144 .................................... #34 (Aug. 22) 8375 Corporation Gestion de Placements Claret/Claret Asset Management Corporation Change in Registration Category .......... #10 (Mar 7) 2455 Cortland Credit Group Inc. New Registration ............................... #26 (June 27) 6623 Cougar Global Investments Limited Partnership Registrant ............................................... #2 (Jan. 10) 741 Voluntary Surrender of Registration .................................... #20 (May 16) 5203 Cougar Global Investments Limited Registrant ............................................... #2 (Jan. 10) 741 Counsel Portfolio Services Inc. Decision ............................................... #41 (Oct. 10) 9753 Decision ............................................ #46 (Nov. 14) 10782 Notice of Correction .......................... #47 (Nov. 21) 11199 Decision ............................................ #47 (Nov. 21) 11211 Decision ............................................ #48 (Nov. 28) 11377 Name Change .................................. #48 (Nov. 28) 11513 Counsel Portfolio Services Inc./Services de Portefeuille Counsel Inc. Name Change .................................. #48 (Nov. 28) 11513 Covenant Capital Management Change in Registration Category ......... #4 (Jan. 24) 1185 Coventree Inc. News Release ..................................... #13 (Mar 28) 3096 Cowan Asset Management Limited New Registration ............................... #42 (Oct. 17) 10261 Cowen and Company, LLC Decision ............................................... #29 (July 18) 7165 CPA Securities Inc. Voluntary Surrender .............................. #40 (Oct. 3) 9703 Craig, Brian N. Decision .............................................. #45 (Nov. 7) 10634 Credit Suisse AG Decision ................................................. #27 (July 4) 6718


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Credit Suisse Securities (Canada), Inc. Decision ................................................ #27 (July 4) 6718 Credit Suisse Securities (USA) LLC Decision ................................................ #27 (July 4) 6718 Crenian, Richard Settlement Agreement ........................ #41 (Oct. 10) 9855 Crepax Acquisition Corp. Decision – s. 1(10) .............................. #22 (May 30) 5501 Creststreet Asset Management Limited Suspension (Non-Renewal) .................... #6 (Feb 7) 1581 Voluntary Surrender of Registration ....................................... #27 (July 4) 6891 Crombie Real Estate Investment Trust Decision ............................................. #35 (Aug. 29) 8506 Crown Capital Management Corp SEE Crown Capital Management Corporation Crown Capital Management Corporation Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) .............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice of Hearing – ss. 37, 127, 127.1 ............................... #14 (Apr 4) 3433 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary ..................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) ............................... #18 (May 2) 4611 Notice from the Office of the Secretary ................................... #22 (May 30) 5489 Order ................................................... #22 (May 30) 5505 Notice from the Office of the Secretary .................................. #24 (June 13) 5927 Order .................................................. #24 (June 13) 5953 Notice from the Office of the Secretary .................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8).......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ..................................... #27 (July 4) 6677 Order – Rules 1.4 and 1.5.3(3) of the OSC Rules of Procedure ................. #27 (July 4) 6729 Notice of Corrections .......................... #29 (July 18) 7114 Notice of Hearing – ss. 27, 127 ........... #29 (July 18) 7137 Notice from the Office of the Secretary ................................... #29 (July 18) 7151

Notice from the Office of the Secretary ................................... #30 (July 25) 7368 Order – ss. 37, 127(1) ......................... #30 (July 25) 7411 Settlement Agreement ......................... #30 (July 25) 7486 Notice of Hearing – ss. 37, 127 ............ #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Order – ss. 37, 127(1) ........................ #33 (Aug. 15) 8187 Settlement Agreement ........................ #33 (Aug. 15) 8195 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8689 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ....................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary and Amended Statement of Allegations.................... #39 (Sept. 26) 9306 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – s. 127 ....................................... #40 (Oct. 3) 9572 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 27, 127(1), 127(10) ........... #41 (Oct. 10) 9776 OSC Reasons (Sanctions) .................. #41 (Oct. 10) 9859 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 Order – s. 127(1) ................................ #49 (Dec. 5) 11598 OSC Reasons – s. 127(1) .................. #49 (Dec. 5) 11627 Crown Hill Capital Corporation News Release ..................................... #36 (Sept. 5) 8682 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8685 OSC Reasons ..................................... #36 (Sept. 5) 8721 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10287 Order ................................................. #43 (Oct. 24) 10327 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12047 Order ................................................ #51 (Dec. 19) 12083 Crusader Asset Management Inc. Change in Registration Category ..... #46 (Nov. 14) 11181 CSA 2012 Enforcement Report Notice .................................................... #9 (Feb 28) 1972 News Release ....................................... #9 (Feb 28) 1995 CSA Consultation Paper 25-401 Potential Regulation of Proxy Advisory Firms Notice ................................................ #38 (Sept. 19) 9113 News Release ................................... #38 (Sept. 19) 9118



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CSA Consultation Paper 33-403 – The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients News Release: Roundtables ................. #19 (May 9) 4752 News Release: Panel Session ............ #29 (July 18) 7143 CSA Consultation Paper 54-401 – Review of the Proxy Voting Infrastructure Notice ................................................. #33 (Aug. 15) 8130 News Release .................................... #33 (Aug. 15) 8159 CSA Consultation Paper 91-407 – Derivatives: Registration Notice ................................................... #16 (Apr 18) 4110 News Release ...................................... #17 (Apr 25) 4401 CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees News Release ..................................... #12 (Mar 21) 2876 News Release ..................................... #21 (May 23) 5273 CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts Request for Comments .................... #50 (Dec. 12) 11849 CSA National Systems – New Service Provider News Release ....................................... #18 (May 2) 4570 CSA Notice 25-301 – Update on CSA Consultation Paper 25-401 Potential Regulation of Proxy Advisory Firms Notice ................................................ #38 (Sept. 19) 9113 News Release ................................... #38 (Sept. 19) 9118 CSA Notice 51-340 – Update on Proposed National Instrument 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers Notice .................................................. #30 (July 25) 7356 News Release ..................................... #30 (July 25) 7364 CSA Notice 81-324 and Request for Comments – Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts Request for Comments .................... #50 (Dec. 12) 11849 News Release .................................. #51 (Dec. 19) 12038 CSA Review of IIROC Policies Following Loss of Personal Information News Releases ..................................... #18 (May 2) 4571 CSA Staff Notice 11-321 – Business Continuity Planning – Industry Testing Exercise Notice ...................................................... #6 (Feb 7) 1412

CSA Staff Notice 11-322 – Extension of Consultation Period – Proposed Amendments to MI 62-104 Take-Over Bids and Issuer Bids and NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues – Proposed Changes to NP 62-203 Take-Over Bids and Issuer Bids – Proposed NI 62-105 Security Holder Rights Plans – Proposed Companion Policy 62-105CP Security Holder Rights Plans Notice .................................................. #23 (June 6) 5655 CSA Staff Notice 11-323 – Withdrawal of Notices and Policies Notice ................................................ #37 (Sept. 12) 8942 CSA Staff Notice 11-324 – Extension of Comment Period – Proposed Amendments to National Instrument 81-102 Mutual Funds, Companion Policy 81-102CP Mutual Funds and Related Consequential Amendments and Other Matters Concerning National Instrument 81-104 Commodity Pools and Securities Lending, Repurchases and Reverse Repurchases by Investment Funds Notices .............................................. #26 (June 27) 6424 CSA Staff Notice 11-326 – Cyber Security Notice ................................................ #39 (Sept. 26) 9289 CSA Staff Notice 13-318 – Changes to www.SEDAR.com Notice ..................................................... #14 (Apr 4) 3425 CSA Staff Notice 13-320 Regarding Implementation of Multilateral Instrument 13-102 System Fees for SEDAR and NRD and Related Consequential Amendments to CSA National Systems Rules Notice .................................................. #41 (Oct. 10) 9717 CSA Staff Notice 13-321 – Update on New Service Provider for the Operation of the CSA National Systems and Implementation of Related Consequential Amendments to CSA National Systems Rules Notice ............................................... #47 (Nov. 21) 11197 CSA Staff Notice 21-312 – Update on Consultation Paper 21-401 Real Time Market Data Fees Notice ................................................. #45 (Nov. 7) 10601 CSA Staff Notice 31-332 – Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers Notice ...................................................... #3 (Jan 17) 758 CSA Staff Notice 31-333 –Broker-Dealer Registration in the Exempt Market Dealer Category Notices .................................................... #6 (Feb 7) 1409


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CSA Staff Notice 31-334 – CSA Review of Relationship Disclosure Practices Notice ................................................. #29 (July 18) 7120 News Release ..................................... #29 (July 18) 7147 CSA Staff Notice 31-335 – Extension of Interim Relief for Members of the Investment Industry Regulatory Organization of Canada from the Requirement in section 14.2(1) of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations in Respect of the Provision of Relationship Disclosure Information to Existing Clients Notice .................................................... #40 (Oct. 3) 9503 CSA Staff Notice 33-316 Status Report on Consultation under CSA Consultation Paper 33-403: The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients Notice ............................................... #51 (Dec. 19) 11998 News Release .................................. #51 (Dec. 19) 12041 CSA Staff Notice 43-308 (Revised) – Professional Associations under NI 43-101 Standards of Disclosure for Mineral Projects Notice .................................................... #8 (Feb 21) 1849 CSA Staff Notice 51-339 – Continuous Disclosure Review Program Activities for the fiscal year ended March 31, 2013 Notice .................................................. #30 (July 25) 7358 News Release ..................................... #30 (July 25) 7359 CSA Staff Notice 54-302 – Update on CSA Consultation Paper 54-401 Review of the Proxy Voting Infrastructure Notices ............................................... #45 (Nov. 7) 10598 News Release .................................... #45 (Nov. 7) 10615 CSA Staff Notice 81-323 – Status Report on Consultation under CSA Discussion Paper and Request for Comment 81-407 Mutual Fund Fees Notice ............................................... #51 (Dec. 19) 11989 News Release .................................. #51 (Dec. 19) 12041 CSA Staff Notice 91-303 – Proposed Model Provincial Rule on Mandatory Central Counterparty Clearing of Derivatives Notice ............................................... #51 (Dec. 19) 12015 CSA/IIROC Joint Notice 23-315 – Summary of Comments on CSA/IIROC Joint Notice 23-312 – Request for Comments – Transparency of Short Selling and Failed Trades Notice .................................................... #9 (Feb 28) 1978 CT Real Estate Investment Trust Decision ........................................... #51 (Dec. 19) 12063 Curry, Gregory J. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ....................... #1 (Jan. 4) 89.

Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order .................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ...................... #16 (Apr 18) 4227 Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Order .................................................. #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons – s. 127 ....................... #33 (Aug. 15) 8202 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8494 Order .................................................. #35 (Aug. 29) 8553 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – Rules 3 and 9 of the OSC Rules of Procedure ................... #38 (Sept. 19) 9152 Notice of Hearing – ss. 127, 127.1 ..................................... #40 (Oct. 3) 9509 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Curry, Kolt Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ....................... #1 (Jan. 4) 89 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order .................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ..................................................... #11 (M Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ...................... #16 (Apr 18) 4227 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Order .................................................. #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons – s. 127 ....................... #33 (Aug. 15) 8202 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8494 Order .................................................. #35 (Aug. 29) 8553 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – Rules 3 and 9 of the OSC Rules of Procedure ................... #38 (Sept. 19) 9152 Notice of Hearing – ss. 127, 127.1 ..................................... #40 (Oct. 3) 9509 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529



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CVC Market Point Inc. Voluntary Surrender of Registration ..................................... #29 (July 18) 7325 CWM Funds Inc. Consent to Suspension (Pending Surrender) ................................. #1 (Jan. 4) 481 Voluntary Surrender of Registration ........................................... #1 (Jan. 4) 481 CWM Investment Counsel Inc. Consent to Suspension (Pending Surrender) ................................. #1 (Jan. 4) 481 CX2 Canada ATS – Notice of Completion of Staff Review - CX2 Initial Operations Report Marketplaces .......................................... #5 (Jan 31) 1387 CX2 Canada ATS – Notice of Proposed Changes and Request for Comment Marketplaces ...................................... #25 (June 20) 6388 CX2 Canada ATS Marketplaces ...................................... #35 (Aug. 29) 8664 Da Silva, Abel Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 21 Order – ss. 127(1), 127(10) ....................... #1 (Jan. 4) 138 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ................................ #1 (Jan. 4) 191 News Release ....................................... #4 (Jan. 24) 1029 DeBoer, Doug SEE DeBoer, Douglas DeBoer, Douglas Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order ................................................... #11 (Mar 14) 2592 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #16 (Apr 18) 4214 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary .................................. #24 (June 13) 5930 Order .................................................. #24 (June 13) 5963

Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) ................... #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) ............... #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) ........... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) .......... #46 (Nov. 14) 10867 Decommissioning of NSCC’s OTC Comparison Service Clearing Agencies ................................. #7 (Feb 14) 1797 DeFreitas, Stanton Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 DeLaet, Victor George Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) .. #47 (Nov. 21) 11201 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11208 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11563 Order – ss. 127(1), 127(10) ................ #49 (Dec. 5) 11599 Deloitte & Touche Corporate Finance Canada Inc. Name Change ................................... #25 (June 20) 6383 Delta Uranium Inc. Cease Trading Order ........................ #46 (Nov. 14) 11013 Cease Trading Order ........................ #47 (Nov. 21) 11249 Demchuk, Ryan Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3476 OSC Reasons – s. 127 ........................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 DeRosa, Americo Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9564 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10329 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10779


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Order ................................................ #46 (Nov. 14) 10871 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11784 Order ................................................ #50 (Dec. 12) 11825 Deschamps, Eric Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 .......................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................ #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Desert Eagle Resources Ltd. Cease Trading Order ....................... #46 (Nov. 14) 11013 Cease Trading Order ....................... #47 (Nov. 21) 11249 Desjardins Emerging Markets Bond Fund Decision .............................................. #41 (Oct. 10) 9754 Desjardins Financial Services Firm Inc. Decision ............................................... #17 (Apr 25) 4425 Desjardins Funds Decision ........................................... #46 (Nov. 14) 10783 Desjardins Global Tactical Bond Fund Decision .............................................. #41 (Oct. 10) 9754 Desjardins Investments Inc. Decision ............................................... #15 (Apr 11) 3862 Decision ............................................... #17 (Apr 25) 4425 Decision .............................................. #41 (Oct. 10) 9754 Decision ............................................ #43 (Oct. 24) 10313 Decision ............................................ #43 (Oct. 24) 10318 Decision ........................................... #46 (Nov. 14) 10783

Desjardins Securities Inc. Decision ................................................ #17 (Apr 25) 4425 Decision ................................................. #40 (Oct. 3) 9552 Desrosiers, Rejean Notice of Hearing – ss. 127, 127.1 ...................................... #14 (Apr 4) 3431 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3449 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3453 Order– ss. 127, 127.1 ............................. #14 (Apr 4) 3487 Settlement Agreement ............................ #14 (Apr 4) 3637 Deutsche Bank Securities Inc. Decision ................................................ #17 (Apr 25) 4429 Decision ............................................ #50 (Dec. 12) 11792 Deutsche Bank Securities Limited Decision ................................................ #17 (Apr 25) 4429 Decision ............................................... #28 (July 11) 6957 Decision ............................................ #50 (Dec. 12) 11792 Di Tomasso Group Inc. Change in Registration Category ......... #4 (Jan. 24) 1185 Dia Bras Exploration Inc. Decision ...................................................... #1 (Jan. 4) 30 Diadem Resources Ltd. Order – s. 144 ..................................... #30 (July 25) 7434 Diapason Conservative Portfolio Decision ............................................. #43 (Oct. 24) 10318 Diapason Retirement Portfolio C (Income) Decision ............................................. #43 (Oct. 24) 10318 Diapason Retirement Portfolio D (Balanced Income) Decision ............................................. #43 (Oct. 24) 10318 Diapason Retirement Portfolio E (Balanced Growth) Decision ............................................. #43 (Oct. 24) 10318 Diapason Retirement Portfolio F (Growth) Decision ............................................. #43 (Oct. 24) 10313 Diapason Retirement Portfolio G (High Growth) Decision ............................................. #43 (Oct. 24) 10313 Diaz Resources Ltd. Decision – s. 1(10)(a)(ii) ..................... #33 (Aug. 15) 8173 Dimensional Fund Advisors Canada ULC Change in Registration Category ......... #4 (Jan. 24) 1185 DIR Industrial Properties Inc. Decision .............................................. #34 (Aug. 22) 8356 Dividend 15 Split Corp. Decision ............................................ #48 (Nov. 28) 11355



35

Dixie Energy Holdings (Canada) Ltd. Decision – s. 1(10) .............................. #13 (Mar 28) 3134 Dixon Mitchell Investment Counsel Inc. Registrant................................................ #2 (Jan. 10) 741 Dizun International Enterprises Inc. Cease Trading Order .......................... #11 (Mar 14) 2617 Cease Trading Order .......................... #13 (Mar 28) 3171 Order – s. 144 ...................................... #23 (June 6) 5708 Cease Trading Order ........................... #23 (June 6) 5721 Donald, Paul OSC Reasons – s. 127, 127.1 ................ #6 (Feb 7) 1449 Order – s. 127,127.1 ............................... #6 (Feb 7) 1440 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 News Release ......................................... #6 (Feb 7) 1419 Donszelmann, Rebekah Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1648 Notice of Hearing .................................. #7 (Feb 14) 1636 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2034 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Order – ss. 127(1) and 127(10) .............. #14 (Apr 4) 3480 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ............................. #14 (Apr 4) 3608 Dookhie, Ramadhar Notice of Hearing – ss. 127(1), 127.1 .............................. #12 (Mar 21) 2872 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2879 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2885 Order – Rule 9 of the OSC Rules of Procedure .................... #12 (Mar 21) 2907 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2909 Settlement Agreement ........................ #12 (Mar 21) 2934 Notice from the Office of the Secretary .................................... #23 (June 6) 5661 Order .................................................... #23 (June 6) 5697 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order .................................................. #34 (Aug. 22) 8379 Doulis, Alexander Christ Notice from the Office of the Secretary ................................... #29 (July 18) 7152 Order – s. 127 of the Act and the OSC Rules of Procedure .................... #29 (July 18) 7200 Doulis, Alexander Christos Notice from the Office of the Secretary ................................... #29 (July 18) 7152

Order – s. 127 of the Act and the OSC Rules of Procedure ..................... #29 (July 18) 7200 Dow Chemical Company Order – s. 1(10)(a)(ii) ........................... #30 (July 25) 7424 Drabinsky, Garth H. Notice of Withdrawal ............................. #9 (Feb 28) 1973 Notice of Hearing ................................... #9 (Feb 28) 1984 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2001 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Order ................................................... #13 (Mar 28) 3158 Notice from the Office of the Secretary ................................. #24 (June 13) 5929 Order ................................................. #24 (June 13) 5961 Notice from the Office of the Secretary ................................... #28 (July 11) 6938 Order – ss. 127, 127.1 ......................... #28 (July 11) 6960 Dream Unlimited Corp. Decision ............................................. #43 (Oct. 24) 10316 Driscoll, Ryan J. Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1030 Order .................................................... #4 (Jan. 24) 1050 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2574 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11354 Order ................................................ #48 (Nov. 28) 11394 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565 Order .................................................. #49 (Dec. 5) 11603 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11785 Order ................................................ #50 (Dec. 12) 11837 Driver, Gordon Alan Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 Dubinsky, Alena Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Duncan Ross Associates Ltd./Duncan Ross Associes Ltee Change in Registration Category ............ #6 (Feb 7) 1581 Dundas & Wellington Investment Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429


36


Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Dundee Private Investors Inc./ Services Financiers Dundee Inc. Name Change .................................... #45 (Nov. 7) 10755 Dundee Securities Ltd. Change in Registration Category .......... #8 (Feb 21) 1959 Dunk, Michelle Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order ................................................... #11 (Mar 14) 2592 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #16 (Apr 18) 4214 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary .................................. #24 (June 13) 5930 Order .................................................. #24 (June 13) 5963 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) .................. #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) .............. #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) .......... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) ......... #46 (Nov. 14) 10867 Dupont Capital Management Corporation Decision – s. 80 of the CFA ................... #14 (Apr 4) 3477 DUSA Pharmaceuticals, Inc. Order – s. 1(10)(a)(ii) ............................. #5 (Jan 31) 1229 Notice of Correction ................................ #6 (Feb 7) 1411

DWM Securities Inc. Decision ................................................ #31 (Aug. 1) 7714 Decision .............................................. #45 (Nov. 7) 10650 dynaCERT Inc. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order .......................... #20 (May 16) 5120 Cease Trading Order .......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5518 Cease Trading Order ........................... #23 (June 6) 5721 Cease Trading Order ......................... #24 (June 13) 5999 e3m Investments Inc. Decision .............................................. #35 (Aug. 29) 8511 EACOM Timber Corporation Decision – s. 1(10)(a)(ii) ........................ #40 (Oct. 3) 9531 Eaton Vance Management Order – ss. 78(1), 80 of the CFA ......... #11 (Mar 14) 2586 Order – ss. 78(1), 80 of the CFA .......... #19 (May 9) 4800 Echelon Capital Corporation Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Eckstein, Gordon Notice of Withdrawal ............................. #9 (Feb 28) 1973 Notice of Hearing ................................... #9 (Feb 28) 1984 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2001 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Order ................................................... #13 (Mar 28) 3158 Notice from the Office of the Secretary ................................. #24 (June 13) 5929 Order ................................................. #24 (June 13) 5961 Notice from the Office of the Secretary ................................... #28 (July 11) 6938 Order – ss. 127, 127.1 ......................... #28 (July 11) 6960 Economic Investment Trust Limited Order – s. 144 .......................................... #1 (Jan. 4) 158 Ecosse Energy Corp. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 EDCI Holdings, Inc. Cease Trading Order ........................... #11 (Mar 14) 2617 Cease Trading Order ............................. #9 (Feb 28) 2141 Edgecrest Capital Corporation New Registration ............................... #38 (Sept. 19) 9259 Edgehill Partners Decision ................................................ #19 (May 9) 4770 Ekaton Wealth Management Inc. New Registration ................................ #22 (May 30) 5623



37

El-Bouji, Issam Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 773 Notice of Hearing .................................... #3 (Jan. 17) 762 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1210 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2262 Order – s. 127 ....................................... #10 (Mar 7) 2307 Notice from the Office of the Secretary ................................... #22 (May 30) 5489 Order ................................................... #22 (May 30) 5506 Notice from the Office of the Secretary .................................... #23 (June 6) 5662 Order .................................................... #23 (June 6) 5699 Notice from the Office of the Secretary .................................. #24 (June 13) 5928 Order .................................................. #24 (June 13) 5961 Notice from the Office of the Secretary .................................. #25 (June 20) 6215 Order .................................................. #25 (June 20) 6247 Notice from the Office of the Secretary ................................... #28 (July 11) 6940 Order – Pre-Hearing Conference – Rule 6.7 of the OSC Rules of Procedure ............................. #28 (July 11) 6965 Elemental Minerals Limited Decision .............................................. #30 (July 25) 7383 Ellington Management Group, L.L.C. Order– s. 80 of the CFA ............................ #1 (Jan. 4) 150 Eloqua, Inc. Decision .............................................. #21 (May 23) 5297 EM Investor Services Inc. and Excel Investment Counsel Inc. Amalgamated Registrant................................................ #2 (Jan. 10) 741 Emerita Gold Corp. Order – s. 1(11)(b) ............................ #39 (Sept. 26) 9334 Emmons, Edward Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9564 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10329 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10779 Order ................................................ #46 (Nov. 14) 10871 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11784 Order ................................................ #50 (Dec. 12) 11825 Empire Consulting Inc. News Release ....................................... #10 (Mar 7) 2256 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2262

Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2310 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1.......................... #10 (Mar 7) 2327 Empire Life Investments Inc. Change in Registration Category ......... #4 (Jan. 24) 1185 Enbridge Income Fund Holdings Inc. Decision ................................................. #9 (Feb 28) 2029 Endeavour Silver Corp. Decision ............................................... #12 (Mar 21) 2889 Enerbrite Technologies Group Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Energy Income Fund Decision ................................................ #32 (Aug. 8) 7959 Energy Syndications Inc. Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3836 Order – Rule 1.5.3 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3885 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3890 Notice of Correction .............................. #19 (May 9) 4746 Notice from the Office of the Secretary .................................. #20 (May 16) 5046 Order – Rules 1.6(2), 4.3(1), 4.5(1), and 4.5(2) of the OSC Rules of Procedure .................... #20 (May 16) 5091 Notice from the Office of the Secretary ................................. #26 (June 27) 6441 Order– ss. 127 and 127.1 .................. #26 (June 27) 6476 OSC Reasons .................................. #26 (June 27) 6500 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Order – ss. 127, 127.1 .......................... #31 (Aug. 1) 7759 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Order – ss. 127, 127.1 ........................ #35 (Aug. 29) 8529 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ....................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Order – ss. 127, 127.1 ........................ #49 (Dec. 5) 11595 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #49 (Dec. 5) 11613 Enhancements to the CNS Mandatory Allotment and Conversion Process Clearing Agencies ................................. #7 (Feb 14) 1795


38


Ensemble Travel, Inc. Decision ................................................. #5 (Jan 31) 1211 Ensign Corporate Communications Inc. Notice of Hearing – ss. 127, 127.1 ................................ #43 (Oct. 24) 10277 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10290 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Order – s. 127 .................................... #45 (Nov. 7) 10678 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12044 Order – s. 127 .................................. #51 (Dec. 19) 12075 Epoch Investment Partners, Inc. Decision ............................................ #43 (Oct. 24) 10300 Equilend Canada Corp. Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Equilife Investment Management Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Equinox Investment Management Ltd. New Registration ............................... #41 (Oct. 10) 10003 EquityStar Momentum Growth Fund News Release ..................................... #28 (July 11) 6937 Ernst & Young LLP Notice from the Office of the Secretary ....................................... #2 (Jan. 10) 562 Order – ss. 127, 127.1 ............................ #2 (Jan. 10) 615 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2552 Order – ss. 127, 127.1 ........................ #11 (Mar 14) 2580 Notice of Hearing – ss. 127, 127.1 ................................. #26 (June 27) 6431 Notice from the Office of the Secretary .................................. #26 (June 27) 6442 Notice from the Office of the Secretary ................................... #28 (July 11) 6938 Order – ss. 127, 127.1 ........................ #28 (July 11) 6960 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – ss. 127, 127.1 ........................ #30 (July 25) 7406 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9305 Order ................................................. #39 (Sept. 26) 9339 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 127, 127.1 ........................ #41 (Oct. 10) 9775 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10618 Order .................................................. #45 (Nov. 7) 10674

Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12044 Order – ss. 127, 127.1 ...................... #51 (Dec. 19) 12075 Eshun, Ingram Jeffrey Notice of Hearing – ss. 127(1), 127(10). #9 (Feb 28) 1990 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2553 Order – Rules 9, 10 and 11 of the OSC Rules of Procedure ........... #11 (Mar 14) 2583 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3833 Order – Rule 9.2 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3882 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – Rules 11.4 and 11.5 of t he OSC Rules of Procedure ................. #16 (Apr 18) 4230 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Order – ss. 127(1) and (10) ................. #18 (May 2) 4616 OSC Reasons – ss. 127(1) and (10) .... #18 (May 2) 4639 Espanola Mall Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Esperanza Resources Corp. Decision ............................................. #42 (Oct. 17) 10048 Ethical Balanced Fund Decision ................................................. #7 (Feb 14) 1656 Ewing Morris & Co. Investment Partners Ltd. Approval – s. 213(3)(b) of the LTCA ...................................... #51 (Dec. 19) 12413 Excel Investment Counsel Inc. Registrant ............................................... #2 (Jan. 10) 741 Executive Asset Management Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) ............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) .............................. #18 (May 2) 4611 Notice from the Office of the Secretary ................................. #24 (June 13) 5927



39

Order .................................................. #24 (June 13) 5953 Notice from the Office of the Secretary .................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8).......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Exemplar Canadian Focus Portfolio Decision ........................................... #50 (Dec. 12) 11787 Exemplar Diversified Portfolio Decision ........................................... #50 (Dec. 12) 11787 Exemplar Global Agriculture Fund Decision ........................................... #50 (Dec. 12) 11787 Exemplar Global Infrastructure Fund Decision ........................................... #50 (Dec. 12) 11787 Exemplar Leaders Fund Decision ........................................... #50 (Dec. 12) 11787 Exemplar Timber Fund Decision ........................................... #50 (Dec. 12) 11787 Exemplar Yield Fund Decision ........................................... #50 (Dec. 12) 11787 Exempt Market Review Notice ...................................................... #2 (Jan. 10) 560 Notice ...................................................... #3 (Jan. 17) 757 News Release .................................... #49 (Dec. 5) 11556 FABCP Settlement Funds News Release ..................................... #13 (Mar 28) 3097 FactorCorp Financial Inc. Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2052 OSC Reasons – s. 127 ......................... #9 (Feb 28) 2059 News Release ....................................... #10 (Mar 7) 2250 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4407 Order .................................................... #17 (Apr 25) 4451 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – ss. 127, 127.1 .......................... #40 (Oct. 3) 9575 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ........................ #40 (Oct. 3) 9582 FactorCorp Inc. Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2052 OSC Reasons – s. 127 ......................... #9 (Feb 28) 2059 News Release ....................................... #10 (Mar 7) 2250 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4407

Order .................................................... #17 (Apr 25) 4451 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – ss. 127, 127.1 ........................... #40 (Oct. 3) 9575 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ......................... #40 (Oct. 3) 9582 Fagundes, Fernando Honorate Notice of Hearing and Statement of Allegations– ss. 127(1), 127(10) ...... #13 (Mar 28) 3075 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3106 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Order – Rules 1.5.3 and 11 of the OSC Rules of Procedure ............ #15 (Apr 11) 3896 OSC Reasons (Motion to Waive Service) ..................................... #15 (Apr 11) 3925 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4404 Order – Rule 1.5.3 of the OSC Rules of Procedure ...................... #17 (Apr 25) 4445 Notice from the Office of the Secretary ................................... #23 (June 6) 5663 Order – ss. 127(1), 127(10) ................. #23 (June 6) 5706 OSC Reasons – ss. 127(1), 127(10) ... #23 (June 6) 5713 Fairbank Investment Management Limited Change of Registration Category ......... #16 (Apr 18) 4375 Faircourt Asset Management Inc. Decision ............................................. #42 (Oct. 17) 10046 Faircourt Gold Income Corp. Decision ............................................. #42 (Oct. 17) 10046 Fairlane Asset Management Limited Change in Registration Category ....... #22 (May 30) 5623 Name Change ..................................... #23 (June 6) 5879 FairWest Energy Corporation Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Falcon Gold Corp. Consent – s. 4(b) of the Regulation ...... #16 (Apr 18) 4383 FAM Real Estate Investment Trust Decision ................................................ #15 (Apr 11) 3851 Decision ............................................. #44 (Oct. 31) 10446 Decision .............................................. #45 (Nov. 7) 10621 Family Investment Planning Inc. Suspension (Section 29(1) of the Securities Act) ............................... #6 (Feb 7) 1581 Voluntary Surrender of Registration ..................................... #23 (June 6) 5879 Fast Track Capital Inc. OSC Decision–Suspension of Registration – s. 28 ............................. #6 (Feb 7) 1461


40


FCPF Corporation Name Change ..................................... #11 (Mar 14) 2845 Settlement Agreement ........................ #41 (Oct. 10) 9855 Feder, Elliot Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8)..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary ..................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 .............. #51 (Dec. 19) 12153 Federal Way Asset Management LP Change of Registration Category ......... #15 (Apr 11) 4091 Federated Purchaser, Inc. Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 ............................. #39 (Sept. 26) 9361 FFI First Fruit Investments Inc. Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111

Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ............................ #14 (Apr 4) 3643 Settlement Agreement ............................ #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Fidelity Financial Group Notice of Hearing .................................. #4 (Jan. 24) 1028 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1031 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1036 Notice of Withdrawal ............................. #5 (Jan 31) 1205 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1205 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1206 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1207 Order – s. 127 ....................................... #5 (Jan 31) 1218 Order ........................................... #5 (Jan 31) 1220, 1221 Settlement Agreement ........................... #5 (Jan 31) 1231 Settlement Agreement ........................... #5 (Jan 31) 1237 Fidelity Investments Canada ULC Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Decision ............................................. #26 (June 27) 6451 Fiera Capital Corporation Decision .............................................. #33 (Aug. 15) 8181 Decision ............................................. #37 (Sept. 12) 8962 Fiera Diversified Strategy Fund Decision ............................................. #37 (Sept. 12) 8962 Fiera Quantum Income Opportunities Fund Decision ............................................ #47 (Nov. 21) 11233 Fiera Quantum Limited Partnership Decision ............................................ #47 (Nov. 21) 11233 Decision .............................................. #49 (Dec. 5) 11568 Fiera Tactical Bond Yield Fund Decision .............................................. #33 (Aug. 15) 8181 Financière des Professionnels - Fonds D'investissement Inc. / Professionals' Financial - Mutual Funds Inc. New Registration .................................... #14 (Apr 4) 3801



41

Finkelstein, Mitchell Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1033 Order – Rule 6 of the OSC Rules of Procedure ...................... #4 (Jan. 24) 1058 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3832 Order – Rule 9 of the OSC Rules of Procedure ..................... #15 (Apr 11) 3880 Notice from the Office of the Secretary ................................... #29 (July 18) 7153 Order – Rules 3, 9 and 6 of the OSC Rules of Procedure .................... #29 (July 18) 7201 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7818 Order – Rule 3 of the OSC Rules of Procedure ..................... #31 (Aug. 1) 7760 Order – Rules 1.6(2), 3, 6 and 9 of the OSC Rules of Procedure ............ #31 (Aug. 1) 7766 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Order ................................................ #48 (Nov. 28) 11379 Fiorillo, Henry Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ...................... #39 (Sept. 26) 9341 Settlement Agreement ...................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations ....................... #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 Fiorini, Giuseppe (Joseph) Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889

Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................. #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ....................... #39 (Sept. 26) 9341 Settlement Agreement ....................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations........................ #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 Firestar Capital Management Corp. Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1032 Temporary Order – ss. 127(1), 127(7), 127(8) .............. #4 (Jan. 24) 1051rp. Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), 127(7), 127(8) ......... #9 (Feb 28) 2052 Notice of Withdrawal ........................... #11 (Mar 14) 2543 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2575 Firestar Investment Management Group Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1032 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #4 (Jan. 24) 1051 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), 127(7), 127(8) ......... #9 (Feb 28) 2052 Notice of Withdrawal ........................... #11 (Mar 14) 2543 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2575 Firm Capital Securities Corp. New Business Registration .................... #27 (July 4) 6891 First Asset Investment Management Inc. Decision ................................................ #31 (Aug. 1) 7681 First Canadian Capital Markets Ltd. Consent to Suspension ..................... #37 (Sept. 12) 9081 First Choice Products Inc. Cease Trading Order ............................. #9 (Feb 28) 2141 First Choice Products Cease Trading Order ............................. #7 (Feb 14) 1693


42


First Financial Securities Inc. Suspension (Section 29(1) of the Securities Act) ............................... #6 (Feb 7) 1581 First National AlarmCap Income Fund Decision – s. 1(10)(a)(ii) ................... #46 (Nov. 14) 10833 First National Entertainment Corporation Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 ............................. #39 (Sept. 26) 9361 First Quadrant, L.P. Order – s. 80 of the CFA ..................... #41 (Oct. 10) 9778 First Quantum Minerals Ltd. Notice of Hearing– s. 127 ..................... #8 (Feb 21) 1852 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1998 First Trust AlphaDEX™ Canadian Dividend Plus ETF Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions .............. #19 (May 9) 4796 First Trust AlphaDEX™ Emerging Market Dividend ETF (CAD-Hedged) Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions .............. #19 (May 9) 4796 First Trust AlphaDEX™ Global Energy Income Plus ETF (CAD-Hedged) Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions ............................................. #19 (May 9) 4796 First Trust AlphaDEX™ U.S. Dividend Plus ETF (CAD-Hedged) Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions .............. #19 (May 9) 4796 First Trust Canadian Capital Strength Portfolio Decision ................................................ #10 (Mar 7) 2278 Decision ........................................... #48 (Nov. 28) 11360 First Trust Canadian Quantitative Equity Portfolio Decision ................................................ #10 (Mar 7) 2278 First Trust Senior Loan ETF (CAD-Hedged) Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions .............. #19 (May 9) 4796

Fleet Leasing Receivables Trust Decision – s. 1(10) .............................. #13 (Mar 28) 3139 Forex Capital Markets, LLC Order – s. 74(1) .................................... #19 (May 9) 4747 Form 31-103F1 Calculation of Excess Working Capital Rules and Policies ............................... #11 (Mar 14) 2619 Form 33-109F6 Firm Registration Rules and Policies ............................... #11 (Mar 14) 2619 Form 41-101F2 Information Required in an Investment Fund Prospectus Notice ................................................... #19 (May 9) 4745 Rules and Policies ................................ #19 (May 9) 4817 News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................. #40 (Oct. 3) 9612 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12203 Form 41-101F3 Information Required in a Scholarship Plan Prospectus Notice ................................................... #19 (May 9) 4745 Rules and Policies ................................ #19 (May 9) 4817 Form 44-101F1 Short Form Prospectus Rules and Policies ............................... #11 (Mar 14) 2619 Form 81-101F3 Contents of Fund Facts Document Rules and Policies ............................. #24 (June 13) 6001 Notice ................................................... #31 (Aug. 1) 7609 Rules and Policies ................................ #31 (Aug. 1) 7813 Form 81-106F1 Contents of Annual and Interim Management Report of Fund Performance News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................. #40 (Oct. 3) 9612 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12189 Formula Growth Limited/Formula Growth, Societe Limitee Change in Registration Category .......... #8 (Feb 21) 1959 Forterra Environmental Corp. Cease Trading Order ......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5517 Fortress Energy Inc. Decision ................................................. #10 (Mar 7) 2267 Fov re Investments Inc. Consent to Suspension (Pending Surrender) ............................ #28 (July 11) 7095 Fox-Davies Capital Inc. Consent to Suspension (Pending Surrender) .......................... #26 (June 27) 6623 Foxpoint Capital Corp. Decision ............................................... #13 (Mar 28) 3149



43

FQM (Akubra) Inc. Notice of Hearing– s. 127 ..................... #8 (Feb 21) 1852 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1998 Decision ............................................ #39 (Sept. 26) 9315 Franchise Services of North America Inc. Decision ...................................................... #1 (Jan. 4) 72 Franklin Advisers, Inc. Order – s. 80 of the CFA ....................... #19 (May 9) 4781 Franklin Bissett Canadian Equity Corporate Class Decision ............................................. #35 (Aug. 29) 8521 Franklin Bissett Canadian Equity Fund Decision ............................................. #35 (Aug. 29) 8521 Franklin Mutual Advisers, LLC Order – s. 80 of the CFA ....................... #19 (May 9) 4781 Franklin Quotential Balanced Income Corporate Class Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Balanced Income Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Canadian Growth Corporate Class Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Canadian Growth Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Global Balanced Corporate Class Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Global Balanced Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Global Growth Corporate Class Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Global Growth Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Maximum Growth Corporate Class Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Quotential Maximum Growth Portfolio Decision ............................................. #35 (Aug. 29) 8521 Franklin Templeton Institutional, LLC Order – s. 80 of the CFA ....................... #19 (May 9) 4781

Franklin Templeton Investments Corp. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ... #12 (Mar 21) 2913 Decision ............................................. #26 (June 27) 6459 Decision .............................................. #35 (Aug. 29) 8521 Fraser Mackenzie Limited Voluntary Surrender ........................... #49 (Dec. 5) 11751 Fraud Prevention Month News Release ....................................... #10 (Mar 7) 2257 Frayssignes, Caroline Myriam Notice from the Office of the Secretary .................................... #18 (May 2) 4581 Order– ss. 37, 127, 127.1 ..................... #18 (May 2) 4618 OSC Reasons –s. 127 .......................... #18 (May 2) 4628 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 Order ..................................................... #27 (July 4) 6727 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Decision and Order – ss. 37, 127, 127.1 ............................. #31 (Aug. 1) 7624 Freeport Capital Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Order – s. 144 ..................................... #29 (July 18) 7197 Cease Trading Order ........................... #29 (July 18) 7215 Frey, Rodger Order – ss. 127(1), 127.1 ....................... #3 (Jan. 17) 818 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2886 Order – ss. 127(1), 127.1 .................... #12 (Mar 21) 2912 Notice from the Office of the Secretary ................................... #29 (July 18) 7151 Order – ss. 127(1), 127.1 .................... #29 (July 18) 7195 Frigate Ventures LP Change in Registration Category ....... #29 (July 18) 7325 Front Street Global Balanced Income Class Exemptions ....................................... #51 (Dec. 19) 12411 Front Street Tactical Bond Class Exemptions ....................................... #51 (Dec. 19) 12411 Frontfour Capital Corp. New Registration .................................... #3 (Jan. 17) 961 Change in Registration Category .......... #5 (Jan 31) 1377 Change in Registration Category ....... #22 (May 30) 5623 Frontiers Global Bond Pool Decision .............................................. #35 (Aug. 29) 8502


44


Frontline Technologies Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 FT Portfolios Canada Co. Decision ................................................ #10 (Mar 7) 2278 Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Decision .............................................. #20 (May 16) 5054 Decision ............................................... #31 (Aug. 1) 7672 Decision ........................................... #48 (Nov. 28) 11360 Futura Loyalty Group Inc. Decision – s. 1(10)(a)(ii) ........................ #10 (Mar 7) 2282 FXCM Capital Markets, Limited Order – s. 74(1) ..................................... #19 (May 9) 4747 FXCM Securities Limited Order – s. 74(1) ..................................... #19 (May 9) 4747 Galahad Metals Inc. Cease Trading Order ............................ #19 (May 9) 4815 Order– s. 144 ..................................... #45 (Nov. 7) 10672 Cease Trading Order ......................... #45 (Nov. 7) 10693 Gale, Sandra Notice of Withdrawal ............................. #10 (Mar 7) 2246 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2266 Notice from the Office of the Secretary and Amended Statement of Allegation ....................... #12 (Mar 21) 2881 Galibier Capital Management Ltd. Approval – s. 213(3)(b) of the LTCA ............................................. #2 (Jan. 10) 746 Galileo Global Equity Advisors Inc. Decision .............................................. #12 (Mar 21) 2894 Galileo Global Opportunities Fund Decision .............................................. #12 (Mar 21) 2894 Galileo High Income Plus Fund Decision .............................................. #12 (Mar 21) 2894 Galvanic Applied Sciences Inc. Decision .............................................. #41 (Oct. 10) 9768 Galway Gold Inc. Order ..................................................... #9 (Feb 28) 2047 Galway Metals Inc. Order – s. 1(11)(b) ................................ #10 (Mar 7) 2308 GAR Limited Order – s. 144 ................................... #39 (Sept. 26) 9336 Cease Trading Order ........................ #39 (Sept. 26) 9397

Gateway Center General Partner Inc., Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Gateway Retail Center Limited Partnership Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Gauthier, Normand Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 21 Order – s. 127 .......................................... #1 (Jan. 4) 137 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order – s. 127 ..................................... #11 (Mar 14) 2598 Notice from the Office of the Secretary .................................. #22 (May 30) 5488 Order –Rule 1.7.4 of the Rules of Procedure ............................. #22 (May 30) 5504 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8491 Order – s. 127 .................................... #35 (Aug. 29) 8530 Order – s. 127 .................................... #35 (Aug. 29) 8540 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9121 Order – s. 127 ................................... #38 (Sept. 19) 9150 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #41 (Oct. 10) 9722 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9729 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10025 Order– ss. 127, 127.1 ........................ #42 (Oct. 17) 10061 Order –s. 127 .................................... #42 (Oct. 17) 10065 Settlement Agreement ....................... #42 (Oct. 17) 10077 Gaz Métro inc. Decision ................................................ #15 (Apr 11) 3855 Gbalajobi, Adewale Settlement Agreement .......................... #32 (Aug. 8) 7971 GCIC Ltd. Decision .................................................. #6 (Feb 7) 1432. Decision ............................................. #42 (Oct. 17) 10050 Decision ............................................. #43 (Oct. 24) 10293 Voluntary Surrender ........................... #45 (Nov. 7) 10755



45

GE Asset Management Canada Company Change in Registration Category ............ #6 (Feb 7) 1581 General Donlee Canada Inc. Decision ........................................... #48 (Nov. 28) 11375 Genesis Worldwide Inc. Cease Trading Order ......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5517 GenFund Management Inc. Name Change ....................................... #19 (May 9) 5023 Gentree Asset Management Inc., Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 21 Order – s. 127 ........................................... #1 (Jan. 4) 137 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order – s. 127 ..................................... #11 (Mar 14) 2598 Notice from the Office of the Secretary ................................... #22 (May 30) 5488 Order –Rule 1.7.4 of the Rules of Procedure ............................. #22 (May 30) 5504 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8491 Order – s. 127 .................................... #35 (Aug. 29) 8530 Order – s. 127 .................................... #35 (Aug. 29) 8540 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9121 Order – s. 127 ................................... #38 (Sept. 19) 9150 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #41 (Oct. 10) 9722 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9729 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10025 Order– ss. 127, 127.1 ....................... #42 (Oct. 17) 10061 Order –s. 127 .................................... #42 (Oct. 17) 10065 Settlement Agreement ...................... #42 (Oct. 17) 10077 Genuity Fund Management Inc. Name Change ....................................... #19 (May 9) 5023 Genworth MI Canada Inc. Decision .............................................. #20 (May 16) 5084 GeoGlobal Resources Inc. Cease Trading Order ........................... #17 (Apr 25) 4463 Cease Trading Order ............................ #19 (May 9) 4815 GeoVenCap Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 German, Timothy Notice of Hearing – ss. 127, 127.1 ................................ #43 (Oct. 24) 10277

Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10290 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Order – s. 127 .................................... #45 (Nov. 7) 10678 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12044 Order – s. 127 .................................. #51 (Dec. 19) 12075 Geron Corporation Decision ............................................. #42 (Oct. 17) 10037 Gestion d'Actifs Lester Inc./Lester Asset Management Inc. Consent to Suspension (Pending Surrender) .............................. #5 (Jan 31) 1377 Gestion de fonds O’Leary, s.e.c. / O'Leary Funds Management LP New Registration ............................... #43 (Oct. 24) 10399 Gestion de Placements Innocap Inc./Innocap Investment Management Inc. Change in Registration Category ......... #4 (Jan. 24) 1185 Gestion de portefeuille Landry Inc. Change in Registration Category ............ #6 (Feb 7) 1581 Gestion Placements Desjardins Inc./Desjardins Investment Management Inc. Change in Registration Category .......... #10 (Mar 7) 2455 GFI Swaps Exchange LLC Order – s. 147 .................................... #41 (Oct. 10) 9814 GHS Securities Canada Ltd. New Registration .................................... #14 (Apr 4) 3801 Giangrosso, Bernardo Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 806 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 773 Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 811 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #20 (May 16) 5099 News Release .................................. #50 (Dec. 12) 11778 Gilead YM ULC Decision – s. 1(10) ............................... #15 (Apr 11) 3854 Gillani, Nazim Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1030 Order .................................................... #4 (Jan. 24) 1050 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2574 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11354 Order ................................................ #48 (Nov. 28) 11394 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565


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Order .................................................. #49 (Dec. 5) 11603 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11785 Order ................................................ #50 (Dec. 12) 11837 Gilliland, Frederick John Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3449 Order – ss. 127(1), 127(10) .................... #14 (Apr 4) 3478 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ............................. #14 (Apr 4) 3600 Gitzel, Stanley Kenneth Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) ............................................ #47 (Nov. 21) 11201 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11208 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11563 Order – ss. 127(1), 127(10) ................ #49 (Dec. 5) 11599 Gladstone Pacific Nickel Ltd. Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ............................ #27 (July 4) 6769 Glencore International PLC Decision .............................................. #13 (Mar 28) 3114 Glendale Growth & Trust News Release .................................. #50 (Dec. 12) 11776 GLG EM Income Fund Decision ............................................. #25 (June 20) 6220 Decision ............................................. #33 (Aug. 15) 8165 GLG Life Tech Corporation Order – s. 144 ....................................... #27 (July 4) 6745 Cease Trading Order ............................ #27 (July 4) 6769 Global Alpha Capital Management Ltd. Change in Registration Category ...... #38 (Sept. 19) 9259 Global Capital Group Notice of Hearing – ss. 37, 127, 127.1 ............................... #14 (Apr 4) 3433 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary ................................... #22 (May 30) 5489 Order ................................................... #22 (May 30) 5505 Notice from the Office of the Secretary ..................................... #27 (July 4) 6677 Order – Rules 1.4 and 1.5.3(3) of the OSC Rules of Procedure ................. #27 (July 4) 6729 Notice of Correction ............................ #29 (July 18) 7114 Notice of Hearing – ss. 27, 127 ........... #29 (July 18) 7137 Notice from the Office of the Secretary ................................... #29 (July 18) 7151

Notice from the Office of the Secretary ................................... #30 (July 25) 7368 Order – ss. 37, 127(1) ......................... #30 (July 25) 7411 Settlement Agreement ......................... #30 (July 25) 7486 Notice of Hearing – ss. 37, 127 ............ #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Order – ss. 37, 127(1) ........................ #33 (Aug. 15) 8187 Settlement Agreement ........................ #33 (Aug. 15) 8195 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8689 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ....................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary and Amended Statement of Allegations.................... #39 (Sept. 26) 9306 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – s. 127 ....................................... #40 (Oct. 3) 9572 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 27, 127(1), 127(10) ........... #41 (Oct. 10) 9776 OSC Reasons (Sanctions) .................. #41 (Oct. 10) 9859 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 Order – s. 127(1) ................................ #49 (Dec. 5) 11598 OSC Reasons – s. 127(1) .................. #49 (Dec. 5) 11627 Global Champions Split Corp. Decision ................................................. #9 (Feb 28) 2013 Global Consulting and Financial Services Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) ............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice of Hearing – ss. 37, 127, 127.1 ................................ #14 (Apr 4) 3433 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) .............................. #18 (May 2) 4611 Notice from the Office of the Secretary .................................. #22 (May 30) 5489 Order .................................................. #22 (May 30) 5505 Notice from the Office of the Secretary ................................. #24 (June 13) 5927 Order ................................................. #24 (June 13) 5953 Notice from the Office of the Secretary ................................. #26 (June 27) 6444



47

Temporary Order – ss. 127(1) and 127(8).......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ..................................... #27 (July 4) 6677 Order – Rules 1.4 and 1.5.3(3) of the OSC Rules of Procedure ................. #27 (July 4) 6729 Notice of Correction ............................ #29 (July 18) 7114 Notice of Hearing – ss. 27, 127 ........... #29 (July 18) 7137 Notice from the Office of the Secretary ................................... #29 (July 18) 7151 Notice from the Office of the Secretary ................................... #30 (July 25) 7368 Order – ss. 37, 127(1) ......................... #30 (July 25) 7411 Settlement Agreement ........................ #30 (July 25) 7486 Notice of Hearing – ss. 37, 127 ............ #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Order – ss. 37, 127(1) ........................ #33 (Aug. 15) 8187 Settlement Agreement ....................... #33 (Aug. 15) 8195 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8689 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ...................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary and Amended Statement of Allegations ................... #39 (Sept. 26) 9306 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – s. 127 ....................................... #40 (Oct. 3) 9572 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 27, 127(1), 127(10) ........... #41 (Oct. 10) 9776 OSC Reasons (Sanctions) .................. #41 (Oct. 10) 9859 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 Order – s. 127(1) ................................ #49 (Dec. 5) 11598 OSC Reasons – s. 127(1) .................. #49 (Dec. 5) 11627 Global Dividend Growers Income Fund Decision ............................................... #23 (June 6) 5681 Global Educational Trust Foundation Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 773 Notice of Hearing .................................... #3 (Jan. 17) 762 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1210 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2262 Order – s. 127 ....................................... #10 (Mar 7) 2307 Notice from the Office of the Secretary ................................... #22 (May 30) 5489 Order ................................................... #22 (May 30) 5506

Notice from the Office of the Secretary ................................... #23 (June 6) 5662 Order ................................................... #23 (June 6) 5699 Notice from the Office of the Secretary ................................. #24 (June 13) 5928 Order ................................................. #24 (June 13) 5961 Notice from the Office of the Secretary ................................. #25 (June 20) 6215 Order ................................................. #25 (June 20) 6247 Notice from the Office of the Secretary ................................... #28 (July 11) 6940 Order – Pre-Hearing Conference – Rule 6.7 of the OSC Rules of Procedure .............................. #28 (July 11) 6965 Global Energy Group, Ltd. Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Global Growth Assets Inc. Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 773 Notice of Hearing .................................... #3 (Jan. 17) 762 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1206 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1210 Order – s. 127(1) ................................... #5 (Jan 31) 1219 Order – s. 127 ....................................... #5 (Jan 31) 1228 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1856 Order – s. 127(1) ................................... #8 (Feb 21) 1863 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2262 Order – s. 127 ....................................... #10 (Mar 7) 2307 Notice from the Office of the Secretary .................................. #22 (May 30) 5489 Order .................................................. #22 (May 30) 5506 Notice from the Office of the Secretary ................................... #23 (June 6) 5662


48


Order .................................................... #23 (June 6) 5699 Notice from the Office of the Secretary .................................. #24 (June 13) 5928 Order .................................................. #24 (June 13) 5961 Notice from the Office of the Secretary .................................. #25 (June 20) 6215 Order .................................................. #25 (June 20) 6247 Notice from the Office of the Secretary ................................... #28 (July 11) 6940 Order – Pre-Hearing Conference – Rule 6.7 of the OSC Rules of Procedure ............................. #28 (July 11) 6965 Decision ............................................ #42 (Oct. 17) 10045 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10616 Order – s. 127 .................................... #45 (Nov. 7) 10670 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order – s. 127 .................................. #48 (Nov. 28) 11393 Global Resources Investment Limited Decision ........................................... #50 (Dec. 12) 11812 Global RESP Corporation Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 773 Notice of Hearing .................................... #3 (Jan. 17) 762 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1206 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1210 Order – s. 127(1) .................................... #5 (Jan 31) 1219 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1856 Order – s. 127(1) ................................... #8 (Feb 21) 1863 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2262 Order – s. 127 ....................................... #10 (Mar 7) 2307 Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ... #12 (Mar 21) 2913 Notice from the Office of the Secretary ................................... #22 (May 30) 5489 Order ................................................... #22 (May 30) 5506 Notice from the Office of the Secretary .................................... #23 (June 6) 5662 Order .................................................... #23 (June 6) 5699 Notice from the Office of the Secretary .................................. #24 (June 13) 5928 Order .................................................. #24 (June 13) 5961 Notice from the Office of the Secretary .................................. #25 (June 20) 6215 Order .................................................. #25 (June 20) 6247 Notice from the Office of the Secretary ................................... #28 (July 11) 6940 Order – Pre-Hearing Conference – Rule 6.7 of the OSC Rules of Procedure ............................. #28 (July 11) 6965 Decision ............................................ #42 (Oct. 17) 10045

Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10616 Order – s. 127 .................................... #45 (Nov. 7) 10670 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order – s. 127 .................................. #48 (Nov. 28) 11393 Global Response Group (GRG) Corp. Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) ........................... #13 (Mar 28) 3080 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3107 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4189 Order – s. 127 ...................................... #16 (Apr 18) 4223 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– s. 127 ....................................... #18 (May 2) 4604 Global Summit Real Estate Inc. Decision – s. 1(10)(a)(ii) ........................ #40 (Oct. 3) 9543 Globevest Capital Ltée New Registration .................................. #17 (Apr 25) 4555 GMP Investment Management L.P. Name Change ................................... #24 (June 13) 6169 GMP Securities L.P. Decision ................................................. #27 (July 4) 6700 Gold World Resources Inc. Cease Trading Order ......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5517 Goldbar Resources Inc. Cease Trading Order ............................. #7 (Feb 14) 1693 Cease Trading Order ............................. #8 (Feb 21) 1867 Golden Moor Inc. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order ........................... #23 (June 6) 5721 Goldenwise Capital Management Ltd. New Registration ................................. #12 (Mar 21) 3061 Goldman, Leonard (Lennie) News Release .................................. #50 (Dec. 12) 11776 Goldman, Sachs & Co. Decision ............................................... #28 (July 11) 6941 Goldpoint Resources Corporation Order ....................................................... #6 (Feb 7) 1442 OSC Reasons ......................................... #6 (Feb 7) 1464 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421



49

Gold-Quest International Notice of Withdrawal ............................. #10 (Mar 7) 2246 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2266 Notice from the Office of the Secretary and Amended Statement of Allegation ....................... #12 (Mar 21) 2881 Goodman & Company, Investment Counsel Inc. Name Change ..................................... #22 (May 30) 5623 Decision ........................................... #47 (Nov. 21) 11223 Goodman Investment Counsel Inc. Name Change ..................................... #22 (May 30) 5623 Goodwood Capital Fund Decision ................................................ #10 (Mar 7) 2283 Decision .............................................. #13 (Mar 28) 3140 Goodwood Inc. Decision ................................................ #10 (Mar 7) 2283 Decision .............................................. #13 (Mar 28) 3140 Gornitzki, Jacob Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ...................... #39 (Sept. 26) 9341 Settlement Agreement ...................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations ....................... #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 Gottlieb, Myron I. Notice of Withdrawal ............................. #9 (Feb 28) 1973 Notice of Hearing .................................. #9 (Feb 28) 1984 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2001 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Order ................................................... #13 (Mar 28) 3158 Notice from the Office of the Secretary .................................. #24 (June 13) 5929

Order ................................................. #24 (June 13) 5961 Notice from the Office of the Secretary ................................... #28 (July 11) 6938 Order – ss. 127, 127.1 ......................... #28 (July 11) 6960 Government Strip Bond Trust Order – s. 1(10)(a)(ii) ............................ #17 (Apr 25) 4453 Gracorp Capital Advisors Ltd. New Registration ..................................... #6 (Feb 7) 1581 Granite Europe Limited Partnership Decision ...................................................... #1 (Jan. 4) 62 Granite Real Estate Inc. Decision ...................................................... #1 (Jan. 4) 53 Decision ...................................................... #1 (Jan. 4) 62 Decision .................................................. #2 (Jan. 10) 570 Granite Real Estate Investment Trust Decision ...................................................... #1 (Jan. 4) 53 Granite REIT Holdings Limited Partnership Decision ...................................................... #1 (Jan. 4) 62 Decision ............................................. #42 (Oct. 17) 10029 Granite REIT Inc. Decision ...................................................... #1 (Jan. 4) 53 Great Basin Gold Ltd. Cease Trading Order .......................... #36 (Sept. 5) 8831 Cease Trading Order ......................... #38 (Sept. 19) 9169 Great Lakes Nickel Limited Order – s. 144 ...................................... #31 (Aug. 1) 7769 Cease Trading Order ............................ #31 (Aug. 1) 7811 Great-West Life Assurance Company Decision ................................................. #9 (Feb 28) 2032 Green Syndications Inc. Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3836 Order – Rule 1.5.3 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3885 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3890 Notice of Correction .............................. #19 (May 9) 4746 Notice from the Office of the Secretary .................................. #20 (May 16) 5046 Order – Rules 1.6(2), 4.3(1), 4.5(1), and 4.5(2) of the OSC Rules of Procedure .................... #20 (May 16) 5091 Notice from the Office of the Secretary ................................. #26 (June 27) 6441 Order– ss. 127 and 127.1 .................. #26 (June 27) 6476 OSC Reasons .................................. #26 (June 27) 6500 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Order – ss. 127, 127.1 .......................... #31 (Aug. 1) 7759


50


Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Order – ss. 127, 127.1 ....................... #35 (Aug. 29) 8529 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ...................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Order – ss. 127, 127.1 ....................... #49 (Dec. 5) 11595 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ...................... #49 (Dec. 5) 11613 Greenback Capital Management Inc. New Registration ................................. #12 (Mar 21) 3061 Greenstone Financial Group Notice of Hearing .................................. #4 (Jan. 24) 1028 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1031 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1036 Notice of Withdrawal .............................. #5 (Jan 31) 1205 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1205 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1206 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1207 Order – s. 127 ........................................ #5 (Jan 31) 1218 Order ............................................ #5 (Jan 31) 1220, 1221 Settlement Agreement ........................... #5 (Jan 31) 1231 Settlement Agreement ........................... #5 (Jan 31) 1237 Greenwich Prime Trading Group, LLC New Registration ................................... #10 (Mar 7) 2455 Grewal, Ranjit Temporary Order – s. 127(8) ................ #7 (Feb 14) 1669 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Temporary Order – s. 127(8) .............. #13 (Mar 28) 3158 Notice from the Office of the Secretary ................................... #22 (May 30) 5493 Temporary Order – s. 128(8) .............. #22 (May 30) 5514 Notice from the Office of the Secretary ................................... #30 (July 25) 7369 Order – s. 127(8) ................................. #30 (July 25) 7413 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Temporary Order – s. 127(8) ............ #39 (Sept. 26) 9357 Greystone Managed Investments Inc. Change in Registration Category ........... #5 (Jan 31) 1377 Griffiths Energy International Inc. Decision .............................................. #20 (May 16) 5071

Griffiths, Mark Order – s. 127 ........................................ #3 (Jan. 17) 817 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2033 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – s. 127 ....................................... #10 (Mar 7) 2317 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3109 Order ................................................... #13 (Mar 28) 3166 Notice of Hearing – ss. 127(1), 127.1 of the Act and Rule 12 of the OSC Rules of Procedure ............ #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4186 Order – Rules 1.7.4 and 11 of the OSC Rules of Procedure ............ #16 (Apr 18) 4211 Order .................................................... #16 (Apr 18) 4212 Settlement Agreement .......................... #16 (Apr 18) 4233 Groberman, Herbert Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Gross Securities Corp. New Registration ................................ #35 (Aug. 29) 8661 Grossman, Abraham SEE Grossman, Abraham Herbert



51

Grossman, Abraham Herbert Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 21 Order – ss. 127(1), 127(10) ....................... #1 (Jan. 4) 138 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ................................ #1 (Jan. 4) 191 News Release .................................... #34 (Aug. 22) 8334 Grossman, Allen Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 21 Order – ss. 127(1), 127(10) ....................... #1 (Jan. 4) 138 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ................................ #1 (Jan. 4) 191 Ground Wealth Inc. Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order ................................................... #11 (Mar 14) 2592 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #16 (Apr 18) 4214 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary .................................. #24 (June 13) 5930 Order .................................................. #24 (June 13) 5963 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) .................. #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) .............. #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) .......... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) ......... #46 (Nov. 14) 10867

Growth Works Capital Ltd. Decision ............................................... #13 (Mar 28) 3135 GrowthWorks Commercialization Fund Ltd. Decision ...................................................... #1 (Jan. 4) 42 GrowthWorks Enterprises Ltd. Order – s. 147 ..................................... #30 (July 25) 7408 Change in Registration Category ........ #30 (July 25) 7593 Change in Name ................................. #30 (July 25) 7593 Decision ................................................ #31 (Aug. 1) 7627 Decision ............................................. #39 (Sept. 26) 9325 Consent to Suspension (Pending Surrender) ......................... #46 (Nov. 14) 11181 GrowthWorks WV Management Ltd. Decision ...................................................... #1 (Jan. 4) 42 Gryphon Gold Corporation Cease Trading Order ........................... #30 (July 25) 7515 Cease Trading Order ............................ #32 (Aug. 8) 7975 Guardian Balanced Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Balanced Income Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Canadian Bond Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Canadian Equity Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Canadian Growth Equity Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Canadian Plus Equity Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Canadian Short-Term Investment Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Canadian Small/Mid Cap Equity Fund Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764 Guardian Capital LP Decision ............................................... #41 (Oct. 10) 9760 Decision ............................................... #41 (Oct. 10) 9764


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Guardian Equity Income Fund Decision .............................................. #41 (Oct. 10) 9760 Decision .............................................. #41 (Oct. 10) 9764 Guardian Global Dividend Growth Fund Decision .............................................. #41 (Oct. 10) 9760 Decision .............................................. #41 (Oct. 10) 9764 Guardian Global Equity Fund Decision .............................................. #41 (Oct. 10) 9760 Decision .............................................. #41 (Oct. 10) 9764 Guardian Growth & Income Fund Decision .............................................. #41 (Oct. 10) 9760 Decision .............................................. #41 (Oct. 10) 9764 Guardian High Yield Bond Fund Decision .............................................. #41 (Oct. 10) 9760 Decision .............................................. #41 (Oct. 10) 9764 Guardian International Equity Fund Decision .............................................. #41 (Oct. 10) 9760 Decision .............................................. #41 (Oct. 10) 9764 Guardian U.S. Equity Fund Decision .............................................. #41 (Oct. 10) 9760 Decision .............................................. #41 (Oct. 10) 9764 H&R Finance Trust Decision ............................................ #44 (Oct. 31) 10439 H&R Real Estate Investment Trust Decision ............................................ #44 (Oct. 31) 10439 H. Paulin & Co., Limited Decision – s. 1(10) .............................. #11 (Mar 14) 2562 Halo Resources Ltd. Decision – s. 1(10)(a)(ii) ....................... #31 (Aug. 1) 7739 Hanna-Rogerson, Amy Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order – ss. 127, 127.1 ......................... #17 (Apr 25) 4453 Notice from the Office of the Secretary .................................... #23 (June 6) 5661 Order .................................................... #23 (June 6) 5696 Notice from the Office of the Secretary .................................. #24 (June 13) 5923 Notice from the Office of the Secretary .................................. #26 (June 27) 6444 Order – ss. 127 and 127.1 ................. #26 (June 27) 6480 Notice from the Office of the Secretary and Amended Amended Statement of Allegations ....... #27 (July 4) 6679 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9528 Order – ss. 127, 127.1 .......................... #40 (Oct. 3) 9566 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10024 Order – ss. 127, 127.1 ...................... #42 (Oct. 17) 10059

Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10291 Order – Rule 9.2 of the OSC Rules of Procedure ................... #43 (Oct. 24) 10336 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565 Order – Rule 1.4 of the OSC Rules of Procedure .................... #49 (Dec. 5) 11604 HarMoney Club Inc. Notice of Withdrawal ............................. #10 (Mar 7) 2246 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2266 Harper, Christina Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Harvest Canadian Income & Growth Fund Decision .............................................. #45 (Nov. 7) 10627 Harvest Portfolios Group Inc. Decision .............................................. #45 (Nov. 7) 10627 Hashmani, Imtiaz Notice of Hearing – ss. 127, 127.1 .................................. #49 (Dec. 5) 11551 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11785 Order – ss. 127(1), 127.1 ................. #50 (Dec. 12) 11836 Settlement Agreement ...................... #50 (Dec. 12) 11839 Health and HarMoney Notice of Withdrawal ............................. #10 (Mar 7) 2246 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2266



53

HEIR Home Equity Investment Rewards Inc. Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 .......................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................ #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Henderson, Beryl Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1859 Order ..................................................... #8 (Feb 21) 1865 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2555 Order ................................................... #11 (Mar 14) 2591 Notice from the Office of the Secretary ................................... #20 (May 16) 5048 Order ................................................... #20 (May 16) 5097 Notice from the Office of the Secretary .................................. #25 (June 20) 6216 Order .................................................. #25 (June 20) 6256 Notice of Hearing – s. 127(1) ............ #38 (Sept. 19) 9117 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9121 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9313 Order ................................................. #39 (Sept. 26) 9347 Settlement Agreement ...................... #39 (Sept. 26) 9391 Heritage Education Funds Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 24 Order ......................................................... #1 (Jan. 4) 147 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3105 Order ................................................... #13 (Mar 28) 3161

Notice from the Office of the Secretary .................................... #17 (Apr 25) 4406 Order .................................................... #17 (Apr 25) 4450 Notice from the Office of the Secretary .................................. #22 (May 30) 5491 Order .................................................. #22 (May 30) 5511 Notice from the Office of the Secretary ................................. #25 (June 20) 6216 Order ................................................. #25 (June 20) 6248 Notice from the Office of the Secretary ................................... #30 (July 25) 7366 Order ................................................... #30 (July 25) 7403 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9120 Order ................................................. #38 (Sept. 19) 9144 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10327 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12046 Order ................................................ #51 (Dec. 19) 12081 Heritage Management Group Notice of Hearing – ss. 37, 127, 127.1 ............................... #14 (Apr 4) 3439 Notice from the Office of the Secretary ..................................... #14 (Apr 4) 3452 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4407 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary .................................. #22 (May 30) 5488 Order .................................................. #22 (May 30) 5504 Notice of Hearing – ss. 37 and 127 ................................ #26 (June 27) 6430 Notice from the Office of the Secretary ................................. #26 (June 27) 6441 Notice from the Office of the Secretary ................................. #26 (June 27) 6443 Order – ss. 37 and 127(1) ................. #26 (June 27) 6479 OSC Reasons ................................... #26 (June 27) 6512 Hershaw & Associates Investment Counsel Inc. Consent to Suspension (Pending Surrender) ............................... #14 (Apr 4) 3801 Hesperian Capital Management Ltd. Change in Registration Category ......... #4 (Jan. 24) 1185 Hewitt, Christine Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7617 Order – ss. 127, 127.1 .......................... #31 (Aug. 1) 7764 OSC Reasons (Reasons and Decision) – s. 127 ................................. #31 (Aug. 1) 7775 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8688 Order – ss. 127, 127.1 ......................... #36 (Sept. 5) 8715 Hexavest Inc. Change in Registration Category .......... #5 (Jan 31) 1377


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High River Gold Mines Ltd. Order ...................................................... #14 (Apr 4) 3475 Hillsdale Investment Management Inc. Decision ........................................... #51 (Dec. 19) 12068 Ho, George Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1036 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1037 Order ..................................................... #4 (Jan. 24) 1066 Temporary Order – ss. 127(7), 127(8) .............................. #4 (Jan. 24) 1069 Notice from the Office of the Secretary ................................... #21 (May 23) 5276 Order ................................................... #21 (May 23) 5303 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order ................................................... #30 (July 25) 7423 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8687 Order ................................................... #36 (Sept. 5) 8712 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Order ................................................. #38 (Sept. 19) 9155 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10286 Order ................................................. #43 (Oct. 24) 10324 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order ................................................ #48 (Nov. 28) 11390 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11822 Holland Global Capital Corporation Decision – s. 1(10) ............................ #43 (Oct. 24) 10311 Order – s. 1(6) of the OBCA .............. #44 (Oct. 31) 10452 Hollinger Inc. Notice of Withdrawal ........................... #29 (July 18) 7119 Notice from the Office of the Secretary ................................... #29 (July 18) 7154 HollisWealth Advisory Services Inc. / Services Financiers Patrimoine Hollis Inc. Name Change .................................... #45 (Nov. 7) 10755 HollyFrontier Corporation Decision ...................................................... #1 (Jan. 4) 27 Homeland Energy Group Ltd. Cease Trading Order ........................... #15 (Apr 11) 3927 Cease Trading Order ........................... #17 (Apr 25) 4463 HOMEQ Corporation Decision ................................................. #14 (Apr 4) 3470 Order – s. 1(6) of the OBCA ................. #15 (Apr 11) 3879 Horizons BetaPro ETFS III Exemption ........................................ #51 (Dec. 19) 12412

Horizons BetaPro MSCI Japan Bear Plus ETF Exemption ........................................ #51 (Dec. 19) 12412 Horizons BetaPro MSCI Japan Bull Plus ETF Exemption ........................................ #51 (Dec. 19) 12412 Horizons ETFS Management (Canada) Inc. Amalgamation ...................................... #15 (Apr 11) 4091 Decision ................................................ #31 (Aug. 1) 7645 Exemption ........................................ #51 (Dec. 19) 12412 Horizons Exchange Traded Funds Inc. Amalgamation ...................................... #15 (Apr 11) 4091 Horizons Seasonal Rotation ETF Decision ................................................. #10 (Mar 7) 2287 Horsley, David Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1036 Order .................................................... #4 (Jan. 24) 1066 Notice from the Office of the Secretary .................................. #21 (May 23) 5276 Order .................................................. #21 (May 23) 5303 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order ................................................... #30 (July 25) 7423 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8687 Order ................................................... #36 (Sept. 5) 8712 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Order ................................................. #38 (Sept. 19) 9155 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10286 Order ................................................. #43 (Oct. 24) 10324 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order ................................................ #48 (Nov. 28) 11390 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11822 Hrynisak, Anna Notice of Hearing – ss. 37, 127, 127.1 ............................... #14 (Apr 4) 3439 Notice from the Office of the Secretary ..................................... #14 (Apr 4) 3452 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4407 Order .................................................... #17 (Apr 25) 4452 Notice from the Office of the Secretary .................................. #22 (May 30) 5488 Order .................................................. #22 (May 30) 5504 Notice of Hearing – ss. 37 and 127 ............................... #26 (June 27) 6430 Notice from the Office of the Secretary ................................. #26 (June 27) 6441 Notice from the Office of the Secretary ................................. #26 (June 27) 6443 Order – ss. 37 and 127(1) ................. #26 (June 27) 6479 OSC Reasons ................................... #26 (June 27) 6512



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HSBC Global Asset Management (Canada) Limited Decision ............................................. #49 (Dec. 5) 11577 HSBC Private Wealth Services (Canada) Inc./Services de Gestion Privee de Patrimoine HSBC (Canada) Inc New Registration .............................. #47 (Nov. 21) 11333 HSBC Securities (Canada) Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 HSBC Securities (USA) Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 Hudson River Minerals Ltd. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order .......................... #20 (May 16) 5119 Order – s. 144 ..................................... #36 (Sept. 5) 8716 Cease Trading Order ......................... #36 (Sept. 5) 8831 Hung, Alfred C.T. Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1036 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1037 Order ..................................................... #4 (Jan. 24) 1066 Temporary Order – ss. 127(7), 127(8) .............................. #4 (Jan. 24) 1069 Notice from the Office of the Secretary ................................... #21 (May 23) 5276 Order ................................................... #21 (May 23) 5303 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order ................................................... #30 (July 25) 7423 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8687 Order ................................................... #36 (Sept. 5) 8712 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Order ................................................. #38 (Sept. 19) 9155 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10286 Order ................................................. #43 (Oct. 24) 10324 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order ................................................ #48 (Nov. 28) 11390 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11822 Huntingdon Capital Corp. Notice of Hearing – s. 127(1) ................ #10 (Mar 7) 2246 Notice of Hearing – s. 127(1) ................ #10 (Mar 7) 2247 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2264 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2265

Notice from the Office of the Secretary ................................... #12 (Mar 21) 2880 Order – s. 127(1) ................................. #12 (Mar 21) 2908 Huron and Suncoast Plaza Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Hutton Investment Counsel Inc. Voluntary Surrender .............................. #8 (Feb 21) 1959 I.G. Investment Management, Ltd. Decision ................................................. #27 (July 4) 6695 Decision .............................................. #20 (May 16) 5065 Decision ............................................. #24 (June 13) 5933 Decision ............................................... #30 (July 25) 7389 I.G. Mackenzie Sentinel Strategic Income Fund Decision ............................................. #24 (June 13) 5933 I3 Advisors Inc. Name Change ........................................ #3 (Jan. 17) 961 IA Clarington Canadian Leaders Class Decision ............................................ #46 (Nov. 14) 10819 IA Clarington Energy Class Decision ............................................ #46 (Nov. 14) 10819 IA Clarington Investments Inc. Decision ................................................. #40 (Oct. 3) 9544 Decision ............................................ #46 (Nov. 14) 10819 Iacono, Santo Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Order – s. 127 ....................................... #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................. #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ....................... #39 (Sept. 26) 9341 Settlement Agreement ....................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations........................ #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780


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Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 Iberian Minerals Corp. plc Decision – s. 1(10) ................................ #10 (Mar 7) 2294 IBS Capital S.E.N.C. Voluntary Surrender of Registration ..................................... #30 (July 25) 7593 ICAP SEF (US) LLC Order – s. 147 .................................... #41 (Oct. 10) 9819 ICE Clear Credit LLC Order – s. 147 ......................................... #2 (Jan. 10) 612 Clearing Agencies ................................... #2 (Jan. 10) 743 Clearing Agencies ............................. #43 (Oct. 24) 10403 ICE SWAP TRADE, LLC Order – s. 147 .................................... #41 (Oct. 10) 9829 ifici Inc. New Business Registration ................ #25 (June 20) 6383 IFM (US) Investment Advisor LLC New Registration ....................................... #1 (Jan. 4) 481 IFM (US) Investment Advisor, LLC Decision .................................................. #3 (Jan. 17) 790 IFM Global Infrastructure (Canada) G.P. Inc. Decision .................................................. #3 (Jan. 17) 790 IFM Global Infrastructure (Canada) L.P. Decision .................................................. #3 (Jan. 17) 790 IG Mackenzie Ivy Foreign Equity Class Decision .............................................. #20 (May 16) 5065 IG Mackenzie Universal Global Growth Class Decision .............................................. #20 (May 16) 5065 iGan Partners Inc. New Business Registration ................ #24 (June 13) 6169 IIROC – Amendments to IFRS version of Form 1 SROs ................................................. #26 (June 27) 6625 IIROC – Notice of Commission Approval – Amendments Respecting Disclosure Requirements for Research Reports SROs ................................................. #35 (Aug. 29) 8663 IIROC – Notice of Commission Approval – Amendments Respecting Third-Party Electronic Access to Marketplaces SROs .................................................... #27 (July 4) 6893

IIROC – OSC Staff Notice of Request for Comment – Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1) SROs ................................................ #50 (Dec. 12) 11973 IIROC – OSC Staff Notice of Request for Comment – Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules SROs ................................................ #46 (Nov. 14) 11183 IIROC – Proposed Continuance under Canada Not-for-Profit Corporations Act SROs ................................................. #44 (Oct. 31) 10587 IIROC – Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces SROs ................................................. #43 (Oct. 24) 10401 IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives SROs ................................................. #24 (June 13) 6171 IIROC Rules Notice 11-0174– Request for Comment – Proposed Plain Proposed Plain Language Rule Sections 2210 and 2211 – Suspension and Termination of a Dealer Member SROs ................................................. #26 (June 27) 6647 IIROC Rules Notice 13-0041– Request for Comment– Amendments to IFRS Version of Form 1 SROs ....................................................... #6 (Feb 7) 1601 IIROC Rules Notice 13-0058 – Request for Comment – Proposed Requirements for Debt Securities Transaction Reporting SROs ..................................................... #10 (Mar 7) 2457 IIROC Order – s. 147 of the Act and s. 80 of the CFA ................................... #15 (Apr 11) 3887 iMarketing Solutions Group Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 IMC – International Marketing of Canada Corp. Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) ..... #13 (Mar 28) 3080 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3107 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4189 Order – s. 127 ...................................... #16 (Apr 18) 4223 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– s. 127 ....................................... #18 (May 2) 4604



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IMG International Inc. Notice from the Office of the Secretary ..................................... #18 (May 2) 4581 Order– ss. 37, 127, 127.1 ..................... #18 (May 2) 4618 OSC Reasons –s. 127 .......................... #18 (May 2) 4628 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 Order ..................................................... #27 (July 4) 6727 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Decision and Order – ss. 37, 127, 127.1 ............................ #31 (Aug. 1) 7624 Imperial Canadian Bond Pool Decision ............................................... #23 (June 6) 5665 Imperial Canadian Diversified Income Pool Decision ............................................... #23 (June 6) 5665 Imperial Canadian Dividend Income Pool Decision ............................................... #23 (June 6) 5665 Imperial Canadian Equity Pool Decision ............................................... #23 (June 6) 5665 Imperial Emerging Economies Pool Decision ............................................... #23 (June 6) 5665 Imperial Global Equity Income Pool Decision ............................................... #23 (June 6) 5665 Imperial High Income Pool Decision ............................................... #23 (June 6) 5665 Imperial International Bond Pool Decision ............................................... #23 (June 6) 5665 Decision ............................................. #35 (Aug. 29) 8502 Imperial International Equity Pool Decision ............................................... #23 (June 6) 5665 Imperial Money Market Pool Decision ............................................... #23 (June 6) 5665 Imperial Overseas Equity Pool Decision ............................................... #23 (June 6) 5665 Imperial Short-Term Bond Pool Decision ............................................... #23 (June 6) 5665 Imperial U.S. Equity Pool Decision ............................................... #23 (June 6) 5665 Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds – Delivery of Fund Facts – Notice of Amendments to NI 81-101 Mutual Fund Prospectus Disclosure, Form 81-101F3 Contents of Fund Facts Document, Companion Policy 81-101CP to National Instrument 81-101 Mutual Fund Prospectus Disclosure and Consequential Amendments Rules and Policies ............................. #24 (June 13) 6001

Incapital Canada ULC Change in Registration Category ...... #38 (Sept. 19) 9259 Income Streams III Corporation Decision ............................................ #48 (Nov. 28) 11355 Incue Financial Inc. Consent to Suspension (Pending Surrender) ............................ #28 (July 11) 7095 Independent Accountants’ Investment Group Inc. Voluntary Surrender .............................. #5 (Jan 31) 1377 Industrial Alliance Capital Trust Decision – s. 1(10)(a)(ii) ..................... #34 (Aug. 22) 8374 Information Services Corporation Order – ss. 4.1(2) and s. 4.2 of Rule 56-501 ....................................... #25 (June 20) 6243 Decision .............................................. #35 (Aug. 29) 8499 INFX SEF Decision – s. 147 ................................ #41 (Oct. 10) 9799 ING Financial Markets LLC Decision ................................................. #27 (July 4) 6700 Inmet Mining Corporation Notice of Hearing– s. 127 ...................... #8 (Feb 21) 1852 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1998 Decision ............................................. #39 (Sept. 26) 9315 Innovative Gifting Inc. Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7617 Order – ss. 127, 127.1 .......................... #31 (Aug. 1) 7764 OSC Reasons (Reasons and Decision) – s. 127 ................................. #31 (Aug. 1) 7775 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8688 Order – ss. 127, 127.1 ......................... #36 (Sept. 5) 8715 Inova Resources Limited Decision ............................................... #36 (Sept. 5) 8691 Decision ............................................. #38 (Sept. 19) 9130 Input Capital Corp. Consent – s. 4(b) of the Regulation ............................... #37 (Sept. 12) 9099 Insignia Energy Ltd. Decision – s. 1(10) ............................. #34 (Aug. 22) 8345 Instinet Canada Cross Limited Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Institute of Advanced Financial Planners Decision .................................................. #2 (Jan. 10) 597


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Integra Capital Limited Decision .............................................. #20 (May 16) 5049 Intellectual Capital Group Ltd. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order ......................... #21 (May 23) 5349 Inter Reef Ltd. News Release ..................................... #11 (Mar 14) 2550 International Communication Strategies Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #12 (Mar 21) 2919 International Energy Ltd. Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 ............................. #39 (Sept. 26) 9361 International Strategic Investments Inc. Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1030 Order ..................................................... #4 (Jan. 24) 1050 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2574 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11354 Order ................................................ #48 (Nov. 28) 11394 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565 Order .................................................. #49 (Dec. 5) 11603 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11785 Order ................................................ #50 (Dec. 12) 11837 International Strategic Investments Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1030 Order ..................................................... #4 (Jan. 24) 1050 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2574 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11354 Order ................................................ #48 (Nov. 28) 11394 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565 Order .................................................. #49 (Dec. 5) 11603 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11785 Order ................................................ #50 (Dec. 12) 11837 International Youtrade Investments MA Ltd. News Release ................................... #44 (Oct. 31) 10427

Intrepid Equity Finance Ltd. Suspended (Pending Surrender) ........ #49 (Dec. 5) 11751 Intus Capital Corporation Decision ............................................. #43 (Oct. 24) 10296 Invesco Advisers, Inc. Order – s. 80 of the CFA ..................... #30 (July 25) 7418 Invesco Asset Management Limited Order – s. 80 of the CFA ..................... #30 (July 25) 7418 Invesco Canada Ltd. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Order – s. 80 of the CFA ..................... #30 (July 25) 7418 Decision ................................................ #31 (Aug. 1) 7690 Invesco Canada Ltd. Decision ............................................. #38 (Sept. 19) 9133 Investissements Excel Inc. New Registration ............................... #25 (June 20) 6383 Investissements Standard Life Inc./Standard Life Investments Inc. Change in Registration Category ......... #17 (Apr 25) 4555 Investment Allocation International Inc. OSC Reasons .................................. #24 (June 13) 5986 Investment Funds Practitioner – May 2013 Notices ............................................... #21 (May 23) 5267 Investment Funds Practitioner – November 2013 Notice ............................................... #48 (Nov. 28) 11345 Investment Funds Product Advisory Committee News Release ...................................... #17 (Apr 25) 4403 News Release – Members for 2013-2015 ...................................... #30 (July 25) 7363 Investor Advisory Panel News Release ..................................... #12 (Mar 21) 2877 Notice – Request for Applications ....... #28 (July 11) 6912 News Release ..................................... #28 (July 11) 6937 News Release .................................. #46 (Nov. 14) 10773 Investor Education Month News Release ..................................... #41 (Oct. 10) 9726 InvestorPOS Inc. Decision ............................................ #47 (Nov. 21) 11219 Investors Canadian Bond Fund Decision .............................................. #20 (May 16) 5065 Investors Cornerstone I Portfolio Decision ................................................. #27 (July 4) 6695



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Investors Cornerstone II Portfolio Decision ................................................ #27 (July 4) 6695 Investors Cornerstone III Portfolio Decision ................................................ #27 (July 4) 6695 Investors European Dividend Growth Fund Decision .............................................. #20 (May 16) 5065 Investors European Equity Fund Decision .............................................. #20 (May 16) 5065 Investors Fixed Income Flex Portfolio Decision ................................................ #27 (July 4) 6695 Investors Global Class Decision .............................................. #20 (May 16) 5065 Investors Global Fund Decision .............................................. #20 (May 16) 5065 Investors Growth Plus Portfolio Decision ................................................ #27 (July 4) 6695 Investors Growth Portfolio Decision ................................................ #27 (July 4) 6695 Investors Income Plus Portfolio Decision ................................................ #27 (July 4) 6695 Investors Income Portfolio Decision ................................................ #27 (July 4) 6695 Investors Japanese Equity Class Decision .............................................. #20 (May 16) 5065 Investors Japanese Equity Fund Decision .............................................. #20 (May 16) 5065 Investors Mergers & Acquisitions Class Decision .............................................. #20 (May 16) 5065 Investors Mergers & Acquisitions Fund Decision .............................................. #20 (May 16) 5065 Investors North American Equity Class Decision .............................................. #20 (May 16) 5065 Investors North American Equity Fund Decision .............................................. #20 (May 16) 5065 Investors Pan Asian Growth Class Decision .............................................. #20 (May 16) 5065 Investors Pan Asian Growth Fund Decision .............................................. #20 (May 16) 5065 Investors Real Property Fund Decision .............................................. #30 (July 25) 7389 Investors Real Return Bond Fund Decision .............................................. #20 (May 16) 5065

Investors Retirement Growth Portfolio Decision ................................................. #27 (July 4) 6695 Investors Retirement Plus Portfolio Decision ................................................. #27 (July 4) 6695 Investors Summa Global SRI Class Decision .............................................. #20 (May 16) 5065 Investors Summa Global SRI Fund Decision .............................................. #20 (May 16) 5065 Invico Capital Corporation Change in Registration Category ......... #4 (Jan. 24) 1185 Ip, Albert Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1036 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1037 Order .................................................... #4 (Jan. 24) 1066 Temporary Order – ss. 127(7), 127(8) .. #4 (Jan. 24) 1069 Notice from the Office of the Secretary .................................. #21 (May 23) 5276 Order .................................................. #21 (May 23) 5303 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order ................................................... #30 (July 25) 7423 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8687 Order ................................................... #36 (Sept. 5) 8712 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Order ................................................. #38 (Sept. 19) 9155 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10286 Order ................................................. #43 (Oct. 24) 10324 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order ................................................ #48 (Nov. 28) 11390 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11822 IPC Securities Corporation Decision ............................................... #41 (Oct. 10) 9753 Iplayco Corporation Ltd. Order – s. 1(11)(b) ............................ #46 (Nov. 14) 10872 Iris Asset Management Ltd. New Registration ............................... #22 (May 30) 5623 IROC Energy Services Corp. Decision – s. 1(10)(a)(ii) ...................... #23 (June 6) 5695 ISEE3D Inc. Cease Trading Order ................................ #1 (Jan. 4) 235 iShares Canadian Financial Monthly Income Fund Decision ............................................. #26 (June 27) 6447


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iShares Equal Weight Banc & Lifeco Fund Decision ............................................. #26 (June 27) 6447 iShares Gold Bullion Fund Decision ............................................. #26 (June 27) 6447 iShares MSCI EAFE IMI Index ETF Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions .............. #19 (May 9) 4795 iShares MSCI Emerging Markets IMI Index ETF Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions .............. #19 (May 9) 4795 iShares S&P 500 Index ETF Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions .............. #19 (May 9) 4795 iShares S&P Global Consumer Discretionary Index Fund Designation Order– s. 1.1 of OSC Rule 48-501 .................................... #6 (Feb 7) 1444 iShares S&P Global Industrials Index Fund Designation Order – s. 1.1 of OSC Rule 48-501 .................................... #6 (Feb 7) 1444 iShares Silver Bullion Fund Decision ............................................. #26 (June 27) 6447 Itau BBA USA Securities, Inc. Decision .............................................. #36 (Sept. 5) 8703 ITOK Capital Corp. Cease Trading Order .......................... #20 (May 16) 5119 Notice of Hearing ................................ #22 (May 30) 5486 Notice from the Office of the Secretary ................................... #22 (May 30) 5491 Notice from the Office of the Secretary ................................... #22 (May 30) 5492 Order – s. 127(1) ................................. #22 (May 30) 5513 Cease Trading Order .......................... #22 (May 30) 5517 Ivanplats Limited Decision ............................................. #49 (Dec. 5) 11581 Ivy Investment Management Company Order – ss. 78(1), 80 of the CFA ......... #11 (Mar 14) 2586 Ivy Investment Management Company (a subsidiary of Waddell & Reed Financial Inc.) Order – ss. 78(1), 80 of the CFA ........... #19 (May 9) 4800 J.P. Morgan Clearing Corp. Decision ............................................... #15 (Apr 11) 3857

J.P. Morgan Securities Canada Inc. Decision ................................................ #17 (Apr 25) 4429 Decision ............................................ #50 (Dec. 12) 11792 J.P. Morgan Securities LLC Decision ................................................ #17 (Apr 25) 4429 Decision ............................................ #50 (Dec. 12) 11792 Jain, Anu Bala OSC Reasons .................................... #35 (Aug. 29) 8555 Javelin SEF, LLC Order – s. 147 ..................................... #41 (Oct. 10) 9804 Jefferies Bache Financial Services, Inc. Decision ............................................ #48 (Nov. 28) 11369 Jefferies Derivative Products, LLC Decision ............................................ #48 (Nov. 28) 11369 Jefferies International Limited Decision ............................................ #48 (Nov. 28) 11369 Jefferies LLC, Decision ................................................. #27 (July 4) 6718 Jenex Corporation Order – s. 144 ..................................... #13 (Mar 28) 3168 JOG Capital Corp. Registrant ............................................... #2 (Jan. 10) 742 JonesTrading Institutional Services LLC Decision ................................................. #27 (July 4) 6710 JovFinancial Solutions Inc. Decision ................................................. #40 (Oct. 3) 9544 Jovian Capital Corporation Decision ................................................. #40 (Oct. 3) 9533 Decision ................................................. #40 (Oct. 3) 9544 Decision – s. 1(10) ............................. #45 (Nov. 7) 10652 Juniper Equity Growth Fund Notice from the Office of the Secretary .................................... #16 (Apr 18) 4191 Order – ss. 127, 127.1 .......................... #16 (Apr 18) 4226 OSC Reasons ...................................... #16 (Apr 18) 4243 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Order – ss. 127, 127.1 ......................... #28 (July 11) 6963 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8948 Order – s. 127, 127.1 ........................ #37 (Sept. 12) 8981 Juniper Fund Management Corporation Notice from the Office of the Secretary .................................... #16 (Apr 18) 4191 Order – ss. 127, 127.1 .......................... #16 (Apr 18) 4226 OSC Reasons ...................................... #16 (Apr 18) 4243 Notice from the Office of the Secretary .................................. #21 (May 23) 5277



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Order– ss. 127 and 127.1 ................... #21 (May 23) 5304 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Order – ss. 127, 127.1 ........................ #28 (July 11) 6963 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8948 Order – s. 127, 127.1 ........................ #37 (Sept. 12) 8981 Juniper Income Fund Notice from the Office of the Secretary .................................... #16 (Apr 18) 4191 Order – ss. 127, 127.1 ......................... #16 (Apr 18) 4226 OSC Reasons ...................................... #16 (Apr 18) 4243 Notice from the Office of the Secretary ................................... #21 (May 23) 5277 Order– ss. 127 and 127.1 ................... #21 (May 23) 5304 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Order – ss. 127, 127.1 ........................ #28 (July 11) 6963 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8948 Order – s. 127, 127.1 ........................ #37 (Sept. 12) 8981 JV Raleigh Superior Holdings Inc. Notice of Hearing – ss. 127(1), 127(10) ............................ #9 (Feb 28) 1990 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2553 Order – Rules 9, 10 and 11 of the OSC Rules of Procedure ........... #11 (Mar 14) 2583 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3833 Order – Rule 9.2 of the OSC Rules of Procedure ..................... #15 (Apr 11) 3882 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – Rules 11.4 and 11.5 of the OSC Rules of Procedure ............ #16 (Apr 18) 4230 Notice from the Office of the Secretary ..................................... #18 (May 2) 4580 Order – ss. 127(1) and (10) .................. #18 (May 2) 4616 OSC Reasons – ss. 127(1) and (10) ..... #18 (May 2) 4639 K&S Global Wealth Creative Strategies Inc. Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 806 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 773 Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 811 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #20 (May 16) 5099 K2 & Associates Investment Management Inc. Decision .............................................. #13 (Mar 28) 3144 K2 Principal Trust Decision .............................................. #13 (Mar 28) 3144 Kamposse Financial Corp. Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1032

Temporary Order – ss. 127(1), 127(7), 127(8) .................. #4 (Jan. 24) 1051 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), 127(7), 127(8) ......... #9 (Feb 28) 2052 Notice of Withdrawal ........................... #11 (Mar 14) 2543 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2575 Kaplan, Christopher Notice from the Office of the Secretary ................................... #30 (July 25) 7370 OSC Reasons – ss. 8(3), 27.1 ............ #30 (July 25) 7492 Kay, Justin Notice of Hearing – ss. 127(7), 127(8) ................................... #1 (Jan. 4) 11 Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 19 Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 25 Temporary Order – ss. 127(1), 127(5) ................................... #1 (Jan. 4) 90 Temporary Order – ss. 127(7), 127(8) ................................. #1 (Jan. 4) 180 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1419 Notice of Hearing – ss. 37, 127, 127.1 ................................. #6 (Feb 7) 1413 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1998 Order – ss. 127(7), 127(8) ..................... #9 (Feb 28) 2035 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Order – ss. 127(7), 127(8) .................... #16 (Apr 18) 4219 Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Temporary Order – ss. 127(7) and (8) ............................ #22 (May 30) 5507 Notice from the Office of the Secretary ................................. #26 (June 27) 6440 Temporary Order – ss. 127(7) and 127(8) ..................... #26 (June 27) 6475 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order – s. 127 .................................... #34 (Aug. 22) 8381 KeatsConnelly ULC New Registration ................................ #11 (Mar 14) 2845 Kelt Exploration Ltd. Decision .............................................. #20 (May 16) 5081 Decision ............................................. #37 (Sept. 12) 8966 KES 7 Capital Inc. New Registration .............................. #50 (Dec. 12) 11971 KeyBanc Capital Markets Inc. Decision ................................................. #27 (July 4) 6710


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Keybase Financial Group Inc. Decision .............................................. #22 (May 30) 5502 KEYreit Notice of Hearing – s. 127(1) ................ #10 (Mar 7) 2246 Notice of Hearing – s. 127(1) ................ #10 (Mar 7) 2247 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2264 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2265 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2880 Order – s. 127(1) ................................. #12 (Mar 21) 2908 Decision – s. 1(10)(a)(ii) ....................... #31 (Aug. 1) 7737 Khalkhali, Zahra Pourebrahimi News Release .................................. #48 (Nov. 28) 11351 Khan Trading Associates Inc. Notice of Hearing – ss. 60, 60.1 of the CFA ........................... #1 (Jan. 4) 12 Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 20 Order – s. 60 of CFA ............................. #7 (Feb 14) 1677 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1650 Notice of Hearing – Rule 6.7 of the OSC Rules of Procedure ...................... #18 (May 2) 4568 Notice from the Office of the Secretary ..................................... #18 (May 2) 4574 Notice from the Office of the Secretary ..................................... #27 (July 4) 6676 Order – s. 60 of the CFA and Rule 3 and Rule 4.3(2) of the OSC Rules of Procedure ...................... #27 (July 4) 6727 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8688 Order ................................................... #36 (Sept. 5) 8718 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9565 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10430 OSC Reasons ................................... #44 (Oct. 31) 10485 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10619 Order – Rule 6.7 of the OSC Rules of Procedure ................... #45 (Nov. 7) 10677 Khan, Fawad Ul Haq Notice of Hearing – ss. 60, 60.1 of the CFA ........................... #1 (Jan. 4) 12 Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 20 Order – s. 60 of CFA ............................. #7 (Feb 14) 1677 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1650 Notice of Hearing – Rule 6.7 of the OSC Rules of Procedure ...................... #18 (May 2) 4568

Notice from the Office of the Secretary .................................... #18 (May 2) 4574 Notice from the Office of the Secretary ..................................... #27 (July 4) 6676 Order – s. 60 of the CFA and Rule 3 and Rule 4.3(2) of the OSC Rules of Procedure ....................... #27 (July 4) 6727 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8688 Order ................................................... #36 (Sept. 5) 8718 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9565 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10430 OSC Reasons .................................. #44 (Oct. 31) 10485 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10619 Order – Rule 6.7 of the OSC Rules of Procedure .................... #45 (Nov. 7) 10677 Khan, Muhammad M. Notice of Hearing – ss. 127(7), 127(8) ............................ #28 (July 11) 6934 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Temporary Order – ss. 127(1), 127(5) ............................ #28 (July 11) 6962 Notice from the Office of the Secretary ................................... #29 (July 18) 7155 Order – ss. 127(1), 127(7) and 127(8) .......... #29 (July 18) 7211 Khodjaiants, Alex Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Kiernan, James Thomas Decision ............................................... #41 (Oct. 10) 9751 Kingsmont Investment Management Inc. Opportunity to be heard by the Director – s. 31................................................... #40 (Oct. 3) 9577 Kingwest & Company Decision ............................................. #43 (Oct. 24) 10297 Kingwest High Income Portfolio Decision ............................................. #43 (Oct. 24) 10297 Kirkland Lake Mall Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489



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Kirkland Lake Mall Investment Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Knowledge First Financial Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 24 Order ......................................................... #1 (Jan. 4) 145 Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3104 Order ................................................... #13 (Mar 28) 3159 Notice from the Office of the Secretary .................................. #26 (June 27) 6439 Notice from the Office of the Secretary .................................. #26 (June 27) 6442 Order .................................................. #26 (June 27) 6465 Order .................................................. #26 (June 27) 6477 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10436 Order ................................................. #44 (Oct. 31) 10456 Kovacs, Louis Michael Notice of Hearing and Statement of Allegations – ss. 127, 127.1 .......... #39 (Sept. 26) 9292 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9304 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127(1), 127(2), 127.1 ...... #39 (Sept. 26) 9340 Settlement Agreement ...................... #39 (Sept. 26) 9378 Kreller, Justin Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 25 Temporary Order – ss. 127(7), 127(8) .................................. #1 (Jan. 4) 180 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1419 Notice of Hearing – ss. 37, 127, 127.1 ................................ #6 (Feb 7) 1413 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1998 Order – ss. 127(7), 127(8)..................... #9 (Feb 28) 2035 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Order – ss. 127(7), 127(8).................... #16 (Apr 18) 4219 Notice from the Office of the Secretary ................................... #22 (May 30) 5490 Temporary Order – ss. 127(7) and (8) ............................. #22 (May 30) 5507 Notice from the Office of the Secretary .................................. #26 (June 27) 6440

Temporary Order – ss. 127(7) and 127(8) ..................... #26 (June 27) 6475 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order – s. 127 .................................... #34 (Aug. 22) 8381 Kricfalusi, Mary Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 37, 127, 127.1 ..................... #9 (Feb 28) 2055 OSC Reasons – s. 127 .......................... #9 (Feb 28) 2104 Notice from the Office of the Secretary .................................... #19 (May 9) 4754 Order – Rules 1.6(2) and 11.5 of the OSC Rules of Procedure ...................... #19 (May 9) 4793 News Release .................................... #49 (Dec. 5) 11555 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Order – ss. 127, 127.1 ........................ #49 (Dec. 5) 11600 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #49 (Dec. 5) 11642 KS Acquisition II LP Notice of Hearing – s. 127 ...................... #3 (Jan. 17) 770 Decision .................................................. #3 (Jan. 17) 800 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 774 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1207 Kuti, Peter Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) ............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice from the Office of the Secretary .................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) .............................. #18 (May 2) 4611 Notice from the Office of the Secretary ................................. #24 (June 13) 5927 Order ................................................. #24 (June 13) 5953 Notice from the Office of the Secretary ................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8) ......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028 Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 KV Capital Inc. Change in Registration Category ............. #1 (Jan. 4) 481 Lake Louise Inn Limited Partnership Cease Trading Order .......................... #35 (Aug. 29) 8567 Order – s. 144 ..................................... #36 (Sept. 5) 8714


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LatAm SEF LLC Order – s. 147 .................................. #51 (Dec. 19) 12085 Marketplaces .................................... #51 (Dec. 19) 12409 Laurier Capital Funding Inc. New Registration .................................. #31 (Aug. 1) 7891 Lawrence Enterprise Fund Inc. Decision ...................................................... #1 (Jan. 4) 37 Lawson, Susan Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #16 (Apr 18) 4214 Lazard Asset Management (Canada) Inc. Change in Registration Category ........ #28 (July 11) 7095 LCH.Clearnet Limited – Notice of Commission Order – Application for Variation and Restatement of LCH’s Interim Order Clearing Agencies ................................. #7 (Feb 14) 1836 LCH.Clearnet Limited Order – s. 144 ....................................... #7 (Feb 14) 1687 Variation to the Restated Interim Order – s. 144 .......................... #23 (June 6) 5705 Clearing Agencies .............................. #23 (June 6) 13.3.3 Order – s. 21.2 .................................. #38 (Sept. 19) 9157 Clearing Agencies ............................. #38 (Sept. 19) 9266 LCTI Low Carbon Technologies International Inc. Cease Trading Order .............................. #3 (Jan. 17) 825 Cease Trading Order ............................. #5 (Jan 31) 1244 LDIC Inc. Change of Registration Category ......... #15 (Apr 11) 4091 League Investment Services Inc. Opportunity to be Heard by the Director – s. 31 ...................... #46 (Nov. 14) 11010 LeaseSmart, Inc. Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 ............................. #39 (Sept. 26) 9361 Leerink Swann LLC Decision ............................................ #37 (Sept. 12) 8953

Legacy Investment Management Inc. Consent to Suspension (Pending Surrender) ......................... #50 (Dec. 12) 11971 Legacy Partners Wealth Strategies Inc. New Registration ............................... #26 (June 27) 6623 Legumex Walker Inc. Decision ...................................................... #1 (Jan. 4) 32 Les Conseillers en Placements Kerr Inc./Kerr Financial Advisors Inc. Change in Registration Category .......... #7 (Feb 14) 1793 Les Conseillers en Valeurs Razorbill Inc. / Razorbill Advisors Inc. New Registration ................................. #23 (June 6) 5879 Levy, Pauline Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), 127.1 ...................... #27 (July 4) 6731 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1.......................... #27 (July 4) 6758 Liberty Consulting Ltd. Notice from the Office of the Secretary ................................... #29 (July 18) 7152 Order – s. 127 of the Act and the OSC Rules of Procedure ..................... #29 (July 18) 7200 Lind Partners Canada, LLC Decision ................................................ #15 (Apr 11) 3839 Linde, James Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ....................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #16 (Apr 18) 4214 Linell Capital Inc. Voluntary Surrender .............................. #10 (Mar 7) 2455 Lipari Energy, Inc. Decision ............................................ #51 (Dec. 19) 12049 Liquid Gold International Corp. Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ....................... #1 (Jan. 4) 89 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order .................................................... #4 (Jan. 24) 1065



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Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ..................... #16 (Apr 18) 4227 Notice from the Office of the Secretary ................................... #22 (May 30) 5490 Order ................................................... #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons – s. 127 ...................... #33 (Aug. 15) 8202 Liquid Gold International Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ........................ #1 (Jan. 4) 89 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1035 Order ..................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ..................... #16 (Apr 18) 4227 Notice from the Office of the Secretary ................................... #22 (May 30) 5490 Order ................................................... #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons – s. 127 ...................... #33 (Aug. 15) 8202 Liquidnet Canada Inc. Marketplaces ......................................... #9 (Feb 28) 2229 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Livent Inc. Notice of Withdrawal ............................. #9 (Feb 28) 1973 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2001 LNG Exploration Ltd. Decision ............................................ #39 (Sept. 26) 9330 Lobban, Maxine Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 806 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 773 Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 811 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #20 (May 16) 5099 Lobban, Wayne Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 806 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 773

Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 811 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #20 (May 16) 5099 Logan Circle Partners I LLC Change in Registration Category ....... #45 (Nov. 7) 10755 Loman, Kevin Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 37, 127, 127.1 ..................... #9 (Feb 28) 2055 OSC Reasons – s. 127 .......................... #9 (Feb 28) 2104 Notice from the Office of the Secretary .................................... #19 (May 9) 4754 Order – Rules 1.6(2) and 11.5 of the OSC Rules of Procedure ...................... #19 (May 9) 4793 News Release .................................... #49 (Dec. 5) 11555 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Order – ss. 127, 127.1 ........................ #49 (Dec. 5) 11600 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #49 (Dec. 5) 11642 Lopez, Marcos A. Decision .............................................. #45 (Nov. 7) 10634 LOREX Technology Inc. Decision ................................................ #19 (May 9) 4768 Lorne Steinberg Wealth Management Inc. Change in Registration Category ............ #6 (Feb 7) 1581 Lowenberg Investment Counsel Inc. New Registration ................................. #12 (Mar 21) 3061 LSV Asset Management New Business Registration ................ #24 (June 13) 6169 Lushington, Terence Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7617 Order – ss. 127, 127.1 .......................... #31 (Aug. 1) 7764 OSC Reasons (Reasons and Decision) – s. 127 ................................. #31 (Aug. 1) 7775 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8688 Order – ss. 127, 127.1 ......................... #36 (Sept. 5) 8715 Lynx ATS – Notice of Completion of Staff Review of Lynx ATS Initial Operations Report Marketplaces ..................................... #38 (Sept. 19) 9261 Lynx ATS – Notice of Initial Operations Report and Request for Comment Marketplaces ........................................ #16 (Apr 18) 4377 M5V Advisors Inc. New Registration .................................... #14 (Apr 4) 3801 Mackenzie All-Sector Canadian Balanced Fund Decision ................................................ #32 (Aug. 8) 7924


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Mackenzie Cundill American Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Cundill Global Balanced Fund Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Cundill Global Dividend Fund Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Cundill International Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Financial Corporation Order – ss. 78(1), 80 of the CFA ......... #11 (Mar 14) 2586 Order – ss. 78(1), 80 of the CFA ........... #19 (May 9) 4800 Decision ............................................... #32 (Aug. 8) 7924 Decision ................................................ #40 (Oct. 3) 9548 Decision ........................................... #46 (Nov. 14) 10795 Mackenzie Focus Far East Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Focus International Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Focus Japan Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Investments Pte. Ltd. Order – ss. 78(1), 80 of the CFA ......... #11 (Mar 14) 2586 Mackenzie Investments Pte. Ltd. (a wholly owned subsidiary of Mackenzie Financial Corporation) Order – ss. 78(1), 80 of the CFA ........... #19 (May 9) 4800 Mackenzie Ivy All-Canadian Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Maxxum All-Canadian Dividend Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Maxxum Monthly Income Fund Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Saxon Microcap Fund Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Sentinel Managed Return Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Universal All-Canadian Growth Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Universal Canadian Shield Fund Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Universal Health Sciences Class Decision ............................................... #32 (Aug. 8) 7924 Mackenzie Universal Technology Class Decision ............................................... #32 (Aug. 8) 7924

Mackenzie Universal U.S. Emerging Growth Class Decision ................................................ #32 (Aug. 8) 7924 Mackenzie Universal World Real Estate Class Decision ................................................ #32 (Aug. 8) 7924 Mackie Research Capital Corporation Amalgamation ........................................ #3 (Jan. 17) 961 Macquarie Capital (USA) Inc. Decision ................................................. #27 (July 4) 6700 Macquarie Private Wealth Corp. Decision ................................................ #16 (Apr 18) 4204 Macquarie Private Wealth Inc. Decision ................................................ #16 (Apr 18) 4204 Decision .............................................. #45 (Nov. 7) 10648 Magna International Inc. Order – s. 104(2)(c) .............................. #15 (Apr 11) 3891 Orders– s. 104(2)(c) .......................... #24 (June 13) 5946 Order – s. 104(2)(c) ............................ #49 (Dec. 5) 11606 Magnum Hunter Resources Corporation Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order ........................... #30 (July 25) 7515 Mainse, Reynold Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 Mainse, Ronald Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 Majescor Resources Inc. Cease Trading Order ........................... #29 (July 18) 7215 Cease Trading Order ........................... #30 (July 25) 7515 Cease Trading Order ............................ #31 (Aug. 1) 7811 Cease Trading Order ............................ #32 (Aug. 8) 7975 Cease Trading Order .......................... #33 (Aug. 15) 8227 Cease Trading Order .......................... #34 (Aug. 22) 8383 Cease Trading Order .......................... #35 (Aug. 29) 8567 Cease Trading Order .......................... #36 (Sept. 5) 8831 Majestic Asset Management LLC Change in Registration Category ........ #28 (July 11) 7095 Majestic Supply Co. Inc. Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 37, 127, 127.1 ..................... #9 (Feb 28) 2055 OSC Reasons – s. 127 .......................... #9 (Feb 28) 2104 Notice from the Office of the Secretary .................................... #19 (May 9) 4754



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Order – Rules 1.6(2) and 11.5 of the OSC Rules of Procedure ...................... #19 (May 9) 4793 News Release .................................... #49 (Dec. 5) 11555 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Order – ss. 127, 127.1 ....................... #49 (Dec. 5) 11600 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ...................... #49 (Dec. 5) 11642 Malaga Inc. Cease Trading Order ......................... #36 (Sept. 5) 8831 Cease Trading Order ........................ #37 (Sept. 12) 8999 Man Canada AHL DP Investment Fund Decision ........................................... #50 (Dec. 12) 11804 Man Investments Canada Corp. Decision ............................................. #25 (June 20) 6220 Decision ............................................. #33 (Aug. 15) 8165 Decision ........................................... #50 (Dec. 12) 11804 Mandeville Private Client Inc. Name Change ....................................... #4 (Jan. 24) 1185 Mandeville Wealth Services Inc. New Registration .................................. #17 (Apr 25) 4555 Manulife Asset Management Limited Change in Registration Category ....... #26 (June 27) 6623 Decision ................................................ #27 (July 4) 6692 Decision ............................................ #43 (Oct. 24) 10306 Decision ........................................... #51 (Dec. 19) 12056 Manulife Securities Investment Services Inc. Decision ...................................................... #1 (Jan. 4) 44 Manulife Strategic Income Opportunities Fund Decision ................................................ #27 (July 4) 6692 Mapleridge Capital Corporation Suspension (Non-Renewal) .................... #6 (Feb 7) 1581 Voluntary Surrender .................................. #1 (Jan. 4) 481 Market Structure Advisory Committee News Release ................................... #39 (Sept. 26) 9297 News Release ...................................... #23 (June 6) 5660 Marketaxess Canada Limited Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 MarketAxess SEF Corporation Order – s. 147 .................................. #48 (Nov. 28) 11385 Marketplaces .................................... #48 (Nov. 28) 11515 Marlatt, Frederick Lawrence Notice of Hearing – ss. 127(1), 127(10)#51 (Dec. 19) 12033 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12046 Marquest Asset Management Inc. Decision ............................................ #39 (Sept. 26) 9325

MaRS VX Decision ............................................. #25 (June 20) 6230 New Firm Registration ........................... #40 (Oct. 3) 9703 Martinez, Wayne Gerard Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), 127.1 ...................... #27 (July 4) 6731 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1.......................... #27 (July 4) 6758 Mason, John Douglas Lee Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 25 Order – s. 127 .......................................... #1 (Jan. 4) 149 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3105 Order – s. 127 ..................................... #13 (Mar 28) 3162 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................... #17 (Apr 25) 4397 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4406 Notice from the Office of the Secretary .................................... #18 (May 2) 4572 Order – s. 127 ...................................... #18 (May 2) 4601 Order – ss. 37, 127, 127.1 .................... #18 (May 2) 4602 Settlement Agreement .......................... #18 (May 2) 4619 Master Card Trust Decision ................................................ #32 (Aug. 8) 7923 Matco Financial Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Mateyak, Laura Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ....................... #1 (Jan. 4) 89 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order .................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ...................... #16 (Apr 18) 4227 Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Order .................................................. #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons (Reasons and Decision) – s. 127 ............................... #33 (Aug. 15) 8202


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Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8494 Order .................................................. #35 (Aug. 29) 8553 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – Rules 3 and 9 of the OSC Rules of Procedure .................. #38 (Sept. 19) 9152 Notice of Hearing – ss. 127, 127.1 .................................... #40 (Oct. 3) 9509 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Matrix American Dividend Growth Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325 Matrix Canadian Balanced Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325 Matrix Canadian Bond Fund Decision ............................................ #39 (Sept. 26) 9325 Matrix Canadian Resource Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325 Matrix Canadian Resource Fund Decision ............................................ #39 (Sept. 26) 9325 Matrix Covered Call Canadian Banks Plus Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325 Matrix Dow Jones Canada High Dividend 50 Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325 Matrix Funds Management (a division of Growth Works Capital Ltd.) Decision .............................................. #13 (Mar 28) 3135 Matrix International Balanced Fund Decision ............................................ #39 (Sept. 26) 9325 Matrix International Income Balanced Fund Decision ............................................ #39 (Sept. 26) 9325 Matrix Money Market Fund Decision ............................................ #39 (Sept. 26) 9325 Matrix Monthly Pay Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325 Matrix Monthly Pay Fund Decision ............................................ #39 (Sept. 26) 9325 Matrix S&P/TSX Canadian Dividend Aristocrats Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325 Matrix Short Term Income Fund (Corporate Class) Decision ............................................ #39 (Sept. 26) 9325

Matrix Small Companies Fund Decision ............................................. #39 (Sept. 26) 9325 Matrix Tax Deferred Income Fund and Matrix Tax Deferred Income Trust Pool Decision ............................................. #39 (Sept. 26) 9325 Mawer Investment Management Ltd. Change in Registration Category ............. #1 (Jan. 4) 481 Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Maxam Capital Management Ltd. New Registration ............................... #39 (Sept. 26) 9479 Maxsood, Daniel Notice of Hearing – ss. 127(7), 127(8) ............................ #28 (July 11) 6934 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Temporary Order – ss. 127(1), 127(5) ............................ #28 (July 11) 6962 Notice from the Office of the Secretary ................................... #29 (July 18) 7155 Order – ss. 127(1), 127(7) and 127(8) ........................................... #29 (July 18) 7211 MBS Group (Canada) Ltd. Notice from the Office of the Secretary .................................... #15 (Apr 11) 3833 Order – ss. 37, 127, 127.1 .................... #15 (Apr 11) 3883 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ................... #15 (Apr 11) 3915 MBT Global Trading, LP Suspension pursuant to Section 29(1) of the Securities Act ..................... #7 (Feb 14) 1793 Surrender of Registration ..................... #15 (Apr 11) 4091 McCarthy, Andrea Lee Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ....................... #1 (Jan. 4) 89 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order .................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ...................... #16 (Apr 18) 4227 Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Order .................................................. #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192



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OSC Reasons (Reasons and Decision) – s. 127 .............................. #33 (Aug. 15) 8202 McElvaine Investment Management Ltd. Registrant................................................ #2 (Jan. 10) 742 MD Physician Services Inc. Decision ............................................. #24 (June 13) 5941 Medicago Inc. Decision – s. 1(10) .............................. #41 (Oct. 10) 9769 Medipattern Corporation, The Cease Trading Order ............................ #27 (July 4) 6769 Cease Trading Order .......................... #28 (July 11) 6969 Medra Corp. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 19 Order ......................................................... #1 (Jan. 4) 133 Notice from the Office of the Secretary ....................................... #2 (Jan. 10) 561 Order ....................................................... #2 (Jan. 10) 606 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Order .................................................... #15 (Apr 11) 3875 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Order .................................................... #17 (Apr 25) 4446 Notice from the Office of the Secretary .................................. #26 (June 27) 6440 Order. – ss. 127 and 127.1 ................ #26 (June 27) 6466 OSC Reasons ................................... #26 (June 27) 6487 Notice from the Office of the Secretary ..................................... #27 (July 4) 6686 Order – ss. 127, 127.1 .......................... #27 (July 4) 6748 Medra Corporation Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 19 Order ......................................................... #1 (Jan. 4) 133 Notice from the Office of the Secretary ....................................... #2 (Jan. 10) 561 Order ....................................................... #2 (Jan. 10) 606 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Order .................................................... #15 (Apr 11) 3875 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Order .................................................... #17 (Apr 25) 4446 Notice from the Office of the Secretary .................................. #26 (June 27) 6440 Order. – ss. 127 and 127.1 ................ #26 (June 27) 6466 OSC Reasons ................................... #26 (June 27) 6487 Notice from the Office of the Secretary ..................................... #27 (July 4) 6686 Order – ss. 127, 127.1 .......................... #27 (July 4) 6748

Medusa Mining Limited Cease Trading Order ............................. #5 (Jan 31) 1244 Cease Trading Order ............................. #7 (Feb 14) 1693 Order – s. 144(1) ................................... #27 (July 4) 6726 MedX Health Corp. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order .......................... #22 (May 30) 5517 Melcor Real Estate Investment Trust Decision ................................................ #31 (Aug. 1) 7619 Memoranda of Understanding with the EU and EEA Member State Financial Regulators under the EU Alternative Investment Fund Managers Directive Notice (Ministerial Approval) .............. #38 (Sept. 19) 9110 Memoranda of Understanding with the UK Financial Conduct Authority and the Bank of England Notice (Ministerial Approval) .............. #38 (Sept. 19) 9112 Memorandum of Understanding between Certain Provincial Securities Regulators Concerning the Mutual Fund Dealers Association of Canada (MFDA) SROs ................................................. #41 (Oct. 10) 10005 Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information between the Ontario Securities Commission and the Canadian Public Accountability Board Notice ................................................. #49 (Dec. 5) 11537 Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Regulated Entities – Bank of England Notice .................................................. #28 (July 11) 6918 Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Regulated Entities – U.K. Financial Conduct Authority Notice .................................................. #28 (July 11) 6926 Memorandum of Understanding Concerning the Oversight of the Mutual Fund Dealers Association of Canada (MFDA) Notice ................................................... #32 (Aug. 8) 7909 Memorandums of Understanding for Supervision of Alternative Investment Fund Managers between the OSC, AMF, ASC and BCSC and the EU and the EEA News Release ...................................... #31 (Aug. 1) 7613 Meritage Canadian Equity Class Portfolio Decision .............................................. #45 (Nov. 7) 10625 Meritage Equity Class Portfolio Decision .............................................. #45 (Nov. 7) 10625


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Meritage Global Equity Class Portfolio Decision ............................................. #45 (Nov. 7) 10625 Meritage Growth Class Portfolio Decision ............................................. #45 (Nov. 7) 10625 Meritas Balanced Portfolio Decision ................................................. #14 (Apr 4) 3463 Meritas Canadian Bond Fund Decision ................................................. #14 (Apr 4) 3463 Meritas Growth & Income Portfolio Decision ................................................. #14 (Apr 4) 3463 Meritas Growth Portfolio Decision ................................................. #14 (Apr 4) 3463 Meritas Income & Growth Portfolio Decision ................................................. #14 (Apr 4) 3463 Meritas Income Portfolio Decision ................................................. #14 (Apr 4) 3463 Meritas International Equity Fund Decision ................................................. #14 (Apr 4) 3463 Meritas Jantzi Social Index® Fund Decision ................................................. #14 (Apr 4) 3463 Meritas Maximum Growth Portfolio Decision ................................................. #14 (Apr 4) 3463 Meritas Money Market Fund Decision ................................................. #14 (Apr 4) 3463 Meritas Monthly Dividend and Income Fund Decision ................................................. #14 (Apr 4) 3463 Meritas U.S. Equity Fund Decision ................................................. #14 (Apr 4) 3463 Meritus Minerals Ltd. Cease Trading Order .......................... #12 (Mar 21) 2943 Cease Trading Order .......................... #13 (Mar 28) 3171 Cease Trading Order ......................... #34 (Aug. 22) 8383 Cease Trading Order ......................... #35 (Aug. 29) 8567 Merlin Canada Ltd. Name Change ..................................... #12 (Mar 21) 3061 Merrill Lynch Canada Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 Merrill Lynch Financial Assets Inc. Decision .............................................. #29 (July 18) 7172 Merrill Lynch Professional Clearing Corp. Decision ................................................. #14 (Apr 4) 3468

Merrill Lynch, Pierce, Fenner & Smith Incorporated Decision ................................................ #17 (Apr 25) 4429 Decision ............................................ #50 (Dec. 12) 11792 MethylGene Inc. Decision – s. 1(10) ............................... #32 (Aug. 8) 7967 Metro Inc. Order – s. 104(2)(c) ............................... #10 (Mar 7) 2311 Order – s. 104(2)(c) ............................... #10 (Mar 7) 2314 Order – s. 104(2)(c) .............................. #18 (May 2) 4598 Metron Capital Corp. Cease Trading Order ......................... #43 (Oct. 24) 10339 Cease Trading Order .......................... #45 (Nov. 7) 10693 MFDA – Proposed Amendments to MFDA By-Law No. 1 (Definitions), MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 – Minimum Standards for Account Supervision SROs ........................................................ #1 (Jan. 4) 483 MFDA – Proposed Amendments to MFDA By-Law No. 1 SROs ................................................... #30 (July 25) 7595 MFDA – Proposed Amendments to MFDA By-law No. 1, MFDA Rule 2.5.5. and MFDA Policy No. 2 Regarding Minimum Standards for Account Supervision SROs ................................................. #37 (Sept. 12) 9083 MFDA Housekeeping Amendments to Form 1 – Financial Questionnaire and Report (IFRS) SROs ..................................................... #5 (Jan 31) 1379 MFDA Investor Protection Corporation (“MFDA IPC”) – Amendments to Agreement between MFDA IPC and the Mutual Fund Dealers Association of Canada (“MFDA”) (“The Services Agreement”) SROs ................................................... #29 (July 18) 7327 MFDA Oversight Review Report News Release ...................................... #17 (Apr 25) 4399 MFDA Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans) SROs ................................................. #41 (Oct. 10) 10006 MFS Investment Management Canada Limited / MFS Gestion de Placements Canada Limitee Name Change .................................... #45 (Nov. 7) 10755 MFS McLean Budden Limited Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Name Change .................................... #45 (Nov. 7) 10755



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mHealth Capital Corp. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 MHG Holdings Limited Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 MI 13-102 System Fees for SEDAR and NRD Rules and Policies .............................. #29 (July 18) 7217 Notice .................................................... #40 (Oct. 3) 9502 Rules and Policies ................................ #40 (Oct. 3) 9601 MI 62-104 Take-Over Bids and Issuer Bids News Release ..................................... #11 (Mar 14) 2548 Request for Comments ....................... #11 (Mar 14) 2675 MI Capital Corporation Notice of Hearing .................................. #8 (Feb 21) 1850 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1856 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – Rule 11 of the OSC Rules of Procedure ............................... #10 (Mar 7) 2318 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3450 Order – ss. 127(1), 127(10) .................... #14 (Apr 4) 3479 OSC Reasons (Sanctions) ..................... #14 (Apr 4) 3616 Middlefield Can-Global REIT Income Fund Decision ................................................ #7 (Feb 14) 1664 Middlefield Limited New Registration .................................. #31 (Aug. 1) 7891 Miller, Howard Jeffrey Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1033 Order – Rule 6 of the OSC Rules of Procedure ...................... #4 (Jan. 24) 1058 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3832 Order – Rule 9 of the OSC Rules of Procedure ..................... #15 (Apr 11) 3880 Notice from the Office of the Secretary ................................... #29 (July 18) 7153 Order – Rules 3, 9 and 6 of the OSC Rules of Procedure .................... #29 (July 18) 7201 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7616 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7818 Order – Rule 3 of the OSC Rules of Procedure ..................... #31 (Aug. 1) 7760 Order – Rules 1.6(2), 3, 6 and 9 of the OSC Rules of Procedure ............ #31 (Aug. 1) 7766

Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Order ................................................ #48 (Nov. 28) 11379 Miller, Marshall OSC Reasons .................................. #24 (June 13) 5986 Mineral Deposits Limited Decision ............................................ #46 (Nov. 14) 10848 Minor, Michael Wallace Notice of Hearing – ss. 127(1), 127(10) ....................... #51 (Dec. 19) 12033 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12046 Mint Technology Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #20 (May 16) 5120 Cease Trading Order .......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5518 Cease Trading Order ........................... #23 (June 6) 5721 Cease Trading Order ......................... #24 (June 13) 5999 Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ......................... #26 (June 27) 6519 Mirabela Nickel Limited Cease Trading Orders ........................ #49 (Dec. 5) 11665 Cease Trading Order ........................ #51 (Dec. 19) 12171 Mitschele, Frederick Lawrence Notice of Hearing – ss. 127(1), 127(10) ....................... #51 (Dec. 19) 12033 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12046 Mitsubishi UFJ Securities (USA), Inc. Decision ................................................. #27 (July 4) 6700 Mitton, Michael Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1032 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #4 (Jan. 24) 1051 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), 127(7), 127(8) ......... #9 (Feb 28) 2052 Notice of Withdrawal ........................... #11 (Mar 14) 2543 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2575 MMCAP Management Inc. New Registration ............................... #42 (Oct. 17) 10261 Modernization of Investment Fund Product Regulation (Phase 2) News Release ..................................... #13 (Mar 28) 3101 Moloney, Brian Patrick Order ....................................................... #6 (Feb 7) 1442 OSC Reasons ......................................... #6 (Feb 7) 1464


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Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Molycorp Minerals Canada ULC Decision ............................................... #15 (Apr 11) 3847 Moncasa Capital Corporation Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1208 Order – ss. 127, 127.1 ........................... #5 (Jan 31) 1222 Notice from the Office of the Secretary ................................... #21 (May 23) 5288 Order – ss. 127(1) and 127.1 .............. #21 (May 23) 5312 OSC Reasons .................................... #21 (May 23) 5320 Money Plus Notice of Hearing – ss. 60, 60.1 of the CFA ................................................... #1 (Jan. 4) 12 Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 20 Order – s. 60 of the CFA ....................... #7 (Feb 14) 1677 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1650 Notice of Hearing – Rule 6.7 of the OSC Rules of Procedure ...................... #18 (May 2) 4568 Notice from the Office of the Secretary ..................................... #18 (May 2) 4574 Notice from the Office of the Secretary ..................................... #27 (July 4) 6676 Order – s. 60 of the CFA and Rule 3 and Rule 4.3(2) of the OSC Rules of Procedure ...................... #27 (July 4) 6727 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8688 Order ................................................... #36 (Sept. 5) 8718 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9565 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10430 OSC Reasons ................................... #44 (Oct. 31) 10485 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10619 Order – Rule 6.7 of the OSC Rules of Procedure ............................ #45 (Nov. 7) 10677 Montag Wealth Management Inc. New Registration .................................. #15 (Apr 11) 4091 Montecassino Management Corporation Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #12 (Mar 21) 2919 Monteith, Joseph Order – s. 144 ................................... #44 (Oct. 31) 10450 Monteith, Sonia Order – s. 144 ................................... #44 (Oct. 31) 10450

Moore, Richard Bruce Notice of Hearing and Statement of Allegations– ss. 127, 127.1 .............. #16 (Apr 18) 4182 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4189 News Release ...................................... #17 (Apr 25) 4398 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4404 Order – ss. 127, 127.1 of the Act and Rule 12 of the OSC Rules of Procedure ............................... #17 (Apr 25) 4440 Settlement Agreement .......................... #17 (Apr 25) 4455 Morgan Dragon Development Corp. Order – s. 127 ........................................ #3 (Jan. 17) 817 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2033 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – s. 127 ....................................... #10 (Mar 7) 2317 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3109 Order ................................................... #13 (Mar 28) 3166 Notice of Hearing – ss. 127(1), 127.1 of the Act and Rule 12 of the OSC Rules of Procedure ............ #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4186 Order – Rules 1.7.4 and 11 of the OSC Rules of Procedure ............ #16 (Apr 18) 4211 Order .................................................... #16 (Apr 18) 4212 Settlement Agreement .......................... #16 (Apr 18) 4233 Morgan Stanley & Co. LLC Decision ............................................... #28 (July 11) 6941 Morguard Financial Corp. Change in Registration Category ....... #22 (May 30) 5623 Morguard North American Residential Real Estate Investment Trust Decision .............................................. #33 (Aug. 15) 8171 Morneau Shepell Asset & Risk Management Ltd. Decision ............................................... #36 (Sept. 5) 8696 Morneau Shepell Ltd. Decision ............................................... #36 (Sept. 5) 8696 Morningside Capital Corp. Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9564 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10329



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Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10779 Order ................................................ #46 (Nov. 14) 10871 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11784 Order ................................................ #50 (Dec. 12) 11825 MountainStar Gold Inc. Cease Trading Order ............................ #40 (Oct. 3) 9599 Cease Trading Order ........................ #42 (Oct. 17) 10089 MRS Sciences Inc. Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9564 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10329 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10779 Order ................................................ #46 (Nov. 14) 10871 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11784 Order ................................................ #50 (Dec. 12) 11825 Multilateral CSA Staff Notice 51-338 – Continuous Disclosure and Prospectus Requirements Relating to Documents Prepared under the U.S. Securities and Exchange Act of 1934 Notice .................................................... #10 (Mar 7) 2243 MY Capital Management Corp. New Registration ................................... #7 (Feb 14) 1693 Nanotech Industries Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ........................ #1 (Jan. 4) 89 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1035 Order ..................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ..................... #16 (Apr 18) 4227 Notice from the Office of the Secretary ................................... #22 (May 30) 5490 Order ................................................... #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons (Reasons and Decision) – s. 127 .............................. #33 (Aug. 15) 8202 Natcan Investment Management Inc. / Gestion de portefeuille Natcan Inc. Change in Registration Category .......... #4 (Jan. 24) 1185

National Bank Direct Brokerage Inc. Decision ................................................ #31 (Aug. 1) 7729 National Bank Financial Inc. Decision ................................................ #15 (Apr 11) 3867 Decision ................................................. #27 (July 4) 6700 Decision ................................................ #31 (Aug. 1) 7729 National Bank Financial Ltd. Decision ................................................ #31 (Aug. 1) 7724 National Bank Securities Inc. Decision .............................................. #45 (Nov. 7) 10625 National Bank Securities Inc./Placements Banque Nationale Inc. Change in Registration Category ......... #4 (Jan. 24) 1185 National Bank Trust Inc. Decision ................................................ #19 (May 9) 4774 National Bank Trust Inc./Trust Banque Nationale Inc. Change in Registration Category ......... #4 (Jan. 24) 1185 National Registration Database News Release .................................. #47 (Nov. 21) 11206 Natixis Securities Americas LLC Decision ................................................. #27 (July 4) 6700 NAV Canada Decision ...................................................... #1 (Jan. 4) 48 Decision .............................................. #20 (May 16) 5060 Navroc Investment Management Inc. New Registration ................................. #30 (July 25) 7593 NBCN Inc. Decision ................................................ #31 (Aug. 1) 7724 NCP Northland Capital Partners Inc. Amalgamation ........................................ #3 (Jan. 17) 961 NEI Ethical Growth Fund Decision ............................................. #24 (June 13) 5936 NEI Ethical Select Global Balanced Portfolio Decision ............................................. #24 (June 13) 5936 NEI Ethical Select Global Growth Portfolio Decision ............................................. #24 (June 13) 5936 NEI Global Total Return Bond Fund Decision ................................................. #40 (Oct. 3) 9538 NEI Northwest Specialty Growth Fund Inc. Decision ............................................. #24 (June 13) 5936 NEI Select Canadian Growth Corporate Class Portfolio Decision ............................................. #24 (June 13) 5936


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NEI Select Global Balanced Corporate Class Portfolio Decision ............................................. #24 (June 13) 5936 Nelson Portfolio Management Corp. New Registration .................................. #32 (Aug. 8) 8117 Nemy, Robert Notice from the Office of the Secretary ................................... #30 (July 25) 7370 OSC Reasons – ss. 8(3), 27.1 ........... #30 (July 25) 7492 Neo Material Technologies Inc. Decision ............................................... #15 (Apr 11) 3847 Nest Acquisitions and Mergers Notice from the Office of the Secretary ..................................... #18 (May 2) 4581 Order– ss. 37, 127, 127.1 ..................... #18 (May 2) 4618 OSC Reasons –s. 127 .......................... #18 (May 2) 4628 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 Order ..................................................... #27 (July 4) 6727 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Decision and Order – ss. 37, 127, 127.1 ............................ #31 (Aug. 1) 7624 New Found Freedom Financial Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), 127.1 ...................... #27 (July 4) 6731 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ......................... #27 (July 4) 6758 New Futures Trading International Corporation Notice of Hearing and Statement of Allegations– ss. 127(1), 127(10) ..... #13 (Mar 28) 3075 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3106 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Order – Rules 1.5.3 and 11 of the OSC Rules of Procedure ................ #15 (Apr 11) 3896 OSC Reasons ...................................... #15 (Apr 11) 3925 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4404 Order – Rule 1.5.3 of the OSC Rules of Procedure ..................... #17 (Apr 25) 4445 Notice from the Office of the Secretary .................................... #23 (June 6) 5663 Order – ss. 127(1), 127(10) .................. #23 (June 6) 5706 OSC Reasons – ss. 127(1), 127(10) ........................... #23 (June 6) 5713 New Gold Limited Partnerships Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061

Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 New Hudson Television Corporation Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 23 Temporary Order – ss. 127(1), 127(8) ................................. #1 (Jan. 4) 143 Notice from the Office of the Secretary ................................. #25 (June 20) 6215 Order – ss. 127(1)(8) ......................... #25 (June 20) 6240 Notice of Hearing – ss. 127, 127.1 ................................. #43 (Oct. 24) 10276 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10287 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10430 Notice from the Office of the Secretary and Amended Statement of Allegations.................... #44 (Oct. 31) 10431 Temporary Order – ss. 127(1), 127(8) .......................... #44 (Oct. 31) 10453 Order – s. 127 ................................... #44 (Oct. 31) 10455 Settlement Agreement ....................... #44 (Oct. 31) 10493 New Hudson Television L.L.C. Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 23 Temporary Order – ss. 127(1), 127(8) ................................. #1 (Jan. 4) 143 Notice from the Office of the Secretary ................................. #25 (June 20) 6215 Order – ss. 127(1)(8) ......................... #25 (June 20) 6240 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10430 Notice from the Office of the Secretary and Amended Statement of Allegations.................... #44 (Oct. 31) 10431 Temporary Order – ss. 127(1), 127(8) .......................... #44 (Oct. 31) 10453 Order – s. 127 ................................... #44 (Oct. 31) 10455 Settlement Agreement ....................... #44 (Oct. 31) 10493 New Hudson Television LLC Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 23 Order – s. 127 .......................................... #1 (Jan. 4) 142



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Notice from the Office of the Secretary ................................... #11 (Mar 14) 2552 Order – s. 127 ..................................... #11 (Mar 14) 2579 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4190 Order – s. 127 ...................................... #16 (Apr 18) 4224 Notice from the Office of the Secretary .................................. #24 (June 13) 5930 Order– s. 127 ..................................... #24 (June 13) 5962 Notice of Hearing – ss. 127, 127.1 ................................ #43 (Oct. 24) 10276 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10287 New Moon Minerals Corp. Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ............................ #27 (July 4) 6769 Order – s. 144 ...................................... #31 (Aug. 1) 7763 Cease Trading Order ........................... #31 (Aug. 1) 7811 New Sage Energy Corp. Cease Trading Order ......................... #33 (Aug. 15) 8227 Cease Trading Order ......................... #34 (Aug. 22) 8383 New Solutions Capital Inc. Notice of Hearing and Statement of Allegations – ss. 127, 127.1 ............. #15 (Apr 11) 3823 Notice of Hearing – s. 127.................... #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3830 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – s. 127 ...................................... #16 (Apr 18) 4229 Settlement Agreement ......................... #16 (Apr 18) 4277 Notice from the Office of the Secretary ..................................... #19 (May 9) 4753 Order – ss. 127, 127.1 .......................... #19 (May 9) 4791 Notice from the Office of the Secretary ................................... #20 (May 16) 5046 Order – ss. 127(1), 127(7), 127(8) ...... #20 (May 16) 5092 Notice from the Office of the Secretary .................................... #32 (Aug. 8) 7922 Order – ss. 127 and 127.1 ................... #32 (Aug. 8) 7969 New Solutions Financial (II) Corporation Notice of Hearing and Statement of Allegations – ss. 127, 127.1 ............. #15 (Apr 11) 3823 Notice of Hearing – s. 127.................... #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3830 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – s. 127 ...................................... #16 (Apr 18) 4229 Settlement Agreement ......................... #16 (Apr 18) 4277 Notice from the Office of the Secretary ..................................... #19 (May 9) 4753 Order – ss. 127, 127.1 .......................... #19 (May 9) 4791

Notice from the Office of the Secretary .................................. #20 (May 16) 5046 Order – ss. 127(1), 127(7), 127(8) ...... #20 (May 16) 5092 Notice from the Office of the Secretary .................................... #32 (Aug. 8) 7922 Order – ss. 127 and 127.1 .................... #32 (Aug. 8) 7969 New Solutions Financial Corporation Notice of Hearing and Statement of Allegations – ss. 127, 127.1 ............. #15 (Apr 11) 3823 Notice of Hearing – s. 127 .................... #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3830 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – s. 127 ...................................... #16 (Apr 18) 4229 Settlement Agreement .......................... #16 (Apr 18) 4277 Notice from the Office of the Secretary .................................... #19 (May 9) 4753 Order – ss. 127, 127.1 .......................... #19 (May 9) 4791 Notice from the Office of the Secretary .................................. #20 (May 16) 5046 Order – ss. 127(1), 127(7), 127(8) ...... #20 (May 16) 5092 Notice from the Office of the Secretary .................................... #32 (Aug. 8) 7922 Order – ss. 127 and 127.1 .................... #32 (Aug. 8) 7969 New York Mercantile Exchange, Inc. Marketplaces ...................................... #34 (Aug. 22) 8477 Order – s. 147 of the Act and ss. 38, 80 of the CFA .................. #44 (Oct. 31) 10472 Marketplaces ..................................... #44 (Oct. 31) 10588 Newedge USA, LLC Ruling and Exemption – s. 38 of the Act and s. 6.1 of Rule 91-502 Trades in Recognized Options ............ #11 (Mar 14) 2600 Newer Technologies Limited Order – ss. 127(1), 127.1 ....................... #3 (Jan. 17) 818 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2886 Order – ss. 127(1), 127.1 .................... #12 (Mar 21) 2912 Notice from the Office of the Secretary ................................... #29 (July 18) 7151 Order – ss. 127(1), 127.1 .................... #29 (July 18) 7195 NewGen Asset Management Limited Approval – s. 213(3)(b) of the LTCA ............................................ #2 (Jan. 10) 745 Nexen Inc. Decision ................................................ #18 (May 2) 4584 NexGen Canadian Balanced Growth Registered Fund Decision ............................................. #39 (Sept. 26) 9321


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NexGen Canadian Balanced Growth Tax Managed Fund Decision ............................................ #39 (Sept. 26) 9321 Nexgen Financial Limited Partnership Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Decision ............................................ #39 (Sept. 26) 9321 NexGen Global Resource Registered Fund Decision ............................................ #39 (Sept. 26) 9321 NexGen Global Resource Tax Managed Fund Decision ............................................ #39 (Sept. 26) 9321 NexGen Global Value Registered Fund Decision ............................................ #39 (Sept. 26) 9321 NexGen Global Value Tax Managed Fund Decision ............................................ #39 (Sept. 26) 9321 NI 13-101 System for Electronic Document Analysis and Retrieval (SEDAR) Request for Comments ......................... #4 (Jan. 24) 1081 Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4940 Notice of Correction ............................ #20 (May 16) 5045 Notice ................................................. #35 (Aug. 29) 8488 Rules and Policies ............................. #35 (Aug. 29) 8569 Notice .................................................... #40 (Oct. 3) 9502 Rules and Policies ................................ #40 (Oct. 3) 9601 NI 13-102 System Fees for SEDAR and NRD Request for Comments ......................... #4 (Jan. 24) 1081 NI 23-103 Electronic Trading and Direct Electronic Access to Marketplaces News Release ..................................... #28 (July 11) 6935 Notice .................................................. #36 (Sept. 5) 8681 Rules and Policies .............................. #36 (Sept. 5) 8833 NI 23-103 Electronic Trading Rules and Policies ................................ #27 (July 4) 6771 News Release ..................................... #28 (July 11) 6935 Notice .................................................. #36 (Sept. 5) 8681 Rules and Policies .............................. #36 (Sept. 5) 8833 NI 25-101 Designated Rating Organizations Rules and Policies .............................. #11 (Mar 14) 2619 Notice .................................................. #21 (May 23) 5271 NI 31-102 National Registration Database Request for Comments ......................... #4 (Jan. 24) 1081 Notice ................................................. #35 (Aug. 29) 8488 Rules and Policies ............................. #35 (Aug. 29) 8569 Notice .................................................... #40 (Oct. 3) 9502 Rules and Policies ................................ #40 (Oct. 3) 9601

NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Rules and Policies ............................... #11 (Mar 14) 2619 Rules and Policies ............................... #13 (Mar 28) 3173 News Release ........................................ #14 (Apr 4) 3443 Notice .................................................. #23 (June 6) 5654 Rules and Policies ............................... #23 (June 6) 5723 News Release ..................................... #29 (July 18) 7145 News Release .................................... #49 (Dec. 5) 11558 Rules and Policies ............................ #51 (Dec. 19) 12173 NI 33-105 Underwriting Conflicts News Release .................................. #48 (Nov. 28) 11349 Request for Comments..................... #48 (Nov. 28) 11399 Notice of Correction ........................... #49 (Dec. 5) 11544 NI 41-101 General Prospectus Requirements News Release ....................................... #10 (Mar 7) 2248 Rules and Policies ............................... #11 (Mar 14) 2619 Notice ................................................... #19 (May 9) 4745 Notice ................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4884 Rules and Policies ................................ #19 (May 9) 4817 Notice of Correction ............................ #20 (May 16) 5045 News Release .................................... #22 (May 30) 5487 Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ................................ #32 (Aug. 8) 7977 Rules and Policies ............................. #42 (Oct. 17) 10147 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12203 NI 44-101 Short Form Prospectus Distributions Rules and Policies ............................... #11 (Mar 14) 2619 Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ................................ #32 (Aug. 8) 8018 Notice ................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4917 Notice of Correction ............................ #20 (May 16) 5045 NI 44-102 Shelf Distributions News Release ....................................... #10 (Mar 7) 2248 Rules and Policies ............................... #11 (Mar 14) 2619 Notice ................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4927 Notice of Correction ............................ #20 (May 16) 5045 Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ................................ #32 (Aug. 8) 8028 NI 44-103 Post-Receipt Pricing Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ................................ #32 (Aug. 8) 8034 NI 45-106 Prospectus and Registration Exemptions Rules and Policies ............................... #11 (Mar 14) 2619 Request for Comments......................... #17 (Apr 25) 4465 News Release ...................................... #18 (May 2) 4569 NI 51-101 Standards of Disclosure for Oil and Gas Activities Rules and Policies ............................. #42 (Oct. 17) 10091 News Release ................................... #43 (Oct. 24) 10282



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NI 51-102 Continuous Disclosure Obligations Rules and Policies .............................. #11 (Mar 14) 2619 Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4939 Notice of Correction ............................ #20 (May 16) 5045 Rules and Policies ............................ #42 (Oct. 17) 10147 NI 52-107 Acceptable Accounting Principles and Auditing Standards Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4935 Notice of Correction ............................ #20 (May 16) 5045 NI 52-108 Auditor Oversight Rules and Policies ............................ #42 (Oct. 17) 10147 News Release ................................... #43 (Oct. 24) 10284 NI 55-102 System for Electronic Disclosure by Insiders (SEDI) Request for Comments ......................... #4 (Jan. 24) 1081 Notice ................................................. #35 (Aug. 29) 8488 Rules and Policies ............................. #35 (Aug. 29) 8569 Notice .................................................... #40 (Oct. 3) 9502 Rules and Policies ................................ #40 (Oct. 3) 9601 NI 62-103 Early Warning System and Related Take-Over Bid and Insider Reporting Issues News Release ..................................... #11 (Mar 14) 2548 Request for Comments ....................... #11 (Mar 14) 2675 NI 62-105 Security Holder Rights Plans Request for Comments ....................... #11 (Mar 14) 2643 News Release ..................................... #12 (Mar 21) 2874 NI 71-102 Continuous and Other Exemptions Relating to Foreign Issuers Rules and Policies ............................ #42 (Oct. 17) 10147 NI 81-101 Mutual Fund Prospectus Disclosure News Release ....................................... #10 (Mar 7) 2248 Rules and Policies .............................. #11 (Mar 14) 2619 News Release ....................................... #10 (Mar 7) 2248 Notice ................................................... #31 (Aug. 1) 7609 Rules and Policies ............................... #31 (Aug. 1) 7813 Notice .................................................... #19 (May 9) 4747 Rules and Policies ................................ #19 (May 9) 4929 Notice of Correction ............................ #20 (May 16) 5045 News Release .................................... #24 (June 13) 5921 Rules and Policies ............................. #24 (June 13) 6001 News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................ #40 (Oct. 3) 9612 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ........................... #51 (Dec. 19) 12204 NI 81-102 Mutual Funds Rules and Policies .............................. #11 (Mar 14) 2619 News Release ..................................... #13 (Mar 28) 3101 Notice ................................................... #31 (Aug. 1) 7609 Rules and Policies ............................... #31 (Aug. 1) 7827 News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................ #40 (Oct. 3) 9612

Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12206 NI 81-104 Commodity Pools News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................. #40 (Oct. 3) 9612 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12207 NI 81-106 Investment Fund Continuous Disclosure Rules and Policies ............................... #11 (Mar 14) 2619 News Release ....................................... #40 (Oct. 3) 9511 Rules and Policies ................................. #40 (Oct. 3) 9612 Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12189 Nicola Wealth Management Ltd. Change in Registration Category ............ #6 (Feb 7) 1581 Nielsen, Frederick Johnathon Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3449 Order – ss. 127(1), 127(10) .................... #14 (Apr 4) 3478 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ............................. #14 (Apr 4) 3600 No Contest Settlements and the SEC’s Recent Experience: Implications for Ontario Notices .............................................. #24 (June 13) 5899 Noble Bay Asset Management Inc. New Registration ................................. #28 (July 11) 7095 Nomura Canada Inc. Voluntary Surrender of Registration ...................................... #18 (May 2) 4729 Nomura Securities International, Inc. Decision ................................................. #27 (July 4) 6710 NorRock Asset Management Ltd. Name Change .......................................... #1 (Jan. 4) 481 NorRock Realty Management Services Ltd. Name Change .......................................... #1 (Jan. 4) 481 Nortel Networks Corporation Cease Trading Order ................................ #1 (Jan. 4) 235 Nortel Networks Limited Cease Trading Order ................................ #1 (Jan. 4) 235 North American Capital Inc. Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12045 Order – ss. 127, 127.1 ...................... #51 (Dec. 19) 12080 OSC Reasons – s. 127 ..................... #51 (Dec. 19) 12095


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North American Financial Group Inc. Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12045 Order – ss. 127, 127.1 ..................... #51 (Dec. 19) 12080 OSC Reasons – s. 127 .................... #51 (Dec. 19) 12095 North Halton Golf & Country Club Order – ss. 74(1) .................................... #14 (Apr 4) 3495 Northern Lights Resources Corp. Cease Trading Orders ...................... #38 (Sept. 19) 9169 Cease Trading Order ........................ #39 (Sept. 26) 9397 Northern Securities Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 20 Order – s. 21.7 and 8 ................................ #1 (Jan. 4) 136 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1651 Notice of Hearing .................................. #7 (Feb 14) 1646 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2000 Order – ss. 21.7, 8 ................................ #9 (Feb 28) 2044 Suspension pursuant to Section 29(1) of the Securities Act ................... #13 (Mar 28) 3399 Northern Sun Exploration Company Inc. Order – s. 144 ..................................... #30 (July 25) 7415 Cease Trading Order .......................... #30 (July 25) 7515 Northland Resources S.A. Cease Trading Order ........................... #16 (Apr 18) 4285 Cease Trading Order ........................... #17 (Apr 25) 4463 Cease Trading Order ............................ #18 (May 2) 4649 Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order .......................... #20 (May 16) 5120 Cease Trading Order .......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5518 Cease Trading Order ........................... #23 (June 6) 5721 Cease Trading Order ......................... #24 (June 13) 5999 Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ....................... #48 (Nov. 28) 11397 Cease Trading Order ...................... #50 (Dec. 12) 11847. Cease Trading Order ......................... #49 (Dec. 5) 11665 Northwest & Ethical Investments L.P. Decision ................................................ #7 (Feb 14) 1656 Decision ............................................. #24 (June 13) 5936 Decision ................................................ #40 (Oct. 3) 9538 Northwest Macro Canadian Asset Allocation Fund Decision ................................................ #7 (Feb 14) 1656 Northwest Macro Canadian Equity Fund Decision ................................................ #7 (Feb 14) 1656 Northwest Specialty Innovations Fund Decision ................................................ #7 (Feb 14) 1656

Notice from the Office of the Secretary ................................... #11 (Mar 14) 2553 Order ................................................... #11 (Mar 14) 2581 Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Notice from the Office of the Secretary .................................. #20 (May 16) 5047 Order .................................................. #20 (May 16) 5096 Notice from the Office of the Secretary ................................... #30 (July 25) 7369 Order ................................................... #30 (July 25) 7414 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8494 Order .................................................. #35 (Aug. 29) 8552 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9313 Order ................................................. #39 (Sept. 26) 9345 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10437 Order ................................................ #44 (Oct. 31) 10469 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11560 Order .................................................. #49 (Dec. 5) 11590 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1651 Notice of Agreement among certain provincial securities regulators in support of the outsourcing and management of the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), the National Registration Database (NRD), and certain other Nationally Shared Information Technology Systems that Serve Securities Regulatory Purposes and Functions (CSA National Systems) Notice ................................................... #16 (Apr 18) 4148 Notice ................................................ #25 (June 20) 6210 Notice of Agreement among certain provincial securities regulators in respect of the ownership and licensing of the intellectual property comprising the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI), and the National Registration Database (NRD) (CSA National Systems) Notice ................................................... #16 (Apr 18) 4163 Notice ................................................ #25 (June 20) 6211



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Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) Notice ................................................... #16 (Apr 18) 4174 Notice ................................................. #25 (June 20) 6212 Notice of Agreement among certain provincial securities regulators with respect to the administration and application of surplus funds generated by the operation of the System for Electronic Document Analysis and Retrieval (SEDAR) and the System for Electronic Disclosure by Insiders (SEDI) Notice ................................................... #16 (Apr 18) 4178 Notice ................................................. #25 (June 20) 6213 Notice of Approval – Variation and Restatement of the Recognition Order of the Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. Clearing Agencies ..................................... #1 (Jan. 4) 498 Notice of Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Regulated Entities – Bank of England Notice .................................................. #28 (July 11) 6918 Notice of Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Regulated Entities – U.K. Financial Conduct Authority Notice .................................................. #28 (July 11) 6926 Nott, Kenneth Notice from the Office of the Secretary ................................... #30 (July 25) 7370 OSC Reasons – ss. 8(3), 27.1 ........... #30 (July 25) 7492 NOVA Chemicals Corporation Decision .............................................. #11 (Mar 14) 2569 Novak, Radoslav News Release ..................................... #11 (Mar 14) 2550 Novak, Roman News Release ..................................... #11 (Mar 14) 2550 Noveko International Inc. Cease Trading Order .......................... #41 (Oct. 10) 9861 Cease Trading Order ........................ #42 (Oct. 17) 10089 Noventa Limited Order ..................................................... #9 (Feb 28) 2049 Novielli, Lee Order ....................................................... #6 (Feb 7) 1442 OSC Reasons ......................................... #6 (Feb 7) 1464 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421

Novielli, Lino Order ....................................................... #6 (Feb 7) 1442 OSC Reasons ......................................... #6 (Feb 7) 1464 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Novielli, Zaida Order ....................................................... #6 (Feb 7) 1442 OSC Reasons ......................................... #6 (Feb 7) 1464 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 NP 41-201 Income Trusts and Other Indirect Offerings Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ................................ #32 (Aug. 8) 8016 NP 47-201 Trading Securities Using the Internet and Other Electronic Means Notice ................................................... #32 (Aug. 8) 7908 Rules and Policies ................................ #32 (Aug. 8) 8040 NP 51-201 Disclosure Standards Rules and Policies ............................... #11 (Mar 14) 2619 NP 62-203 Take-Over Bids and Issuer Bids News Release ..................................... #11 (Mar 14) 2548 Request for Comments........................ #11 (Mar 14) 2675 NT Global Advisors, Inc. Change in Registration Category ........ #23 (June 6) 5879 NutriOne Corporation Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Nuveen Asset Management LLP – Order –Commodity Futures Act, s. 80 ........................................... #24 (June 13) 5968 NYLCAP Canada GenPar Inc. New Registration ................................ #21 (May 23) 5471 O’Brien, David M. Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2261 Order – s. 9(1) of the SPPA and Rules 5.2(1), 8.1 of the OSC Rules of Procedure ................................ #10 (Mar 7) 2304 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3106 Order – s. 9(1) of the SPPA and Rules 5.2(1) and 8.1 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3163 Notice from the Office of the Secretary ................................... #30 (July 25) 7372 Order – s. 9(10 of the SPPA and Rules 5.2(1), 8.1 of the OSC Rules of Procedure .............................. #30 (July 25) 7430


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Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9728 Order – s. 9(1) of the SPPA and Rules 5.2(1), 8.1 of the OSC Rules of Procedure ............................. #41 (Oct. 10) 9770 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12045 Order – s. 9(1) of the SPPA and Rules 8.1, 5.2(1) of the OSC Rules of Procedure .......................... #51 (Dec. 19) 12076 O’Brien, Eric Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 21 Order – ss. 127(1), 127(10) ....................... #1 (Jan. 4) 138 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ................................ #1 (Jan. 4) 191 O’Leary Funds Management L.P. Decision ............................................... #31 (Aug. 1) 7631 Decision ............................................ #43 (Oct. 24) 10303 O’Leary Global Bond Yield Advantaged Fund Decision ............................................ #43 (Oct. 24) 10303 O’Leary Strategic Yield Advantaged Class Decision ............................................... #31 (Aug. 1) 7631 O’Leary Strategic Yield Plus Fund Decision ............................................... #31 (Aug. 1) 7631 OceanRock Canadian Equity Fund Decision ................................................. #14 (Apr 4) 3463 OceanRock Growth & Income Portfolio Decision ................................................. #14 (Apr 4) 3463 OceanRock Growth Portfolio Decision ................................................. #14 (Apr 4) 3463 OceanRock Income & Growth Portfolio Decision ................................................. #14 (Apr 4) 3463 OceanRock Income Portfolio Decision ................................................. #14 (Apr 4) 3463 OceanRock International Equity Fund Decision ................................................. #14 (Apr 4) 3463 OceanRock Investments Inc. Change in Registration Category ............ #6 (Feb 7) 1581 Decision ................................................. #14 (Apr 4) 3463 OceanRock Maximum Growth Portfolio Decision ................................................. #14 (Apr 4) 3463 OceanRock U.S. Equity Fund Decision ................................................. #14 (Apr 4) 3463

Offshore Oil Vessel Supply Services LP Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Notice of Hearing– ss. 127(1), (2), (5) ..... #6 (Feb 7) 1417 Temporary Order ................................... #7 (Feb 14) 1671 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing ................................... #8 (Feb 21) 1853 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), (7) and (8) ............... #9 (Feb 28) 2045 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2554 Order – ss. 127(1), 127(7), 127(8) ....... #11 (Mar 14) 2584 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3455 Order ...................................................... #14 (Apr 4) 3490 Notice from the Office of the Secretary ................................. #21 (May 23) 5277 Order– ss. 127(1) and (8) ................... #21 (May 23) 5306 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8335 Order – ss. 127(1), 127(8) .................. #34 (Aug. 22) 8377 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9312 Order – ss. 127(1), 127(8) ................. #39 (Sept. 26) 9342 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11782 Order – ss. 127(1) and (8) ................ #50 (Dec. 12) 11817 OFM Funds Group Inc. Voluntary Surrender of Registration ...................................... #17 (Apr 25) 4555 Oldfield Partners LLP New Registration ................................. #13 (Mar 28) 3399 Oliveira, Antonio Carlos Neto David Notice of Hearing .................................. #4 (Jan. 24) 1028 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1031 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1036 Notice of Withdrawal ............................. #5 (Jan 31) 1205 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1205 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1206 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1207 Order – s. 127 ....................................... #5 (Jan 31) 1218 Order ........................................... #5 (Jan 31) 1220, 1221 Settlement Agreement ........................... #5 (Jan 31) 1231 Settlement Agreement ........................... #5 (Jan 31) 1237



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Oliver, Matthew Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 Olivut Resources Ltd. Decision ............................................... #15 (Apr 11) 3839 Omega ATS – Notice of Commission Approval of Proposed Changes and Notice of Withdrawal of Proposed Order Types Marketplaces ......................................... #9 (Feb 28) 2030 Omega Securities Inc. Order – s. 15.1 of NI 21-101 Marketplace Operation ...... #41 (Oct. 10) 9786. Clearing Agencies ............................ #50 (Dec. 12) 11974 OMERS Administration Corporation Decision .................................................. #6 (Feb 7) 1424 Ruling – s. 74(1) ...................................... #6 (Feb 7) 1445 OMERS Investment Management Inc. Decision .................................................. #6 (Feb 7) 1424 One Capital Corp. Limited Notice of Hearing .................................. #8 (Feb 21) 1850 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1856 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – Rule 11 of the OSC Rules of Procedure ............................... #10 (Mar 7) 2318 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3450 Order – ss. 127(1), 127(10) .................... #14 (Apr 4) 3479 OSC Reasons (Sanctions) ..................... #14 (Apr 4) 3616 OneMove Technologies Inc. Decision – s. 1(10) .............................. #28 (July 11) 6951 ONEnergy inc. Decision ............................................. #34 (Aug. 22) 8365 Onex Credit Partners, LLC Change in Registration Category ....... #24 (June 13) 6169 Onix International Inc. Notice of Hearing – ss. 37, 127, 127.1 ............................ #11 (Mar 14) 2544 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Order – s. 127 ...................................... #15 (Apr 11) 3886 Notice from the Office of the Secretary ................................... #21 (May 23) 5276

Order .................................................. #21 (May 23) 5303 Notice of Hearing – ss. 37, 127 ......... #26 (June 27) 6438 Notice from the Office of the Secretary ................................. #26 (June 27) 6443 Notice from the Office of the Secretary ..................................... #27 (July 4) 6686 Order – ss. 37, 127(1) ........................... #27 (July 4) 6744 Notice from the Office of the Secretary ................................... #30 (July 25) 7366 Order – ss. 37, 127(1) ......................... #30 (July 25) 7404 Settlement Agreement ......................... #30 (July 25) 7439 Online Hearing Inc. Cease Trading Order ............................... #6 (Feb 7) 1479 Cease Trading Order ............................. #8 (Feb 21) 1867 Ontario Securities Commission Assignment – s. 6(3) ........................ #46 (Nov. 14) 10878 Notice ................................................. #49 (Dec. 5) 11537 OPMEDIC Group Inc. Decision – s. 1(10)(a)(ii) ..................... #49 (Dec. 5) 11567 Oramericas Corp. Consent – s. 4(b) of the Regulation .... #49 (Dec. 5) 11753 Oremex Gold Inc. Cease Trading Order .......................... #34 (Aug. 22) 8383 Cease Trading Order .......................... #35 (Aug. 29) 8567 Organic Resource Management Inc. Decision – s. 1(10) ................................. #2 (Jan. 10) 605 Oromin Explorations Ltd. Decision .............................................. #45 (Nov. 7) 10631 OSC – IIROC Market Structure Conference, November 21, 2013 – The Canadian Equity Market: Structural Challenges Amidst Rapid Change News Release .................................. #46 (Nov. 14) 10776 OSC Commissioner Appointments News Releases ..................................... #8 (Feb 21) 1855 OSC Enforcement Activity in 2012 News Release ....................................... #10 (Mar 7) 2251 OSC Exempt Market Review – Investor Roundtable – Backgrounder Notice ................................................. #20 (May 16) 5043 Notice ................................................. #21 (May 23) 5265 Notice .................................................. #23 (June 6) 5645 OSC Investor Advisory Panel Notice – Request for Applications ....... #28 (July 11) 6912 News Release ..................................... #28 (July 11) 6937 OSC INVESTOR ALERT: EquityStar Momentum Growth Fund News Release ..................................... #28 (July 11) 6937


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OSC INVESTOR ALERT: Glendale Growth & Trust and Leonard (Lennie) Goldman News Release .................................. #50 (Dec. 12) 11776 OSC INVESTOR ALERT: Inter Reef Ltd., Roman Novak and Radoslav Novak (doing business as Profitable Sunrise) News Release ..................................... #11 (Mar 14) 2550 OSC INVESTOR ALERT: International Youtrade Investments MA Ltd. and You Trade Holdings Limited News Release ................................... #44 (Oct. 31) 10427 OSC INVESTOR ALERT: Rosswell Group News Release .................................... #49 (Dec. 5) 11554 OSC INVESTOR ALERT: Sterling Grace & Co. Ltd. and Graziana “Grace” Casale News Release .................................. #47 (Nov. 21) 11207 OSC INVESTOR ALERT: SUNS Group News Release ................................... #44 (Oct. 31) 10428 OSC Investor Roundtable – Investing in Start-ups or Small and Medium-sized Companies Notice .................................................. #20 (May 16) 5042 Notice .................................................. #21 (May 23) 5264 Notice ................................................... #23 (June 6) 5664 News Release ................................... #44 (Oct. 31) 10429 OSC Notice 11-766 – Statement of Priorities – Request for Comments Regarding Statement of Priorities for Financial Year to End March 31, 2014 Notice ..................................................... #14 (Apr 4) 3423 OSC Notice 11-768 – Notice of Statement of Priorities for Financial Year to End March 31, 2014 Notices ............................................... #26 (June 27) 6408 Notice of Correction .............................. #27 (July 4) 6663 OSC Notice 45-712 Progress Report on Review of Prospectus Exemptions to Facilitate Capital Raising News Release ..................................... #36 (Sept. 5) 8683 News Release .................................... #49 (Dec. 5) 11556 OSC Policy 11-602 – Guidelines on the Application of the Prohibition Against Orders of General Application to Applications to the OSC for Exemptive Relief (Proposed) Request for Comments .......................... #14 (Apr 4) 3667 OSC Rule 11-501 – Electronic Delivery of Documents to the Ontario Securities Commission Request for Comments ........................ #15 (Apr 11) 3929 Rules and Policies ............................ #44 (Oct. 31) 10503 OSC Rule 13-502 Fees News Release ............................................. #1 (Jan. 4) 16 Notice ..................................................... #5 (Jan 31) 1204 Rules and Policies ................................. #5 (Jan 31) 1247

OSC Rule 13-503 (Commodity Futures Act) Fees News Release ............................................ #1 (Jan. 4) 16 Notice .................................................... #5 (Jan 31) 1204 Rules and Policies ................................. #5 (Jan 31) 1247 OSC Rule 24-503 Clearing Agency Requirements News Release .................................. #51 (Dec. 19) 12043 Request for Comments..................... #51 (Dec. 19) 12209 OSC Rule 31-509 National Registration Database (Commodity Futures Act) Notice ................................................. #35 (Aug. 29) 8488 Rules and Policies .............................. #35 (Aug. 29) 8569 Notice .................................................... #40 (Oct. 3) 9502 Rules and Policies ................................. #40 (Oct. 3) 9601 OSC Rule 45-501 Ontario Prospectus and Registration Exemptions Request for Comments......................... #17 (Apr 25) 4465 News Release ...................................... #18 (May 2) 4569 OSC Rule 81-801 Implementing National Instrument 81-106 Investment Fund Continuous Disclosure Notice ............................................... #51 (Dec. 19) 12014 Rules and Policies ............................ #51 (Dec. 19) 12208 OSC Rule 91-504 Derivatives: Product Determinations Request for Comments........................ #23 (June 6) 5737 OSC Rule 91-505 Trade Repositories Derivatives: Product Determinationss and Derivatives Data Reporting Request for Comments........................ #23 (June 6) 5737 Rules and Policies ............................ #46 (Nov. 14) 11015 OSC Rule 91-506 Derivatives: Product Determinations News Release ................................... #24 (June 13) 5915 Rules and Policies ............................ #46 (Nov. 14) 11015 News Release .................................. #47 (Nov. 21) 11205 News Release .................................. #50 (Dec. 12) 11777 OSC Rule 91-507 Trade Repositories and Derivatives Data Reporting News Release ................................... #24 (June 13) 5915 News Release .................................. #47 (Nov. 21) 11205 News Release .................................. #50 (Dec. 12) 11777 OSC SME Institute Notice ................................................. #20 (May 16) 5042 Notice ................................................. #21 (May 23) 5264 Notice .................................................. #23 (June 6) 5664 News Release ................................... #44 (Oct. 31) 10429 OSC Staff Consultation Paper 58-401 – Disclosure Requirements Regarding Women on Boards and in Senior Management Notice ................................................... #31 (Aug. 1) 7610 News Release ...................................... #31 (Aug. 1) 7614 Notice ................................................ #39 (Sept. 26) 9288 News Release ................................... #39 (Sept. 26) 9300



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OSC Staff Notice 11-737 (Revised) – Securities Advisory Committee – Vacancies Notice ................................................ #43 (Oct. 24) 10274 OSC Staff Notice 11-739 (Revised) – Policy Reformulation Table of Concordance and List of New Instruments Notice ............................................................ #1 (Jan. 4) 9 Notice ................................................... #15 (Apr 11) 3819 Notice .................................................. #28 (July 11) 6915 Notice .................................................... #40 (Oct. 3) 9505 OSC Staff Notice 11-742 (Revised) – Securities Advisory Committee Notice ...................................................... #2 (Jan. 10) 559 Notice ............................................... #50 (Dec. 12) 11775 OSC Staff Notice 15-704 Request for Comments on Proposed Enforcement Initiatives Notice from the Office of the Secretary ..................................... #19 (May 9) 4755 OSC Staff Notice 15-706 Update to OSC Staff Notice 15-704 on Proposed Enforcement Initiatives Notices ............................................... #24 (June 13) 5898 OSC Staff Notice 21-707 – Swap Execution Facilities – Exemptions from Requirement to Register as Exchanges Notice .................................................. #41 (Oct. 10) 9716 OSC Staff Notice 23-702 – Electronic Trading Risk Analysis Update Notice ............................................... #50 (Dec. 12) 11767 News Release .................................. #51 (Dec. 19) 12040 OSC Staff Notice 33-739 – Termination of the Ontario Contingency Trust Fund Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) ....... #12 (Mar 21) 2913 OSC Staff Notice 33-740 – Report on the Results of the 2012 Targeted Review of Portfolio Managers and Exempt Market Dealers to Assess Compliance with the Know-Your-Client, Know-Your-Product and Suitability Obligations Notice ................................................... #23 (June 6) 5647 News Release ...................................... #23 (June 6) 5659 OSC Staff Notice 33-741 – Report on the Results of the Reviews of Capital Markets Participation Fees Notice .................................................. #29 (July 18) 7115 OSC Staff Notice 33-742 – 2013 OSC Annual Summary Report for Dealers, Advisers and Investment Fund Managers Notice ................................................. #45 (Nov. 7) 10599 News Release .................................. #46 (Nov. 14) 10771

OSC Staff Notice 43-705 – Report on Staff’s Review of Technical Reports by Ontario Mining Issuers Notice ................................................ #26 (June 27) 6427 News Release ................................... #26 (June 27) 6427 OSC Staff Notice 45-711 – Extension of Consultation Period – OSC Staff Consultation Paper 45-710 Consideration for New Capital Raising Prospectus Exemptions Notice ................................................... #4 (Jan. 24) 1027 OSC Staff Notice 45-713 – Reports of Exempt Distribution – Compliance with Filing Requirements Notice ............................................... #47 (Nov. 21) 11195 OSC Staff Notice 51-721 – Ontario Securities Commission Forward Looking Disclosure Notices .............................................. #24 (June 13) 5907 OSC Staff Notice 52-271 – Office of the Chief Accountant Financial Reporting Bulletin – September 2013 Notice ................................................ #38 (Sept. 19) 9116 OSC Staff Notice 52-722 – Report on Staff's Review of Non-GAAP Financial Measures and Additional GAAP Measures Notice ............................................... #50 (Dec. 12) 11773 News Release .................................. #50 (Dec. 12) 11781 OSC Staff Notice 54-702 – Corporate Finance Guidance – Notice-and-access: Interaction with National Policy 11-201 Electronic Delivery of Documents and the Ontario Business Corporations Act Staff Notice ........................................... #9 (Feb 28) 1975 OSC Staff Notice 58-701 – Extension of Consultation Period – OSC Staff Consultation Paper 58-401 –Disclosure Requirements Regarding Women on Boards and in Senior Management Notice ................................................ #39 (Sept. 26) 9288 News Release ................................... #39 (Sept. 26) 9300 OSC Staff Notice 81-718 – Summary Report for Investment Fund Issuers Notice ................................................... #4 (Jan. 24) 1025 OSC Staff Notice 81-719 – Effect of Proposed Income Tax Act Amendments on Investment Funds – Character Conversion Transactions Notice ................................................... #15 (Apr 11) 3817 OSC Staff Notice 81-720 – Report on Staff’s Continuous Disclosure Review of Sales Communications by Investment Funds Notice .................................................. #29 (July 18) 7132 OSC Staff Notice 81-721 – Frequently Asked Questions on the Implementation of Stage 2 of Point of Sale Disclosure for Mutual Funds – Delivery of Fund Facts Notice .................................................. #36 (Sept. 5) 8678


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OSC Staff Notice 81-722 – Mortgage Investment Entities and Investment Funds Notice ................................................ #37 (Sept. 12) 8945 OSC Staff Notice of Commission Approval – Amendments to MFDA Rule 2.2.1, Policy No. 2 SROs ...................................................... #6 (Feb 7) 1583 Osler Energy Corporation Temporary Order – s. 127(8) ................ #7 (Feb 14) 1669 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Temporary Order – s. 127(8) .............. #13 (Mar 28) 3158 Notice from the Office of the Secretary ................................... #22 (May 30) 5493 Temporary Order – s. 128(8) .............. #22 (May 30) 5514 Notice from the Office of the Secretary ................................... #30 (July 25) 7369 Order – s. 127(8) ................................. #30 (July 25) 7413 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Temporary Order – s. 127(8) ............ #39 (Sept. 26) 9357 OTC Derivative Regulators Group News Release ..................................... #41 (Oct. 10) 9723 Ovenden, Ronald James Notice of Hearing and Statement of Allegations – ss. 127, 127.1 .................................. #15 (Apr 11) 3823 Notice of Hearing – s. 127.................... #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3830 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3831 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – s. 127 ...................................... #16 (Apr 18) 4229 Settlement Agreement ......................... #16 (Apr 18) 4277 Notice from the Office of the Secretary ..................................... #19 (May 9) 4753 Order – ss. 127, 127.1 .......................... #19 (May 9) 4791 Notice from the Office of the Secretary ................................... #20 (May 16) 5046 Order – ss. 127(1), 127(7), 127(8) ...... #20 (May 16) 5092 Notice from the Office of the Secretary .................................... #32 (Aug. 8) 7922 Order – ss. 127 and 127.1 ................... #32 (Aug. 8) 7969 Oversea Chinese Fund Limited Partnership Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1037 Temporary Order – ss. 127(7), 127(8) .............................. #4 (Jan. 24) 1067 Temporary Order – ss. 127(7),(8) ........................... #7 (Feb 14) 1667, 1682 Notice from the Office of the Secretary ........................... #7 (Feb 14) 1647, 1651 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161

Temporary Order – ss. 127(7), 127(8) ........................... #33 (Aug. 15) 8189 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Temporary Order – ss. 127(7), 127(8) ........................... #35 (Aug. 29) 8549 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9728 Temporary Order – ss. 127(7) and (8) ............................. #41 (Oct. 10) 9774 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Temporary Order – ss. 127(7) and (8) .......................... #48 (Nov. 28) 11382 Ozga, Edward Notice from the Office of the Secretary .................................. #22 (May 30) 5493 Temporary Order – s. 128(8) .............. #22 (May 30) 5514 Notice from the Office of the Secretary ................................... #30 (July 25) 7369 Order – s. 127(8) ................................. #30 (July 25) 7413 Temporary Order – s. 127(8) ................. #7 (Feb 14) 1669 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3103 Temporary Order – s. 127(8) ............... #13 (Mar 28) 3158 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9314 Temporary Order – s. 127(8) ............. #39 (Sept. 26) 9357 Pac West Minerals Limited Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 25 Order – s. 127 .......................................... #1 (Jan. 4) 149 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3105 Order – s. 127 ..................................... #13 (Mar 28) 3162 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................... #17 (Apr 25) 4397 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4406 Notice from the Office of the Secretary .................................... #18 (May 2) 4572 Order – s. 127 ...................................... #18 (May 2) 4601 Order – ss. 37, 127, 127.1 .................... #18 (May 2) 4602 Settlement Agreement .......................... #18 (May 2) 4619 Pace Securities Corp. New Business Registration .................... #27 (July 4) 6891 Pacifica Partners Inc. Change in Registration Category ..... #43 (Oct. 24) 10399 Pallas Athena Corporation (The) Decision .................................................. #3 (Jan. 17) 783 Pan American Fertilizer (Canada) Corp. Decision ............................................. #38 (Sept. 19) 9138



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Panel Discussion on Statutory ‘Best Interest’ Duty News Release .................................... #25 (June 20) 6214 Pangolin Diamonds Corp. Order – s. 1(11)(b) ............................... #23 (June 6) 5709 Parador Asset Management, LLC Consent to Suspension (Pending Surrender) ........................ #46 (Nov. 14) 11181 Voluntary Surrender ........................... #49 (Dec. 5) 11751 Parry Sound Mall Inc., Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Parry Sound Mall Investment Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Partners Group (USA) Inc. New Registration .................................. #32 (Aug. 8) 8117 Pasternak, Oded Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8)..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary ..................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 .............. #51 (Dec. 19) 12153 Patagonia Gold PLC Order .................................................. #35 (Aug. 29) 8536

Pavilion Advisory Group Ltd./Pavilion Groupe Conseils Ltee Change in Registration Category ............. #1 (Jan. 4) 481 PDQ Financial Services Inc. Suspension (Section 29(1) of the Securities Act) ............................... #6 (Feb 7) 1581 PearTree Securities Inc. New Registration ................................ #35 (Aug. 29) 8661 Peer 1 Network Enterprises, Inc. Decision ............................................... #13 (Mar 28) 3122 Decision ................................................ #16 (Apr 18) 4208 Pelcowitz, David Paul Notice from the Office of the Secretary .................................... #18 (May 2) 4581 Order– ss. 37, 127, 127.1 ..................... #18 (May 2) 4618 OSC Reasons –s. 127 .......................... #18 (May 2) 4628 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 Order ..................................................... #27 (July 4) 6727 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Decision and Order – ss. 37, 127, 127.1 ............................. #31 (Aug. 1) 7624 Penderfund Capital Management Ltd. New Registration ................................... #5 (Jan 31) 1377 Penfold Capital Acquisition IV Corporation Decision ................................................ #17 (Apr 25) 4422 Perimeter Markets Inc. Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Persaud, Kevin Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 806 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 773 Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 811 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #20 (May 16) 5099 Pershing Square Capital Management, L.P. Decision ............................................. #42 (Oct. 17) 10033 PFSL Fund Management Ltd. Name Change .................................... #34 (Aug. 22) 8475 PFSL Fund Management Ltd./ Gestion des Fonds PFSL Ltee Name Change .................................... #34 (Aug. 22) 8475 Pharm Control Ltd., Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361


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PharmaGap Inc. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order ......................... #21 (May 23) 5349 Phillips, David Charles Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1208 Order – Rule 9 of the OSC Rules of Procedure ....................... #5 (Jan 31) 1224 Notice from the Office of the Secretary and Amended Statement of Allegations ....................... #18 (May 2) 4575 Notice from the Office of the Secretary .................................... #32 (Aug. 8) 7922 Order – Rule 3 of the OSC Rules of Procedure ..................... #32 (Aug. 8) 7968 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – Rule 3 of the OSC Rules of Procedure ................... #35 (Aug. 29) 8534 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9119 Order – Rule 3 of the OSC Rules of Procedure .................. #38 (Sept. 19) 9141 Phipps, Tyrone Constantine Notice of Hearing – ss. 37, 127, 127.1 ............................ #11 (Mar 14) 2544 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Order – s. 127 ...................................... #15 (Apr 11) 3886 Notice from the Office of the Secretary ................................... #21 (May 23) 5276 Order ................................................... #21 (May 23) 5303 Notice of Hearing – ss. 37, 127 .......... #26 (June 27) 6438 Notice from the Office of the Secretary .................................. #26 (June 27) 6443 Notice from the Office of the Secretary ..................................... #27 (July 4) 6686 Order – ss. 37, 127(1) ........................... #27 (July 4) 6744 Notice from the Office of the Secretary ................................... #30 (July 25) 7366 Order – ss. 37, 127(1) ......................... #30 (July 25) 7404 Settlement Agreement ........................ #30 (July 25) 7439 Phoenician Fund Corporation 1 Cease Trading Order .............................. #6 (Feb 7) 1479 Cease Trading Order ............................ #8 (Feb 21) 1867 Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ............................ #27 (July 4) 6769 Pickering, Ryan Order – ss. 127(1), 127.1 ........................ #3 (Jan. 17) 818 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2886 Order – ss. 127(1), 127.1 .................... #12 (Mar 21) 2912

Notice from the Office of the Secretary ................................... #29 (July 18) 7151 Order – ss. 127(1), 127.1 .................... #29 (July 18) 7195 PIE Portfolio Index Evolution Corporation Decision ................................................. #9 (Feb 28) 2011 Pier 21 Asset Management Inc. Change in Registration Category ............. #1 (Jan. 4) 481 PIMCO Canada Corp. Decision ............................................. #25 (June 20) 6222 Pimentel, Zaida Order ....................................................... #6 (Feb 7) 1442 OSC Reasons ......................................... #6 (Feb 7) 1464 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 PineBridge Investments Canada Inc. Change of Registration Category ......... #16 (Apr 18) 4375 Pinnacle Balanced Growth Portfolio Decision ............................................. #37 (Sept. 12) 8968 Pinnacle Growth Portfolio Decision ............................................. #37 (Sept. 12) 8968 Piper Jaffray & Co. Decision ................................................. #27 (July 4) 6700 Pipeworx Ltd. Decision ................................................ #16 (Apr 18) 4200 Placencia Estates Development, Ltd. Notice of Hearing – s. 127 ..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 ........................... #9 (Feb 28) 2056 Settlement Agreement ........................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................ #14 (Apr 4) 3493 Settlement Agreement ............................ #14 (Apr 4) 3643



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Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Placencia Hotel and Residences Ltd. Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Placencia Marina, Ltd. Notice of Hearing – s. 127..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2056 Settlement Agreement .......................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456

Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ............................ #14 (Apr 4) 3643 Settlement Agreement ............................ #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Platmin Limited Cease Trading Order ........................... #9 (Feb 28) 2141d Cease Trading Order ............................. #8 (Feb 21) 1867 Cease Trading Order .......................... #22 (May 30) 5517 Cease Trading Order ........................... #23 (June 6) 5721 Cease Trading Order ........................ #50 (Dec. 12) 11847 Cease Trading Order ........................ #51 (Dec. 19) 12171 Plazacorp Retail Properties Ltd. Decision .............................................. #20 (May 16) 5057 Plexmar Resources Inc. Decision .................................................. #3 (Jan. 17) 749 PLH Canada Holdings Inc. Decision ................................................ #16 (Apr 18) 4200 Pocketop Corporation, Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361 Pollen Services Limited Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Order – s. 127 ....................................... #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................. #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ....................... #39 (Sept. 26) 9341 Settlement Agreement ....................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations........................ #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133


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Pollitt Investment Counsel Inc. Change in Registration Category .......... #40 (Oct. 3) 9703 Portage Minerals Inc. Decision ............................................. #34 (Aug. 22) 8361 Portfolio Capital Inc. Notice of Hearing and Statement of Allegations – ss. 127, 127.1 ................................. #13 (Mar 28) 3091 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3112 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order – ss. 127, 127.1 ......................... #17 (Apr 25) 4453 Notice from the Office of the Secretary .................................... #23 (June 6) 5661 Order .................................................... #23 (June 6) 5696 Notice from the Office of the Secretary .................................. #24 (June 13) 5923 Notice from the Office of the Secretary .................................. #26 (June 27) 6444 Order – ss. 127 and 127.1 ................. #26 (June 27) 6480 Notice from the Office of the Secretary and Amended Amended Statement of Allegations ....... #27 (July 4) 6679 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9528 Order – ss. 127, 127.1 .......................... #40 (Oct. 3) 9566 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10024 Order – ss. 127, 127.1 ...................... #42 (Oct. 17) 10059 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10291 Order – Rule 9.2 of the OSC Rules of Procedure ........................... #43 (Oct. 24) 10336 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565 Order – Rule 1.4 of the OSC Rules of Procedure ............................ #49 (Dec. 5) 11604 Portfolio Strategies Corporation Change in Registration Category .......... #7 (Feb 14) 1793 Portland Global Income Fund Decision ............................................ #38 (Sept. 19) 9125 Portland Investment Counsel Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Decision ............................................ #38 (Sept. 19) 9125 Portland Private Wealth Services Inc. Name Change ....................................... #4 (Jan. 24) 1185 Poseidon Concepts Corp. Cease Trading Order ............................ #9 (Feb 28) 2141 Cease Trading Order .......................... #11 (Mar 14) 2617 Order – s. 144 ..................................... #12 (Mar 21) 2917

Potash Corporation of Saskatchewan Inc. Decision ................................................. #5 (Jan 31) 1215 Poulstrup, Jake Notice from the Office of the Secretary ................................... #30 (July 25) 7370 OSC Reasons – ss. 8(3), 27.1 ............ #30 (July 25) 7492 Poynt Corporation Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ......................... #26 (June 27) 6519 Premier Gold Mines Limited Decision ............................................... #12 (Mar 21) 2887 Premier Royalty Inc. Decision ............................................ #46 (Nov. 14) 10841 Prestige Telecom Inc. Order – s. 144 ...................................... #17 (Apr 25) 4442 Primaris Retail Real Estate Investment Trust Notice of Hearing – s. 127 ...................... #3 (Jan. 17) 770 Decision .................................................. #3 (Jan. 17) 800 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 774 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1207 Decision – s. 1(10) ............................. #20 (May 16) 5070 Primequest Capital Corporation Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9564 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10329 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10779 Order ................................................ #46 (Nov. 14) 10871 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11784 Order ................................................ #50 (Dec. 12) 11825 Priszm Income Fund Cease Trading Order ........................... #5 (Jan 31) 1244d Cease Trading Order ............................... #6 (Feb 7) 1479 Priviti Capital Corporation New Registration .................................. #4 (Jan. 24) 1185 Prodigy Gold Inc. Decision – s. 1(10) ............................... #4 (Jan. 24) 1045 Pro-Financial Asset Management Inc. Notice from the Office of the Secretary .................................. #21 (May 23) 5288 Order – ss. 127(1) and 127(5) .......... #21 (May 23) 5310 Notice of Hearing – ss. 127(1), (7) and (8))..................... #22 (May 30) 5485 Notice from the Office of the Secretary ................................... #23 (June 6) 5662



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Order .................................................... #23 (June 6) 5698 Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), (2) and (8) .............. #27 (July 4) 6733 Notice from the Office of the Secretary ................................... #29 (July 18) 7152 Order – ss. .127(1), (2) and (8) ........... #29 (July 18) 7198 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order – ss. 127(1), (2) and (8) ............ #30 (July 25) 7428 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8686 Order – ss. 127(1), (2) and (8) ............ #36 (Sept. 5) 8711 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10026 Order – ss. 127(1), (2) and (8) .......... #42 (Oct. 17) 10065 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10289 Order – ss. 127(1), (2) and (8) .......... #43 (Oct. 24) 10330 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11560 Order – ss. 127(1), (2) and (8) ........... #49 (Dec. 5) 11592 Profitable Sunrise News Release ..................................... #11 (Mar 14) 2550 Progress Energy Canada Ltd. Decision ................................................ #4 (Jan. 24) 1044 Proposed Amendments Facilitating CSA Information Technology Arrangements Request for Comments ......................... #4 (Jan. 24) 1081 Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts Request for Comments .................... #50 (Dec. 12) 11849 ProSep Inc. Cease Trading Order ........................... #17 (Apr 25) 4463 Cease Trading Order ............................ #18 (May 2) 4649 Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order .......................... #20 (May 16) 5120 Cease Trading Order .......................... #21 (May 23) 5349 Cease Trading Order .......................... #22 (May 30) 5518 Cease Trading Order ........................... #23 (June 6) 5721 Cease Trading Order ......................... #24 (June 13) 5999 Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ....................... #48 (Nov. 28) 11397 Cease Trading Order ....................... #50 (Dec. 12) 11847 Prosperous and Fair Ontario Act (Budget Measures), 2013 Legislation .......................................... #26 (June 27) 6615 PRT Growing Services Ltd. Decision .................................................. #3 (Jan. 17) 805 Purpose Core Dividend Fund Designation Order – s. 1.1 .................. #36 (Sept. 5) 8719

Purpose Diversified Real Asset Fund Decision .............................................. #33 (Aug. 15) 8174 Designation Order – s. 1.1 ................... #36 (Sept. 5) 8719 Purpose High Interest Savings ETF Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions ........... #45 (Nov. 7) 10676 Purpose Investments Inc. Name Change .......................................... #1 (Jan. 4) 481 Decision .............................................. #33 (Aug. 15) 8174 Decision .............................................. #33 (Aug. 15) 8176 Decision .............................................. #33 (Aug. 15) 8179 Decision .............................................. #34 (Aug. 22) 8339 Decision .............................................. #34 (Aug. 22) 8347 Decision .............................................. #49 (Dec. 5) 11572 Purpose Monthly Income Fund Designation Order – s. 1.1 ................... #36 (Sept. 5) 8719 Purpose Short Duration Emerging Markets Bond ETF Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions ........... #45 (Nov. 7) 10676 Purpose Short Duration Global Bond ETF Designation Order – s. 1.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions ........... #45 (Nov. 7) 10676 Purpose Tactical Hedged Equity Fund Designation Order – s. 1.1 ................... #36 (Sept. 5) 8719 Purpose Total Return Bond Fund Designation Order – s. 1.1 ................... #36 (Sept. 5) 8719 Pushka, Wayne Lawrence News Release ..................................... #36 (Sept. 5) 8682 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8685 OSC Reasons ..................................... #36 (Sept. 5) 8721 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10287 Order ................................................. #43 (Oct. 24) 10327 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12047 Order ................................................ #51 (Dec. 19) 12083 Putnam Advisory Company, LLC Order – ss. 78(1), 80 of the CFA .......... #19 (May 9) 4800 Putnam Investments Limited Order – ss. 78(1), 80 of the CFA .......... #19 (May 9) 4800 PWM Capital Name Change ....................................... #10 (Mar 7) 2455


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Pyasetsky, Anna Notice from the Office of the Secretary .................................... #15 (Apr 11) 3832 OSC Reasons ..................................... #15 (Apr 11) 3897 QS Investors, LLC New Registration .................................. #17 (Apr 25) 4555 Quach, Hao Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2005 Order – s. 127(1) ................................... #9 (Feb 28) 2057 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – s. 127(1) ................................ #35 (Aug. 29) 8542 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – s. 127(1) ............................... #38 (Sept. 19) 9154 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10437 Order – s. 127(1) ............................... #44 (Oct. 31) 10470 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10617 Order – s. 127(1) ................................ #45 (Nov. 7) 10673 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – s. 127(1) .............................. #46 (Nov. 14) 10866 Order – s. 127(1) .............................. #46 (Nov. 14) 10874 Notice of Hearing – ss. 127(1), 127.1 ........................... #47 (Nov. 21) 11200 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11208 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11209 Order ................................................ #47 (Nov. 21) 11236 Settlement Agreement ..................... #47 (Nov. 21) 11237 Quadrant Asset Management Change in Registration Category .............. #1 (Jan. 4) 481 Quadravest Capital Management Inc. Decision ........................................... #48 (Nov. 28) 11355 Quadrexx Asset Management Inc. Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Notice of Hearing – ss. 127(1), (2), (5) ............................... #6 (Feb 7) 1417 Temporary Order – ss. 127(1), (5) .................................... #7 (Feb 14) 1671 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #8 (Feb 21) 1853 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), (7) and (8) .............. #9 (Feb 28) 2045 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2554

Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2584 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3455 Order ...................................................... #14 (Apr 4) 3490 Notice from the Office of the Secretary ................................. #21 (May 23) 5277 Order– ss. 127(1) and (8) ................... #21 (May 23) 5306 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8335 Order – ss. 127(1), 127(8) .................. #34 (Aug. 22) 8377 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9312 Order – ss. 127(1), 127(8) ................. #39 (Sept. 26) 9342 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11782 Order – ss. 127(1) and (8) ................ #50 (Dec. 12) 11817 Quadrexx Secured Assets Inc. Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Notice of Hearing – ss. 127(1), (2), (5) ................................ #6 (Feb 7) 1417 Temporary Order – ss. 127(1), (5) ................................... #7 (Feb 14) 1671 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing ................................... #8 (Feb 21) 1853 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), (7) and (8) ............... #9 (Feb 28) 2045 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2554 Order – ss. 127(1), 127(7), 127(8) ....... #11 (Mar 14) 2584 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3455 Order ...................................................... #14 (Apr 4) 3490 Notice from the Office of the Secretary ................................. #21 (May 23) 5277 Order– ss. 127(1) and (8) ................... #21 (May 23) 5306 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8335 Order – ss. 127(1), 127(8) .................. #34 (Aug. 22) 8377 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9312 Order – ss. 127(1), 127(8) ................. #39 (Sept. 26) 9342 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11782 Order – ss. 127(1) and (8) ................ #50 (Dec. 12) 11817 Quadrus Investment Services Ltd. Decision ................................................ #16 (Apr 18) 4202 Quantitative Alpha Trading Inc. Cease Trading Order ............................ #19 (May 9) 4815 Cease Trading Order .......................... #20 (May 16) 5119 Queenston Mining Inc. Decision ................................................... #6 (Feb 7) 1431



91

Quest Partners LLC Order – s. 80 of the CFA ........................... #1 (Jan. 4) 172 Order – s. 78(1) of the CFA............... #42 (Oct. 17) 10055 Quibik Income Fund Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Notice of Hearing – ss. 127(1), (2), (5) ............................... #6 (Feb 7) 1417 Temporary Order – ss. 127(1), (5) .................................... #7 (Feb 14) 1671 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #8 (Feb 21) 1853 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), (7) and (8) .............. #9 (Feb 28) 2045 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2554 Order – ss. 127(1), 127(7), 127(8) ...... #11 (Mar 14) 2584 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3455 Order ...................................................... #14 (Apr 4) 3490 Notice from the Office of the Secretary .................................. #21 (May 23) 5277 Order– ss. 127(1) and (8).................... #21 (May 23) 5306 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8335 Order – ss. 127(1), 127(8).................. #34 (Aug. 22) 8377 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9312 Order – ss. 127(1), 127(8)................. #39 (Sept. 26) 9342 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11782 Order – ss. 127(1) and (8)................ #50 (Dec. 12) 11817 Quibik Opportunity Fund Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1421 Notice of Hearing – ss. 127(1), (2), (5) ............................... #6 (Feb 7) 1417 Temporary Order – ss. 127(1), (5) .................................... #7 (Feb 14) 1671 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #8 (Feb 21) 1853 Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1858 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2002 Order – ss. 127(1), (7) and (8) .............. #9 (Feb 28) 2045 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2554 Order – ss. 127(1), 127(7), 127(8) ...... #11 (Mar 14) 2584 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3455 Order ...................................................... #14 (Apr 4) 3490 Notice from the Office of the Secretary .................................. #21 (May 23) 5277 Order– ss. 127(1) and (8).................... #21 (May 23) 5306

Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8335 Order – ss. 127(1), 127(8) .................. #34 (Aug. 22) 8377 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9312 Order – ss. 127(1), 127(8) ................. #39 (Sept. 26) 9342 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11782 Order – ss. 127(1) and (8) ................ #50 (Dec. 12) 11817 Qwest Investment Fund Management Ltd. Change in Registration Category ......... #4 (Jan. 24) 1185 R.E.A.L. Group Fund III (Canada) LP Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 21 Order – s. 127 .......................................... #1 (Jan. 4) 137 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order – s. 127 ..................................... #11 (Mar 14) 2598 Notice from the Office of the Secretary .................................. #22 (May 30) 5488 Order –Rule 1.7.4 of the Rules of Procedure ............................. #22 (May 30) 5504 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8491 Order – s. 127 .................................... #35 (Aug. 29) 8530 Order – s. 127 .................................... #35 (Aug. 29) 8540 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9121 Order – s. 127 ................................... #38 (Sept. 19) 9150 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #41 (Oct. 10) 9722 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9729 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10025 Order– ss. 127, 127.1 ........................ #42 (Oct. 17) 10061 Order –s. 127 .................................... #42 (Oct. 17) 10065 Settlement Agreement ....................... #42 (Oct. 17) 10077 R.N. Croft Financial Group Inc. Decision ................................................. #9 (Feb 28) 2011 Radiant Energy Corporation Cease Trading Order ........................... #11 (Mar 14) 2617 Cease Trading Order ........................... #13 (Mar 28) 3171 Rainy River Resources Ltd. Decision – s. 1(10)(a)(ii) .................. #46 (Nov. 14) 10781 Rak, Jerome John Notice of Hearing – ss. 127(1), 127(10) ........................ #42 (Oct. 17) 10020 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10616 Order – ss. 127(1), 127(10) ................ #45 (Nov. 7) 10653


92


Raleigh Management and Leasing Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Ramoutar, Justin Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 17 Order – s. 127 ............................................. #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ............................... #30 (July 25) 7446 Ramoutar, Pamela Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 17 Order – s. 127 ............................................. #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ............................... #30 (July 25) 7446 Rand Malartic Mines Limited Consent ............................................... #31 (Aug. 1) 7895 Rankin, Andrew News Release ....................................... #4 (Jan. 24) 1029 Raponi, Josephine Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ...................... #39 (Sept. 26) 9341 Settlement Agreement ...................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations ....................... #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876

Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 RARE Investments Notice of Hearing – ss. 127(1), 127.1 .............................. #12 (Mar 21) 2872 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2879 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2885 Order – Rule 9 of the OSC Rules of Procedure ..................... #12 (Mar 21) 2907 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2909 Settlement Agreement ......................... #12 (Mar 21) 2934 Notice from the Office of the Secretary ................................... #23 (June 6) 5661 Order ................................................... #23 (June 6) 5697 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order .................................................. #34 (Aug. 22) 8379 Rash, Howard Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 News Release .................................. #46 (Nov. 14) 10775 Ratel Group Limited Decision – s. 1(10)(a)(ii) ....................... #19 (May 9) 4762 Raymond James (USA) Ltd. Decision ............................................ #50 (Dec. 12) 11808 RBC Bank (Georgia), N.A. Decision ............................................ #47 (Nov. 21) 11230 RBC Capital Markets, LLC Decision ................................................ #17 (Apr 25) 4429 Decision ............................................ #50 (Dec. 12) 11792 RBC Direct Investing Inc. Decision ................................................ #31 (Aug. 1) 7709 RBC Dominion Securities Inc. Decision ................................................ #15 (Apr 11) 3867 Decision ................................................ #17 (Apr 25) 4429 Decision ................................................ #31 (Aug. 1) 7709 Decision ............................................ #50 (Dec. 12) 11792



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RBC Global Asset Management Inc. Decision ................................................ #8 (Feb 21) 1861 Decision ................................................ #10 (Mar 7) 2270 Decision ................................................ #10 (Mar 7) 2273 Decision ............................................... #31 (Aug. 1) 7750 Amalgamation .................................... #45 (Nov. 7) 10755 RBC Phillips, Hager & North Investment Counsel Inc. Decision ................................................ #8 (Feb 21) 1861 RBS Securities Inc. Decision ................................................ #27 (July 4) 6710 RCM Asia Pacific Limited Order – ss. 78(1), 80 of the CFA ......... #11 (Mar 14) 2586 Order – ss. 78(1), 80 of the CFA ........... #19 (May 9) 4800 RDA Capital Inc. New Registration ..................................... #3 (Jan. 17) 961 Real Estate Asset Liquidity Trust Decision .............................................. #29 (July 18) 7185 Redev Corporation Name Change ..................................... #11 (Mar 14) 2845 Settlement Agreement ........................ #41 (Oct. 10) 9855 Redknee Solutions Inc. Decision ................................................ #19 (May 9) 4757 Redwood Asset Management Inc. Decision .............................................. #30 (July 25) 7392 Decision ........................................... #51 (Dec. 19) 12073 Redwood Energy Growth Class Decision ........................................... #51 (Dec. 19) 12073 Redwood Global High Dividend Fund Decision .............................................. #30 (July 25) 7392 Reef Resources Ltd. Cease Trading Order ....................... #50 (Dec. 12) 11847 Regional Municipality of York Decision .............................................. #22 (May 30) 5496 Registrant Outreach Program News Release ..................................... #30 (July 25) 7361 Registrant Outreach News Release .................................. #50 (Dec. 12) 11779 Reichert, Terry Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596

Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #16 (Apr 18) 4214 Renaissance Asian Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian All-Cap Equity fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian Balanced Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian Bond Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian Core Value Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian Dividend Income Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian Growth Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian Monthly Income Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian Small-Cap Fund Decision ............................................... #23 (June 6) 5665 Renaissance Canadian T-Bill Fund Decision ............................................... #23 (June 6) 5665 Renaissance China Plus Fund Decision ............................................... #23 (June 6) 5665 Renaissance Corporate Bond Capital Yield Fund Decision ............................................... #23 (June 6) 5665 Renaissance Corporate Bond Fund Decision ............................................... #23 (June 6) 5665 Renaissance Diversified Income Fund Decision ............................................... #23 (June 6) 5665 Renaissance Emerging Markets Fund Decision ............................................... #23 (June 6) 5665 Renaissance European Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Bond Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Focus Currency Neutral Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Focus Fund Decision ............................................... #23 (June 6) 5665


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Renaissance Global Growth Currency Neutral Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Growth Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Health Care Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Infrastructure Currency Neutral Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Infrastructure Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Markets Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Real Estate Currency Neutral Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Real Estate Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Resource Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Science & Technology Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Small-Cap Fund Decision ............................................... #23 (June 6) 5665 Renaissance Global Value Fund Decision ............................................... #23 (June 6) 5665 Renaissance High-Yield Bond Fund Decision ............................................... #23 (June 6) 5665 Renaissance International Dividend Fund Decision ............................................... #23 (June 6) 5665 Renaissance International Equity Currency Neutral Fund Decision ............................................... #23 (June 6) 5665 Renaissance International Equity Fund Decision ............................................... #23 (June 6) 5665 Renaissance Millennium High Income Fund Decision ............................................... #23 (June 6) 5665 Renaissance Money Market Fund Decision ............................................... #23 (June 6) 5665 Renaissance Optimal Global Equity Currency Neutral Fund Decision ............................................... #23 (June 6) 5665 Renaissance Optimal Global Equity Portfolio Decision ............................................... #23 (June 6) 5665

Renaissance Optimal Income Portfolio Decision ............................................... #23 (June 6) 5665 Renaissance Optimal Inflation Opportunities Portfolio Decision ............................................... #23 (June 6) 5665 Renaissance Real Return Bond Fund Decision ............................................... #23 (June 6) 5665 Renaissance Short-Term Income Fund Decision ............................................... #23 (June 6) 5665 Renaissance U.S. Equity Fund Decision ............................................... #23 (June 6) 5665 Renaissance U.S. Equity Growth Currency Neutral Fund Decision ............................................... #23 (June 6) 5665 Renaissance U.S. Equity Growth Fund Decision ............................................... #23 (June 6) 5665 Renaissance U.S. Equity Value Fund Decision ............................................... #23 (June 6) 5665 Renaissance U.S. Money Market Fund Decision ............................................... #23 (June 6) 5665 Rendezvous Island, Ltd. Notice of Hearing – s. 127 ..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 ........................... #9 (Feb 28) 2056 Settlement Agreement ........................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................ #14 (Apr 4) 3493 Settlement Agreement ............................ #14 (Apr 4) 3643 Settlement Agreement ............................ #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873



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Rexel S.A Decision ............................................... #32 (Aug. 8) 7962 Rezwealth Financial Services Inc. Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 17 Order – s. 127 ............................................. #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ............................... #30 (July 25) 7446 Rheingold Exploration Corp. Cease Trading Order ......................... #25 (June 20) 6257 Cease Trading Order ............................ #27 (July 4) 6769 Richardson GMP Limited Decision ............................................. #45 (Nov. 7) 10648 Richmond Equity Management Ltd. Registrant................................................ #2 (Jan. 10) 741 Ricketts, Devon Order – s. 127 ......................................... #3 (Jan. 17) 817 Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2033 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – s. 127 ....................................... #10 (Mar 7) 2317 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3109 Order ................................................... #13 (Mar 28) 3166 Notice of Hearing – ss. 127(1), 127.1 of the Act and Rule 12 of the OSC Rules of Procedure ............ #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4186 Order – Rules 1.7.4 and 11 of the OSC Rules of Procedure ............ #16 (Apr 18) 4211 Order .................................................... #16 (Apr 18) 4212 Settlement Agreement ......................... #16 (Apr 18) 4233 Ridgemont Iron Ore Corp. Decision – s. 1(10)(a)(ii) ....................... #31 (Aug. 1) 7734 Ridley, Anne Marie Notice of Hearing .................................. #4 (Jan. 24) 1028 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1031 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1036 Notice of Withdrawal .............................. #5 (Jan 31) 1205 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1205 Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1206

Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1207 Order – s. 127 ....................................... #5 (Jan 31) 1218 Order ........................................... #5 (Jan 31) 1220, 1221 Settlement Agreement ........................... #5 (Jan 31) 1231 Settlement Agreement ........................... #5 (Jan 31) 1237 Riva Gold Corporation Decision .............................................. #22 (May 30) 5495 Rival Capital Management Inc. Change in Registration Category ............. #1 (Jan. 4) 481 Robbins, Wayne D. Notice of Hearing – s. 127 ..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 ........................... #9 (Feb 28) 2056 Settlement Agreement ........................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ............................ #14 (Apr 4) 3643 Settlement Agreement ............................ #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Robert W. Baird & Co. Incorporated Decision ................................................. #27 (July 4) 6700 Decision ............................................... #41 (Oct. 10) 9731 Robertson, Archibald Notice of Hearing – s. 127 ..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 ........................... #9 (Feb 28) 2056 Settlement Agreement ........................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301


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Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure ............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Robinson, Peter Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8)..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice from the Office of the Secretary ..................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 .............. #51 (Dec. 19) 12153 Roche Securities Ltd. Suspension ( Section 29(1) of the Securities Act) ................................... #6 (Feb 7) 1581

Roche, Henry Notice of Hearing and Statement of Allegations– ss. 127(1), 127(10) ...... #13 (Mar 28) 3075 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3106 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Order – Rules 1.5.3 and 11 of the OSC Rules of Procedure ................ #15 (Apr 11) 3896 OSC Reasons ...................................... #15 (Apr 11) 3925 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4404 Order – Rule 1.5.3 of the OSC Rules of Procedure ...................... #17 (Apr 25) 4445 Notice from the Office of the Secretary ................................... #23 (June 6) 5663 Order – ss. 127(1), 127(10) ................. #23 (June 6) 5706 OSC Reasons – ss. 127(1), 127(10) .......................... #23 (June 6) 5713 Rogerson, Amy Hanna Notice of Hearing and Statement of Allegations– ss. 127, 127.1 ............. #13 (Mar 28) 3091 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3112 Rogerson, David Notice of Hearing and Statement of Allegations– ss. 127, 127.1 ............. #13 (Mar 28) 3091 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3112 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4408 Order – ss. 127, 127.1 .......................... #17 (Apr 25) 4453 Notice from the Office of the Secretary ................................... #23 (June 6) 5661 Order ................................................... #23 (June 6) 5696 Notice from the Office of the Secretary ................................. #24 (June 13) 5923 Notice from the Office of the Secretary ................................. #26 (June 27) 6444 Order – ss. 127 and 127.1 ................. #26 (June 27) 6480 Notice from the Office of the Secretary and Amended Amended Statement of Allegations ....... #27 (July 4) 6679 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9528 Order – ss. 127, 127.1 ........................... #40 (Oct. 3) 9566 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10024 Order – ss. 127, 127.1 ....................... #42 (Oct. 17) 10059 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10291 Order – Rule 9.2 of the OSC Rules of Procedure ............................ #43 (Oct. 24) 10336 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565 Order – Rule 1.4 of the OSC Rules of Procedure ............................. #49 (Dec. 5) 11604



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Ross Smith Asset Management Inc. New Registration .................................. #23 (June 6) 5879 Rosswell Group News Release .................................... #49 (Dec. 5) 11554 Royal Coal Corp. Order – s. 144 ........................................... #1 (Jan. 4) 131 RP Investment Advisors Change in Registration Category ......... #32 (Aug. 8) 8117 RS Technologies Inc. Order – s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions ........ #38 (Sept. 19) 9145 Rundle Properties Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Runic, Robert Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 Rusoro Mining Ltd. Cease Trading Order .......................... #22 (May 30) 5517 Cease Trading Order ......................... #24 (June 13) 5999 Russell Extended Duration Fund Decision ................................................ #40 (Oct. 3) 9555 Russell Investments Canada Limited Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ... #12 (Mar 21) 2913 Decision ................................................ #40 (Oct. 3) 9555 Decision ................................................ #40 (Oct. 3) 9560 Russell Real Assets Portfolio Decision ................................................ #40 (Oct. 3) 9560 Rutledge, David Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ....................... #12 (Mar 21) 2919

Sadeghi, Aidin Notice from the Office of the Secretary ................................... #30 (July 25) 7370 OSC Reasons – ss. 8(3), 27.1 ............ #30 (July 25) 7492 Sage Investment Group Notice of Hearing .................................. #4 (Jan. 24) 1028 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1031 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1036 Notice of Withdrawal ............................. #5 (Jan 31) 1205 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1205 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1206 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1207 Order – s. 127 ....................................... #5 (Jan 31) 1218 Order ........................................... #5 (Jan 31) 1220, 1221 Settlement Agreement ........................... #5 (Jan 31) 1231 Settlement Agreement ........................... #5 (Jan 31) 1237 Saguenay Strathmore Capital, LLC Change in Registration Category ....... #34 (Aug. 22) 8475 Salganov, James Dmitry Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 23 Order – s. 127 .......................................... #1 (Jan. 4) 142 Temporary Order – ss. 127(1), 127(8) ................................. #1 (Jan. 4) 143 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2552 Order – s. 127 ..................................... #11 (Mar 14) 2579 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4190 Order – s. 127 ...................................... #16 (Apr 18) 4224 Notice from the Office of the Secretary ................................. #24 (June 13) 5930 Order– s. 127 .................................... #24 (June 13) 5962 Notice from the Office of the Secretary ................................. #25 (June 20) 6215 Order – ss. 127(1), (8) ....................... #25 (June 20) 6240 Notice of Hearing – ss. 127, 127.1 ................................. #43 (Oct. 24) 10276 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10287 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10430 Notice from the Office of the Secretary and Amended Statement of Allegations.................... #44 (Oct. 31) 10431 Temporary Order – ss. 127(1), 127(8) .......................... #44 (Oct. 31) 10453 Order – s. 127 ................................... #44 (Oct. 31) 10455 Settlement Agreement ....................... #44 (Oct. 31) 10493 Salida Capital LP Voluntary Surrender .............................. #40 (Oct. 3) 9703


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Salida Wealth Preservation Fund S.à.r.l. Order – s. 1(10)(a)(ii) .......................... #28 (July 11) 6961 Sandstorm Gold Ltd. Decision ........................................... #46 (Nov. 14) 10841 Sanford C. Bernstein & Co., LLC Change of Registration Category ........ #11 (Mar 14) 2845 Sanmugam, Arvind Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order ..................................................... #4 (Jan. 24) 1060 Notice of Hearing – ss. 127(1), 127.1 ............................... #17 (Apr 25) 4396 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Notice from the Office of the Secretary ..................................... #19 (May 9) 4754 Order ..................................................... #19 (May 9) 4792 Notice from the Office of the Secretary ................................... #20 (May 16) 5047 Order – s. 127(1) ................................. #20 (May 16) 5094 Settlement Agreement ........................ #20 (May 16) 5112 Notice of Hearing ............................... #24 (June 13) 5909 Notice from the Office of the Secretary .................................. #24 (June 13) 5929 Notice from the Office of the Secretary ................................... #30 (July 25) 7365 Order – Rule 11 of the OSC Rules of Practice ................................. #30 (July 25) 7401 Notice of Hearing – ss. 127(1), 127.1 .............................. #36 (Sept. 5) 8681 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8685 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8951 Order – ss. 127(1), 127.1 .................. #37 (Sept. 12) 8972 Order ................................................. #37 (Sept. 12) 8988 Settlement Agreement ...................... #37 (Sept. 12) 8991 Sanofi Decision ........................................... #46 (Nov. 14) 10809 Saputo Inc. Orders– s. 104(2)(c) ........................... #24 (June 13) 5950 Saratoga Finance Inc. Voluntary Surrender ................................ #3 (Jan. 17) 961 Voluntary Surrender of Registration ..................................... #29 (July 18) 7325 Sbaraglia, Peter Notice from the Office of the Secretary ....................................... #3 (Jan. 17) 774 Order ....................................................... #3 (Jan. 17) 816 Order ........................................... #7 (Feb 14) 1674, 1685 Notice from the Office of the Secretary ........................... #7 (Feb 14) 1648, 1652

Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice of Hearing – s. 127 ..................... #10 (Mar 7) 2247 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2261 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2264 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2265 Order ..................................................... #10 (Mar 7) 2302 Order – Rule 4.7(2) of the OSC Rules of Procedure ................................ #10 (Mar 7) 2318 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2550 Order ................................................... #11 (Mar 14) 2572 Settlement Agreement ......................... #11 (Mar 14) 2609 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2880 OSC Reasons (Oral) – Rule 4.7(2) of the OSC Rules of Procedure ........................................ #12 (Mar 21) 2931 Schaumer, Michael Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Schneider Electric S.A. Decision ................................................... #6 (Feb 7) 1435 Schoer, Roger Carl Notice from the Office of the Secretary ..................................... #8 (Feb 21) 1857 Order– s. 127 ........................................ #8 (Feb 21) 1864 Scholarship Plan Prospectus Form (Final Publication) News Release ........................................ #3 (Jan. 17) 771 Schooner Trust Decision ................................................ #31 (Aug. 1) 7740



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Schuett, Paul Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ...................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Temporary Order – ss. 127(1), 127(7), 127(8) ................ #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #16 (Apr 18) 4214 Schwartz, George Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 SCOTIA ASSET MANAGEMENT L.P. / GESTION D'ACTIFS SCOTIA S.E.C. Name Change ....................................... #40 (Oct. 3) 9703 Scotia Asset Management L.P. Decision .................................................. #6 (Feb 7) 1432 Decision ............................................ #37 (Sept. 12) 8968 Decision ............................................ #42 (Oct. 17) 10050 Scotia Capital (USA) Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 Scotia Capital Inc. Decision ............................................... #15 (Apr 11) 3867 Decision ............................................... #17 (Apr 25) 4429 Decision ............................................... #31 (Aug. 1) 7714 Decision ............................................ #42 (Oct. 17) 10050 Decision ............................................. #45 (Nov. 7) 10650 Decision ........................................... #50 (Dec. 12) 11792 Scotia Global Climate Change Fund Decision ............................................ #37 (Sept. 12) 8968 Scotia Income Advantage Fund Exemption – s. 2.1(2) of NI 81-101 Mutual Fund Prospectus Disclosure ...................... #43 (Oct. 24) 10415 Scotia Institutional Asset Management US, Ltd. Order – ss. 74(1) and 144 of the Act and ss. 78(1), 80 of the CFA ....... #44 (Oct. 31) 10463 Scotia Private Advantaged Income Pool Decision ............................................ #37 (Sept. 12) 8968

Scotia Vision Aggressive 2010 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotia Vision Aggressive 2015 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotia Vision Aggressive 2020 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotia Vision Aggressive 2030 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotia Vision Conservative 2010 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotia Vision Conservative 2015 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotia Vision Conservative 2020 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotia Vision Conservative 2030 Portfolio Decision ............................................. #37 (Sept. 12) 8968 Scotiabank Subordinated Notes Trust Decision – s. 1(10) ..................................... #1 (Jan. 4) 76 ScotiaMcLeodTM Canadian Core Portfolio Decision ............................................ #48 (Nov. 28) 11360 Scougall Services Limited Partnership Decision ...................................................... #1 (Jan. 4) 69 Sea Port Group Securities, LLC Decision ............................................... #29 (July 18) 7165 Seaborne Minerals Inc. Decision ............................................. #43 (Oct. 24) 10310 SEAMARK Asset Management (2013) Ltd. New Registration ................................. #30 (July 25) 7593 Approval – s. 213(3)(b) of the LTCA ......................................... #36 (Sept. 5) 8931 SEAMARK Asset Management Ltd. Change in Registration Category ........... #3 (Jan. 17) 961 Order – s. 147 ..................................... #30 (July 25) 7408 Change in Name ................................. #30 (July 25) 7593 Decision ................................................ #31 (Aug. 1) 7627 Decision ................................................ #32 (Aug. 8) 7931 Notice of Correction ............................ #34 (Aug. 22) 8330 Second Wave Petroleum Inc. Decision – s. 1(10) ............................... #31 (Aug. 1) 7625 Security Investors, LLC Order – s. 78(1) of the CFA ...................... #1 (Jan. 4) 163 Order – s. 78(1) of the CFA ............... #42 (Oct. 17) 10055 Seif Asset Management Inc. Name Change .......................................... #1 (Jan. 4) 481


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Select American Transfer Co. Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons – s. 127 ..................... #39 (Sept. 26) 9361 Select Financial Services Inc. Voluntary Surrender of Registration ....................................... #27 (July 4) 6891 Seminar on Derivatives Trade Repositories and Data Reporting Rule News Release .................................. #50 (Dec. 12) 11777 Sentry Invesments Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Sentry Investments Inc./Sentry Investissements Inc. Change in Registration Category ......... #17 (Apr 25) 4555 Sentry Select Investments Inc. Voluntary Surrender of Registration ....................................... #19 (May 9) 5023 Serpa, John Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ...................... #39 (Sept. 26) 9341 Settlement Agreement ...................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations ....................... #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 Setanta Asset Management Limited Order – ss. 78(1), 80 of the CFA ........... #19 (May 9) 4800 Setanta Asset Management Limited Order – ss. 78(1), 80 of the CFA ......... #11 (Mar 14) 2586

SG Americas Securities, LLC Decision ............................................... #36 (Sept. 5) 8703 Shallow Oil & Gas Inc. Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 21 Order – ss. 127(1), 127(10) ...................... #1 (Jan. 4) 138 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ............................... #1 (Jan. 4) 191 Shantz, Michael Robert Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) .......................... #13 (Mar 28) 3085 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3108 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4190 Order – s. 127 ...................................... #16 (Apr 18) 4223 Notice from the Office of the Secretary ................................. #24 (June 13) 5931 Order ................................................. #24 (June 13) 5966 OSC Decision .................................... #24 (June 13) 5993 Shanxi Donghui Coal Coking & Chemicals Group Co., Ltd Decision ............................................... #36 (Sept. 5) 8691 Decision ............................................. #38 (Sept. 19) 9130 Sharpe Resources Corporation Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Sheltered Oak Resources Corp. Decision ................................................ #18 (May 2) 4587 Sherman, Adam Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ............................ #14 (Apr 4) 3476 OSC Reasons – s. 127 ........................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 Sherman, Ronald Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9513 Order ..................................................... #40 (Oct. 3) 9564 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10288 Order ................................................. #43 (Oct. 24) 10329 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10779 Order ................................................ #46 (Nov. 14) 10871 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11784 Order ................................................ #50 (Dec. 12) 11825 Sherpa Asset Management Inc. Change in Registration Category ........... #3 (Jan. 17) 961



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Shiff, Andrew Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8)..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary ..................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 .............. #51 (Dec. 19) 12153 Shona Energy Company, Inc. Decision .................................................. #6 (Feb 7) 1423 Shoreline West Asset Management Inc. Change in Registration Category .......... #4 (Jan. 24) 1185 Sierra Madre Developments Inc. Cease Trading Order ......................... #34 (Aug. 22) 8383 Cease Trading Order ......................... #35 (Aug. 29) 8567 Sierra Metals Inc. Decision ...................................................... #1 (Jan. 4) 30 Siklos, Peter Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1033 Temporary Order – ss. 127(1), 127(8) .............................. #4 (Jan. 24) 1054 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Temporary Order – ss. 127(1), 127(8) ............................ #11 (Mar 14) 2592 Notice from the Office of the Secretary ..................................... #18 (May 2) 4580 Temporary Order – ss. 127(1) and (8) ............................... #18 (May 2) 4611 Notice from the Office of the Secretary .................................. #24 (June 13) 5927 Order .................................................. #24 (June 13) 5953 Notice from the Office of the Secretary .................................. #26 (June 27) 6444 Temporary Order – ss. 127(1) and 127(8).......................................... #26 (June 27) 6481 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10028

Temporary Order – ss. 127(1), 127(8) .......................... #42 (Oct. 17) 10071 Silver Bullion Trust Decision .................................................. #3 (Jan. 17) 785 Silverstein, Alan Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8) ..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ............... #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8) ................. #37 (Sept. 12) 8975 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Simply Wealth Financial Group Inc. Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 806 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 773 Order – ss. 127, 127.1 ............................ #3 (Jan. 17) 816 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #20 (May 16) 5099 Singh, Margaret Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 773 Notice of Hearing .................................... #3 (Jan. 17) 762 Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1210 Order – s. 127 ....................................... #5 (Jan 31) 1228 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2262 Order – s. 127 ....................................... #10 (Mar 7) 2307 Notice from the Office of the Secretary .................................. #22 (May 30) 5489 Order .................................................. #22 (May 30) 5506 Notice from the Office of the Secretary ................................... #23 (June 6) 5662 Order ................................................... #23 (June 6) 5699 Notice from the Office of the Secretary ................................. #24 (June 13) 5928 Order ................................................. #24 (June 13) 5961 Notice from the Office of the Secretary ................................. #25 (June 20) 6215 Order ................................................. #25 (June 20) 6247


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Notice from the Office of the Secretary ................................... #28 (July 11) 6940 Order – Pre-Hearing Conference – Rule 6.7 of the OSC Rules of Procedure ............................. #28 (July 11) 6965 Singh, Ron Deonarine Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), 127.1 ...................... #27 (July 4) 6731 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ......................... #27 (July 4) 6758 Sino-Forest Corporation Decision ...................................................... #1 (Jan. 4) 81 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1036 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1037 Order ..................................................... #4 (Jan. 24) 1066 Temporary Order – ss. 127(7), 127(8) .............................. #4 (Jan. 24) 1069 Notice from the Office of the Secretary ................................... #21 (May 23) 5276 Order ................................................... #21 (May 23) 5303 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order ................................................... #30 (July 25) 7423 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8687 Order ................................................... #36 (Sept. 5) 8712 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Order ................................................. #38 (Sept. 19) 9155 Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10286 Order ................................................. #43 (Oct. 24) 10324 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order ................................................ #48 (Nov. 28) 11390 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11822 Sirianni, Vincenzo (Vincent) Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) ...... #27 (July 4) 6664 Notice from the Office of the Secretary ..................................... #27 (July 4) 6685 Notice from the Office of the Secretary ................................... #29 (July 18) 7149 Order – ss. 127(1), 127(10) ................. #29 (July 18) 7193 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 Order– ss. 127(1), 127(10)............... #46 (Nov. 14) 10865 OSC Reasons and Decision – ss. 127(1), 127(10) ....................... #46 (Nov. 14) 10901 Skope Energy Inc. Decision – s. 1(10) .............................. #12 (Mar 21) 2892

SL Split Corp. Decision – s. 1(10)(a)(ii) ........................ #40 (Oct. 3) 9571 Order – s. 1(6) of the OBCA .............. #42 (Oct. 17) 10070 SMBC Nikko Securities America, Inc. Decision ................................................. #27 (July 4) 6700 Smith, Adrion Smith, Adrion Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ....................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing ................................... #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Order ................................................... #11 (Mar 14) 2592 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #16 (Apr 18) 4214 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary ................................. #24 (June 13) 5930 Order ................................................. #24 (June 13) 5963 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) ................... #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) ............... #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) ........... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) .......... #46 (Nov. 14) 10867 Smith, Maisie Notice of Hearing – ss. 127(1), 127(10) ............................ #9 (Feb 28) 1990 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2553 Order – Rules 9, 10 and 11 of the OSC Rules of Procedure ..................... #11 (Mar 14) 2583



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Notice from the Office of the Secretary .................................... #15 (Apr 11) 3833 Order – Rule 9.2 of the OSC Rules of Procedure .............................. #15 (Apr 11) 3882 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – Rules 11.4 and 11.5 of the OSC Rules of Procedure ................ #16 (Apr 18) 4230 Notice from the Office of the Secretary ..................................... #18 (May 2) 4580 Order – ss. 127(1) and (10) .................. #18 (May 2) 4616 OSC Reasons – ss. 127(1) and (10) ............................ #18 (May 2) 4639 Smith, Maizie Notice of Hearing – ss. 127(1), 127(10) ............................ #9 (Feb 28) 1990 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2553 Order – Rules 9, 10 and 11 of the OSC Rules of Procedure .................... #11 (Mar 14) 2583 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3833 Order – Rule 9.2 of the OSC Rules of Procedure .............................. #15 (Apr 11) 3882 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4193 Order – Rules 11.4 and 11.5 of the OSC Rules of Procedure ................ #16 (Apr 18) 4230 Notice from the Office of the Secretary ..................................... #18 (May 2) 4580 Order – ss. 127(1) and (10) .................. #18 (May 2) 4616 OSC Reasons – ss. 127(1) and (10) ............................ #18 (May 2) 4639 Smith, Michael Notice from the Office of the Secretary ..................................... #18 (May 2) 4581 Order– ss. 37, 127, 127.1 ..................... #18 (May 2) 4618 OSC Reasons –s. 127 .......................... #18 (May 2) 4628 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 Order ..................................................... #27 (July 4) 6727 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Decision and Order – ss. 37, 127, 127.1 ............................ #31 (Aug. 1) 7624 Smith, Vernon News Release .................................. #46 (Nov. 14) 10774 Smith, Willoughby Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 17 Order – s. 127 ............................................. #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ............................... #30 (July 25) 7446

SMTC Manufacturing Corporation of Canada Decision ................................................ #15 (Apr 11) 3860 Société de Gestion C.F.G. Heward Ltée/C.F.G. Heward Investment Management Ltd. Change in Registration Category ........ #12 (Mar 21) 3061 Name Change ...................................... #15 (Apr 11) 4091 Société de Gestion d'Investissement Heward Inc./ Heward Investment Management Inc. Name Change ...................................... #15 (Apr 11) 4091 Société en Commandite Fiera Quantum / Fiera Quantum Limited Partnership New Registration .................................. #19 (May 9) 5023 Softchoice Corporation Decision – s. 1(10)(a)(ii) ....................... #31 (Aug. 1) 7748 Solium Capital Inc. Decision .............................................. #45 (Nov. 7) 10634 Solutions Monetaires Monarc Inc./Monarc Money Solutions Inc. Consent to Suspension (Pending Surrender) ......................... #46 (Nov. 14) 11181 Somin Holdings Inc. Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1030 Order .................................................... #4 (Jan. 24) 1050 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2551 Order ................................................... #11 (Mar 14) 2574 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11354 Order ................................................ #48 (Nov. 28) 11394 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11565 Order .................................................. #49 (Dec. 5) 11603 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11785 Order ................................................ #50 (Dec. 12) 11837 Sonoro Energy Ltd. Decision ............................................... #30 (July 25) 7398 Soto, Bianca Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1420 Order – ss. 127(1), (7), (8) ....................... #6 (Feb 7) 1442 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2557 Temporary Order – ss. 127(1), 127(7), 127(8) ................. #11 (Mar 14) 2596 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4187 Temporary Order – ss. 127(1), 127(7), 127(8) .................. #16 (Apr 18) 4214


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Spartan Oil Corp. Decision – s. 1(10) ................................ #9 (Feb 28) 2007 Sportsclick Inc. Cease Trading Order ............................ #9 (Feb 28) 2141 Cease Trading Order ............................ #10 (Mar 7) 2335 Sprott Resource Lending Corp. Decision ............................................ #37 (Sept. 12) 8964 SSgA Funds Management, Inc. Order – s. 80 of the CFA ....................... #19 (May 9) 4810 Order – s. 80 of the CFA .................... #26 (June 27) 6467 St. Jean, Dale Joseph Edgar Notice of Hearing and Statement of Allegations – s. 127(1), 127(10) ..... #49 (Dec. 5) 11545 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12047 Order – ss. 127(1), 127(10) .............. #51 (Dec. 19) 12082 StableView Asset Management Inc. New Registration .................................. #32 (Aug. 8) 8117 Stans Energy Corp. Cease Trading Order ....................... #50 (Dec. 12) 11847 Cease Trading Order ....................... #51 (Dec. 19) 12171 Starfield Resources Inc. Cease Trading Order ......................... #36 (Sept. 5) 8831 Cease Trading Order ......................... #35 (Aug. 29) 8567 Starlight U.S. Multi-Family Core Fund Decision .............................................. #20 (May 16) 5087 State Street Global Advisors, Ltd. Order – s. 80 of the CFA ....................... #19 (May 9) 4810 State Street Global Markets, LLC Ruling and Exemption – s. 38 of the Act and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options ...... #1 (Jan. 4) 181 Steadyhand Investment Management Ltd. Change in Registration Category .......... #7 (Feb 14) 1793 Stephany, Kimberley Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303

Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ....................... #39 (Sept. 26) 9341 Settlement Agreement ....................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations........................ #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 Sterling Grace & Co. Ltd. News Release .................................. #47 (Nov. 21) 11207 Opportunity to be Heard by the Director – s. 31 ...................... #47 (Nov. 21) 11243 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11562 OSC Reasons (Stay Order) – s. 8(4) ......................... #49 (Dec. 5) 11637 Sterling Shoes Inc. Cease Trading Order ......................... #38 (Sept. 19) 9169 Cease Trading Order ............................. #40 (Oct. 3) 9599 Stewards Canada Decision ............................................ #47 (Nov. 21) 11226 Stone Asset Management Limited Change in Registration Category ..... #46 (Nov. 14) 11181 Strata-Trade Corporation Notice of Hearing and Statement of Allegations – s. 127(1), 127(10) ........................... #49 (Dec. 5) 11545 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12047 Order – ss. 127(1), 127(10) .............. #51 (Dec. 19) 12082 Strategic Analysis (1994) Corporation Registrant ............................................... #2 (Jan. 10) 741 Strathbridge Asset Management Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ......... #12 (Mar 21) 2913 Strathmore Minerals Corp. Decision .............................................. #45 (Nov. 7) 10633 Strathy Investment Management Limited Name Change ..................................... #23 (June 6) 5879



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Stratigis Capital Advisors Inc. New Registration ................................... #4 (Jan. 24) 1185 Approval – s. 213(3)(b) of the LTCA ...................................... #47 (Nov. 21) 11335 Strike Minerals Inc. Cease Trading Order ........................ #39 (Sept. 26) 9397 Cease Trading Order ............................ #40 (Oct. 3) 9599 Cease Trading Order .......................... #41 (Oct. 10) 9861 Cease Trading Order ........................ #42 (Oct. 17) 10089 Cease Trading Order ........................ #43 (Oct. 24) 10339 Cease Trading Order ........................ #44 (Oct. 31) 10501 Cease Trading Order ......................... #45 (Nov. 7) 10693 Cease Trading Order ....................... #46 (Nov. 14) 11013 Cease Trading Order ....................... #47 (Nov. 21) 11249 Cease Trading Order ....................... #48 (Nov. 28) 11397 Cease Trading Orders ....................... #49 (Dec. 5) 11665 Cease Trading Order ....................... #50 (Dec. 12) 11847 Cease Trading Order ....................... #51 (Dec. 19) 12171 Strumos, Daniel Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3836 Order – Rule 1.5.3 of the OSC Rules of Procedure ..................... #15 (Apr 11) 3885 Order – Rule 9 of the OSC Rules of Procedure ..................... #15 (Apr 11) 3890 Notice of Correction .............................. #19 (May 9) 4746 Notice from the Office of the Secretary ................................... #20 (May 16) 5046 Order – Rules 1.6(2), 4.3(1), 4.5(1), and 4.5(2) of the OSC Rules of Procedure .................... #20 (May 16) 5091 Notice from the Office of the Secretary .................................. #26 (June 27) 6441 Order– ss. 127 and 127.1 .................. #26 (June 27) 6476 OSC Reasons ................................... #26 (June 27) 6500 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Order – ss. 127, 127.1 ......................... #31 (Aug. 1) 7759 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Order – ss. 127, 127.1 ....................... #35 (Aug. 29) 8529 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ...................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Order – ss. 127, 127.1 ....................... #49 (Dec. 5) 11595 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ...................... #49 (Dec. 5) 11613 Stuart Investment Management Limited Decision .............................................. #41 (Oct. 10) 9751 Change of Registration .................... #50 (Dec. 12) 11971

Sullivan II, Myron Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) .......................... #13 (Mar 28) 3080 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3107 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4189 Order – s. 127 ...................................... #16 (Apr 18) 4223 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– s. 127 ....................................... #18 (May 2) 4604 Sullivan, Fred Myron George Notice of Hearing and Statement of Allegations – ss. 127(1), 127(10) .......................... #13 (Mar 28) 3080 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3107 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4189 Order – s. 127 ...................................... #16 (Apr 18) 4223 Notice from the Office of the Secretary .................................... #18 (May 2) 4573 Order– s. 127 ....................................... #18 (May 2) 4604 Summers, Keith Macdonald Notice of Hearing – ss. 127(7), 127(8) ............................. #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7617 Order– ss. 127(1), 127(5) ..................... #31 (Aug. 1) 7765 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Temporary Order – ss. 127(1), 127(8) ........................... #33 (Aug. 15) 8191 Sun Capital Advisers LLC Order – s. 80 of the CFA .................... #45 (Nov. 7) 10662 Sun Life Dynamic Equity Income Fund Decision .............................................. #21 (May 23) 5289 Sun Life Global Investments (Canada) Inc. Commission Order (s. 147) and Director Exemption Decision (s. 6.1 of OSC Rule 13-502 Fees) re OSC Staff Notice 33-739 Termination of the Ontario Contingency Trust Fund ........ #12 (Mar 21) 2913. Decision .............................................. #21 (May 23) 5289 Decision .............................................. #21 (May 23) 5292 Decision ................................................ #31 (Aug. 1) 7746 Sun Life Investment Management Inc. New Registration ................................ #45 (Nov. 7) 10755


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Suncastle Developments Corporation Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 37, 127, 127.1 .................... #9 (Feb 28) 2055 OSC Reasons – s. 127 ......................... #9 (Feb 28) 2104 Notice from the Office of the Secretary ..................................... #19 (May 9) 4754 Order – Rules 1.6(2) and 11.5 of the OSC Rules of Procedure ...................... #19 (May 9) 4793 News Release .................................... #49 (Dec. 5) 11555 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11564 Order – ss. 127, 127.1 ....................... #49 (Dec. 5) 11600 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ...................... #49 (Dec. 5) 11642 Sundance Minerals Ltd. Decision ................................................ #19 (May 9) 4763 Sunderji, Adil Notice of Hearing – ss. 127(1), 127.1 .............................. #12 (Mar 21) 2872 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2879 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2885 Order – Rule 9 of the OSC Rules of Procedure .................... #12 (Mar 21) 2907 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2909 Settlement Agreement ........................ #12 (Mar 21) 2934 Notice from the Office of the Secretary .................................... #23 (June 6) 5661 Order .................................................... #23 (June 6) 5697 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order .................................................. #34 (Aug. 22) 8379 Sun-Rype Products Ltd. Decision ............................................. #45 (Nov. 7) 10629 SUNS Group News Release ................................... #44 (Oct. 31) 10428 Sunshine Silver Mines Corporation Decision ................................................ #7 (Feb 14) 1653 Sunstone (No. 3) Limited Partnership Decision – s. 1(10) .............................. #11 (Mar 14) 2560 Sunstone (No.4) Limited Partnership Decision .................................................. #2 (Jan. 10) 563 Decision .................................................. #2 (Jan. 10) 567 Decision – s. 1(10) .............................. #11 (Mar 14) 2561 Sunstone Opportunity Fund (2006) Limited Partnership Decision – s. 1(10) .............................. #11 (Mar 14) 2559 Sunstone U.S. (2008) L.P Decision .................................................. #2 (Jan. 10) 601

Sunstone U.S. (No. 2) L.P. Decision .................................................. #14 (Apr 4) 3459 Sunstone U.S. Opportunity (No. 2) Realty Trust Decision .................................................. #14 (Apr 4) 3459 Sunstone U.S. Opportunity (No. 4) Realty Trust Decision .......................................... #2 (Jan. 10) 563, 567 Sunstone U.S. Opportunity Realty Trust Decision .................................................. #2 (Jan. 10) 601 Swaby, Paul Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), 127.1 ...................... #27 (July 4) 6731 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1.......................... #27 (July 4) 6758 SwapEx, LLC Order – s. 147 .................................... #45 (Nov. 7) 10679 Marketplaces ...................................... #45 (Nov. 7) 10757 Syndications Canada Inc. Notice from the Office of the Secretary .................................... #15 (Apr 11) 3834 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3836 Order – Rule 1.5.3 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3885 Order – Rule 9 of the OSC Rules of Procedure ...................... #15 (Apr 11) 3890 Notice of Correction .............................. #19 (May 9) 4746 Notice from the Office of the Secretary .................................. #20 (May 16) 5046 Order – Rules 1.6(2), 4.3(1), 4.5(1), and 4.5(2) of the OSC Rules of Procedure .................... #20 (May 16) 5091 Notice from the Office of the Secretary ................................. #26 (June 27) 6441 Order– ss. 127 and 127.1 .................. #26 (June 27) 6476 OSC Reasons .................................. #26 (June 27) 6500 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Order – ss. 127, 127.1 .......................... #31 (Aug. 1) 7759 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8489 Order – ss. 127, 127.1 ........................ #35 (Aug. 29) 8529 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8949 Order – ss. 127, 127.1 ....................... #37 (Sept. 12) 8983 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Order – ss. 127, 127.1 ........................ #49 (Dec. 5) 11595 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1....................... #49 (Dec. 5) 11613 System for Electronic Disclosure by Insiders (SEDI) News Release .................................. #47 (Nov. 21) 11206



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System for Electronic Documents Analysis and Retrieval (SEDAR) News Release .................................. #47 (Nov. 21) 11206 Systematech Solutions Inc. Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2005 Order – s. 127(1) ................................... #9 (Feb 28) 2057 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – s. 127(1) ................................ #35 (Aug. 29) 8542 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – s. 127(1) ............................... #38 (Sept. 19) 9154 Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10437 Order – s. 127(1) ............................... #44 (Oct. 31) 10470 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10617 Order – s. 127(1) ................................ #45 (Nov. 7) 10673 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – s. 127(1) .............................. #46 (Nov. 14) 10866 Order – s. 127(1) .............................. #46 (Nov. 14) 10874 Notice of Hearing – ss. 127(1), 127.1 ........................... #47 (Nov. 21) 11200 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11208 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11209 Order ................................................ #47 (Nov. 21) 11236 Settlement Agreement ..................... #47 (Nov. 21) 11237 T. Rowe Price (Canada), Inc. Decision .............................................. #28 (July 11) 6955 T.E. Investment Counsel Inc. Decision ................................................ #40 (Oct. 3) 9533 TAC Gold Corp. Cease Trading Order ........................ #42 (Oct. 17) 10089 TAC Gold Corporation Order– s. 144 .................................... #42 (Oct. 17) 10056 Taggart Capital Corp. Decision – s. 1(10)(a)(ii) ........................ #18 (May 2) 4583 Order – s. 1(6) of the OBCA .................. #19 (May 9) 4794 Tai, Dean News Release ..................................... #13 (Mar 28) 3096 News Release ................................... #39 (Sept. 26) 9299 Takota Asset Management, Inc. Opportunity to be Heard by the Director – s. 31 .......................... #31 (Aug. 1) 7808 Talison Lithium Limited Decision – s. 1(10) ............................... #15 (Apr 11) 3859

Tamarack Acquisition Corp. Decision – s. 1(10)(a)(ii) ................... #46 (Nov. 14) 10864 Tang, Weizhen Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1037 Temporary Order – ss. 127(7), 127(8) .............................. #4 (Jan. 24) 1067 Temporary Order – ss. 127(7),(8) ..................................... #7 (Feb 14) 1667 Temporary Order – ss. 127(7),(8) ..................................... #7 (Feb 14) 1682 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1651 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Temporary Order – ss. 127(7), 127(8) ........................... #33 (Aug. 15) 8189 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Temporary Order – ss. 127(7), 127(8) ........................... #35 (Aug. 29) 8549 Notice of Hearing – ss. 127(1), 127(10) .......................... #41 (Oct. 10) 9719 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9728 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9729 Temporary Order – ss. 127(7) and (8) ............................. #41 (Oct. 10) 9774 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11209 Order – ss. 127(1), 127(10) .............. #47 (Nov. 21) 11235 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Temporary Order – ss. 127(7) and (8) .......................... #48 (Nov. 28) 11382 Tanq Capital Corporation Decision – s. l(10)(a)(ii) ......................... #5 (Jan 31) 1214 Order – s. 1(6) of the OBCA .................. #5 (Jan 31) 1221 Taylor Asset Management Inc. Approval – s. 213(3)(b) of the LTCA ........................................ #20 (May 16) 5251 Taylor, Steven M. Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 TCC Industries, Inc. Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons (Reasons and Decision) – s. 127 .............................. #39 (Sept. 26) 9361


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TD Asset Management Inc. Decision ............................................ #37 (Sept. 12) 8959 Decision ............................................ #43 (Oct. 24) 10300 TD Canadian Quantitative Research Portfolio Decision ................................................ #10 (Mar 7) 2278 TD Securities Inc. Decision ............................................... #15 (Apr 11) 3867 Decision ................................................ #27 (July 4) 6700 Notice from the Office of the Secretary ................................... #30 (July 25) 7370 OSC Reasons – ss. 8(3), 27.1 ........... #30 (July 25) 7492 Decision ............................................... #31 (Aug. 1) 7704 TD Waterhouse Canada Inc. Decision ............................................... #31 (Aug. 1) 7704 Decision ........................................... #47 (Nov. 21) 11219 TD Waterhouse Private Investment Counsel Inc. Decision ............................................ #43 (Oct. 24) 10300 Telfer, Ian Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1209 Order – s. 127 ........................................ #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................ #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ...................... #39 (Sept. 26) 9341 Settlement Agreement ...................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations ....................... #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133 Telus Corporation Order – s. 104(2)(c) ........................... #33 (Aug. 15) 8184 Order – s. 104(2)(c) ........................... #35 (Aug. 29) 8546 Tempered Investment Management Ltd. New Registration .................................... #5 (Jan 31) 1377 Tenth Power Technologies Corp. Decision – s. 1(10) ............................... #23 (June 6) 5694

TeraExchange, LLC Order – s. 147 .................................... #41 (Oct. 10) 9824 Tetrem Capital Management Ltd. Registrant ............................................... #2 (Jan. 10) 741 TG Residential Value Properties Ltd. Cease Trading Order ........................ #47 (Nov. 21) 11249 Cease Trading Order ........................ #48 (Nov. 28) 11397 Thales Decision .............................................. #20 (May 16) 5075 Thallion Pharmaceuticals Inc. Decision – s. 1(10) ................................ #40 (Oct. 3) 9532 Third Eye Capital Management Inc. Change in Registration Category ........ #13 (Mar 28) 3399 Thomson Reuters (SEF) LLC Order – s. 147 ..................................... #41 (Oct. 10) 9835 Thomson Reuters Corporation Decision ............................................... #13 (Mar 28) 3153 Tiffin Financial Corporation Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 17 Order – s. 127 ............................................ #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ................................ #30 (July 25) 7446 Tiffin, Daniel Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 17 Order – s. 127 ............................................ #1 (Jan. 4) 88 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – s. 127 ..................................... #30 (July 25) 7406 OSC Reasons (Reasons and Decision) – s. 127 ................................ #30 (July 25) 7446 Tiger Resources Limited Order ................................................. #44 (Oct. 31) 10466 Tim Hortons Inc. Order – s. 104(2)(c) ............................ #21 (May 23) 5299 Order – s. 104(2)(c) ............................ #49 (Dec. 5) 11609 Timbercreek Asset Management Ltd. Approval – s. 213(3)(b) of the LTCA ........................................ #49 (Dec. 5) 11755 Timbercreek Mortgage Investment Corporation Decision ............................................... #41 (Oct. 10) 9749 Timbercreek Senior Mortgage Investment Corporation Decision ............................................... #41 (Oct. 10) 9758



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Timbercreek U.S. Multi-Residential Opportunity Fund #1 Decision .............................................. #13 (Mar 28) 3156 Timelo Investment Management Inc. Decision ........................................... #51 (Dec. 19) 12051 Timelo Strategic Opportunities Fund LP Decision ........................................... #51 (Dec. 19) 12051 Timelo Strategic Opportunities Fund Decision ........................................... #51 (Dec. 19) 12051 Tindall, Gregory Dennis Notice of Hearing and Statement of Allegations – s. 127(1), 127(10) .......................... #49 (Dec. 5) 11545 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12047 Order – ss. 127(1), 127(10) .............. #51 (Dec. 19) 12082 TMX Group Inc. Order – s.144 ...................................... #29 (July 18) 7213 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 TMX Select Inc. Marketplaces ..................................... #39 (Sept. 26) 9483 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Todorov, Evgueni Notice of Hearing – ss. 127(1), 127.1 .............................. #12 (Mar 21) 2872 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2879 Notice from the Office of the Secretary ................................... #12 (Mar 21) 2885 Order – Rule 9 of the OSC Rules of Procedure .................... #12 (Mar 21) 2907 Order – ss. 127, 127.1 ........................ #12 (Mar 21) 2909 Settlement Agreement ........................ #12 (Mar 21) 2934 Notice from the Office of the Secretary .................................... #23 (June 6) 5661 Order .................................................... #23 (June 6) 5697 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order .................................................. #34 (Aug. 22) 8379 Topol, Robert Notice of Withdrawal ............................. #9 (Feb 28) 1973 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2001 Toronto Standard Condominium Corporation #1703 Order .................................................... #23 (June 6) 5701

Total Capital Canada Ltd. Decision ................................................. #9 (Feb 28) 2017 Total Capital S.A. Decision ................................................. #9 (Feb 28) 2017 Total S.A. Decision ............................................... #23 (June 6) 5673 Tourmaline Partners, LLC Voluntary Surrender of Registration .................................... #34 (Aug. 22) 8475 tpSEF Inc. Order – s. 147 .................................... #41 (Oct. 10) 9840 TQM Pipeline and Company, Limited Partnership Decision .................................................. #2 (Jan. 10) 576 Tradition SEF Inc. Order – s. 147 ..................................... #41 (Oct. 10) 9845 Trafalgar Associates OSC Decision – s. 31 .............................. #6 (Feb 7) 1462 Trans Québec & Maritimes Pipeline Inc. Decision .................................................. #2 (Jan. 10) 576 Transamerica Securities Inc./Valeurs Mobilieres Transamerica Inc. Name Change ..................................... #28 (July 11) 7095 TransCap Corporation Notice of Hearing and Statement of Allegations – s. 127(1), 127(10) ..... #49 (Dec. 5) 11545 Notice from the Office of the Secretary .................................. #49 (Dec. 5) 11561 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12047 Order – ss. 127(1), 127(10) .............. #51 (Dec. 19) 12082 Transglobe Apartment Real Estate Investment Trust Decision ............................................ #47 (Nov. 21) 11215 Tranzeo Wireless Technologies Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Order– s. 144 .................................... #25 (June 20) 6250 Travelers Indemnity Company Ruling – s. 74(1) of the Act and s. 80 of the CFA ................................ #39 (Sept. 26) 9358 Triact Canada Marketplace LP Marketplaces ....................................... #13 (Mar 28) 3401 Marketplaces ..................................... #25 (June 20) 6385 Marketplaces ........................................ #32 (Aug. 8) 8119 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Marketplaces ..................................... #43 (Oct. 24) 10402


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Triangle Petroleum Corporation Decision ...................................................... #1 (Jan. 4) 40 Tricoastal Capital Management Ltd. Notice of Hearing – ss. 127(7), 127(8) ............................. #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7617 Order– ss. 127(1), 127(5)..................... #31 (Aug. 1) 7765 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Temporary Order – ss. 127(1), 127(8) ........................... #33 (Aug. 15) 8191 Tricoastal Capital Partners LLC Notice of Hearing – ss. 127(7), 127(8) ............................. #31 (Aug. 1) 7611 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7617 Order– ss. 127(1), 127(5)..................... #31 (Aug. 1) 7765 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Temporary Order – ss. 127(1), 127(8) ........................... #33 (Aug. 15) 8191 TriDelta Investment Counsel Inc. Change in Registration Category ........ #22 (May 30) 5623 Approval – s. 213(3)(b) ...................... #33 (Aug. 15) 8319 TriOil Resources Ltd. Decision – s. 1(10) ............................. #49 (Dec. 5) 11575 Tri-Star Antimony Canada Inc. Decision – s. 1(10)(a)(ii) ..................... #45 (Nov. 7) 10647 Tri-Star Resources plc Decision ............................................. #34 (Aug. 22) 8361 True North Apartment Real Estate Investment Trust Decision .............................................. #30 (July 25) 7385 Tsatskin, Vadim Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8)..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary ..................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975

Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Tse, Herman Order – s. 127 ........................................ #3 (Jan. 17) 817 Notice from the Office of the Secretary ...................................... #3 (Jan. 17) 775 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2033 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2263 Order – s. 127 ....................................... #10 (Mar 7) 2317 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3109 Order ................................................... #13 (Mar 28) 3166 Notice of Hearing – ss. 127(1), 127.1 of the Act and Rule 12 of the OSC Rules of Procedure ............ #15 (Apr 11) 3828 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3837 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4186 Order – Rules 1.7.4 and 11 of the OSC Rules of Procedure ............ #16 (Apr 18) 4211 Order .................................................... #16 (Apr 18) 4212 Settlement Agreement .......................... #16 (Apr 18) 4233 TSX – Request for Comments – Amendments to Toronto Stock Exchange Company Manual Marketplaces .................................... #48 (Nov. 28) 11516 TSX Inc. – Notice of Withdrawal – Post Only Attribute for Dark Order Types Marketplaces ......................................... #10 (Mar 7) 2528 TSX Inc. and Alpha Exchange Inc. – Fees Filed under Section 8(c) of Recognition Order – Notice of Commission Approval Marketplaces ........................................ #19 (May 9) 5025 TSX Inc. Order – s.144 ...................................... #29 (July 18) 7213 Marketplaces ..................................... #39 (Sept. 26) 9481 Marketplaces ..................................... #39 (Sept. 26) 9483 Order – s. 15.1 of NI 21-101 Marketplace Operation ....... #41 (Oct. 10) 9786 Marketplaces .................................... #46 (Nov. 14) 11184 TTM Resources Inc. Cease Trading Order ........................ #47 (Nov. 21) 11249 Cease Trading Order ........................ #48 (Nov. 28) 11397 TW SEF LLC Order – s. 147 .................................... #41 (Oct. 10) 9850 Order – s. 144 .................................. #50 (Dec. 12) 11826



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Twerdun, Mark Ivan Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2003 Order – ss. 127, 127.1 .......................... #9 (Feb 28) 2052 OSC Reasons – s. 127 ......................... #9 (Feb 28) 2059 News Release ....................................... #10 (Mar 7) 2250 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4407 Order .................................................... #17 (Apr 25) 4451 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9530 Order – ss. 127, 127.1 .......................... #40 (Oct. 3) 9575 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1 ........................ #40 (Oct. 3) 9582 Twerdun, Mark SEE Twerdun, Mark Ivan Two Harbors Investment Corp. Decision ................................................. #14 (Apr 4) 3472 Twoco Petroleums Ltd. Cease Trading Order ........................ #44 (Oct. 31) 10501 Cease Trading Order ....................... #46 (Nov. 14) 11013 U.S. Bancorp Investments, Inc. Decision .............................................. #36 (Sept. 5) 8703 U.S. Global Investors Inc. Decision .............................................. #12 (Mar 21) 2894 U.S. Global Investors, Inc. Voluntary Surrender .............................. #7 (Feb 14) 1793 UBS Securities Canada Inc. Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 UBS Securities LLC Decision ............................................... #17 (Apr 25) 4429 Decision ........................................... #50 (Dec. 12) 11792 Union Bank, N.A. Decision .............................................. #11 (Mar 14) 2563 Union Securities Ltd. Voluntary Surrender ................................ #3 (Jan. 17) 961 United Corporations Limited Decision ...................................................... #1 (Jan. 4) 77 UP Securities Ltd. Voluntary Surrender ................................ #3 (Jan. 17) 961 Voluntary Surrender of Registration ..................................... #36 (Sept. 5) 8929 Valde, Gordon Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771

Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 Valero Energy Corporation Decision ............................................... #13 (Mar 28) 3125 Value Partners Investments Inc. Decision .................................................. #2 (Jan. 10) 597 Value-Contrarian Asset Management Inc./Value-Contrarion, Conseillers En Placements New Registration ................................. #13 (Mar 28) 3399 Vance, Frederick Earl Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 20 Order – s. 21.7 and 8 ............................... #1 (Jan. 4) 136 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1651 Notice of Hearing .................................. #7 (Feb 14) 1646l Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2000 Order – ss. 21.7, 8 ................................. #9 (Feb 28) 2044 Vanguard Investments Canada Inc. Decision ................................................ #31 (Aug. 1) 7636 Variation and Restatement of the Recognition Order of the Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. Clearing Agencies .................................... #1 (Jan. 4) 498 Venga Aerospace Systems Inc. Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Veracap Corporate Finance Limited Name Change ...................................... #4 (Jan. 24) 1185 Veracap M&A International Inc. Name Change ...................................... #4 (Jan. 24) 1185 Victhom Laboratory Inc. Decision ............................................. #26 (June 27) 6463 Vinci S.A. Decision ............................................... #13 (Mar 28) 3128 VisionSky Corp. Decision – s. 1(10) .............................. #13 (Mar 28) 3133 Vuong, April Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2005 Order – s. 127(1) ................................... #9 (Feb 28) 2057 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – s. 127(1) ................................ #35 (Aug. 29) 8542 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9122 Order – s. 127(1) ............................... #38 (Sept. 19) 9154


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Notice from the Office of the Secretary ................................. #44 (Oct. 31) 10437 Order – s. 127(1) ............................... #44 (Oct. 31) 10470 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10617 Order – s. 127(1) ................................ #45 (Nov. 7) 10673 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – s. 127(1) .............................. #46 (Nov. 14) 10866 Order – s. 127(1) .............................. #46 (Nov. 14) 10874 Notice of Hearing – ss. 127(1), 127.1 ........................... #47 (Nov. 21) 11200 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11208 Notice from the Office of the Secretary ................................ #47 (Nov. 21) 11209 Order ................................................ #47 (Nov. 21) 11236 Settlement Agreement ..................... #47 (Nov. 21) 11237 W. H. Stuart Mutuals Ltd. Decision .............................................. #22 (May 30) 5502 Waddell & Reed Financial Inc. Order – ss. 78(1), 80 of the CFA ......... #11 (Mar 14) 2586 Order – ss. 78(1), 80 of the CFA ........... #19 (May 9) 4800 Waheed, Jowdat Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1031 Order ..................................................... #4 (Jan. 24) 1048 Order ..................................................... #4 (Jan. 24) 1049 OSC Reasons (Motion to Quash Summonses) ............................. #4 (Jan. 24) 1071 Notice from the Office of the Secretary ................................... #22 (May 30) 5492 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9119 Order ................................................. #38 (Sept. 19) 9143 Walker, Allan Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 22 Order – ss. 127, 127.1 .............................. #1 (Jan. 4) 139 OSC Reasons – s. 127 ............................. #1 (Jan. 4) 202 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order – ss. 37, 127, 127.1 .................... #4 (Jan. 24) 1061 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2259 Order – ss. 127(7), 127(8)..................... #10 (Mar 7) 2295 Notice from the Office of the Secretary ..................................... #18 (May 2) 4573 Order– ss. 127(7) and 127(8) ................ #18 (May 2) 4605 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – ss. 127(2), 144 ...................... #35 (Aug. 29) 8531 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Order – ss. 127(7), 127(8)................. #37 (Sept. 12) 8975

Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 Order – ss. 37, 127, 127.1 ................ #51 (Dec. 19) 12090 OSC Reasons (Sanctions and Costs) – ss. 37, 127, 127.1 ............... #51 (Dec. 19) 12153 Walter, Bruce Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1031 Order .................................................... #4 (Jan. 24) 1048 Order .................................................... #4 (Jan. 24) 1049 OSC Reasons (Motion to Quash Summonses) ............................. #4 (Jan. 24) 1071 Notice from the Office of the Secretary .................................. #22 (May 30) 5492 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9119 Order ................................................. #38 (Sept. 19) 9143 Warner, Paget Arthurlyn Opportunity to be heard by the Director– s. 31 ............................ #40 (Oct. 3) 9577 Wasco Capital Inc. Cease Trading Order ........................... #41 (Oct. 10) 9861 Cease Trading Order ......................... #43 (Oct. 24) 10339 Wash, Kevin Notice from the Office of the Secretary .......................................... #1 (Jan. 4) 21 Order – ss. 127(1), 127(10) ...................... #1 (Jan. 4) 138 OSC Reasons (Sanctions) – ss. 127(1), 127(10) ............................... #1 (Jan. 4) 191 WaterStreet Capital Counsel Inc. Voluntary Surrender ............................. #40 (Oct. 3) 9703 Wealth Advisory Services Ltd. Suspension (Section 29(1) of the Securities Act) ............................... #6 (Feb 7) 1581 Wealth Building Mortgages Inc. Notice of Hearing – s. 127 ..................... #9 (Feb 28) 1983 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1999 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 2004 Order – ss. 127, 127.1 ........................... #9 (Feb 28) 2056 Settlement Agreement ........................... #9 (Feb 28) 2132 Notice from the Office of the Secretary ..................................... #10 (Mar 7) 2260 Order – ss. 127(1), 127.1 ...................... #10 (Mar 7) 2301 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3089 Notice of Hearing – s. 127 of the Act and Rule 12 of the OSC Rules of Procedure .............................. #13 (Mar 28) 3090 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3110 Notice from the Office of the Secretary ................................... #13 (Mar 28) 3111



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Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3456 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3457 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3485 Order – ss. 127(1) and 127.1 ................. #14 (Apr 4) 3493 Settlement Agreement ........................... #14 (Apr 4) 3643 Settlement Agreement ........................... #14 (Apr 4) 3654 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3829 Order – ss. 127(1), 127.1 ..................... #15 (Apr 11) 3873 Webb Asset Management Canada, Inc. Suspension pursuant to Section 29(1) of the Securities Act ........ #9 (Feb 28) 2227 Decision .............................................. #13 (Mar 28) 3135 Webb Enhanced Growth FundWebb Enhanced Income Fund Decision .............................................. #13 (Mar 28) 3135 Webster, Joel Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1649 Notice of Hearing .................................. #7 (Feb 14) 1640 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2556 Order ................................................... #11 (Mar 14) 2592 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Order .................................................... #16 (Apr 18) 4217 Notice from the Office of the Secretary .................................. #24 (June 13) 5930 Order .................................................. #24 (June 13) 5963 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8492 Order – ss. 127(1), (7, (8) .................. #35 (Aug. 29) 8543 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9529 Order – ss. 127(1), (7) and (8) .............. #40 (Oct. 3) 9567 Notice from the Office of the Secretary ................................. #42 (Oct. 17) 10027 Order – ss. 127(1), (7) and (8) .......... #42 (Oct. 17) 10067 Amended Notice of Hearing and Amended Statement of Allegations .... #45 (Nov. 7) 10609 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10620 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10778 Order – ss. 127(1), (7) and (8) ......... #46 (Nov. 14) 10867 Weeres, Steven Vincent Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1648 Notice of Hearing .................................. #7 (Feb 14) 1636 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1997 Order – s. 127 ....................................... #9 (Feb 28) 2034 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3451 Order – ss. 127(1) and 127(10) .............. #14 (Apr 4) 3480

OSC Reasons (Sanctions) – ss. 127(1), 127(10) ............................. #14 (Apr 4) 3608 Weizhen Tang and Associates Inc. Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1037 Temporary Order – ss. 127(7), 127(8) ............................. #4 (Jan. 24) 1067 Temporary Order – ss. 127(7),(8) ........................... #7 (Feb 14) 1667, 1682 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Temporary Order – ss. 127(7), 127(8) ........................... #33 (Aug. 15) 8189 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Temporary Order – ss. 127(7), 127(8) ........................... #35 (Aug. 29) 8549 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9728 Temporary Order – ss. 127(7) and (8) ............................. #41 (Oct. 10) 9774 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Temporary Order – ss. 127(7) and (8) .......................... #48 (Nov. 28) 11382 Weizhen Tang Corp. Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1037 Temporary Order – ss. 127(7), 127(8) ............................. #4 (Jan. 24) 1067 Temporary Order – ss. 127(7),(8) ........................... #7 (Feb 14) 1667, 1682 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1647 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8161 Temporary Order – ss. 127(7), 127(8) ........................... #33 (Aug. 15) 8189 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8493 Temporary Order – ss. 127(7), 127(8) ........................... #35 (Aug. 29) 8549 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9728 Temporary Order – ss. 127(7) and (8) ............................. #41 (Oct. 10) 9774 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11352 Temporary Order – ss. 127(7) and (8) .......................... #48 (Nov. 28) 11382 Welcome Place Inc. Notice of Hearing – ss. 127(7), 127(8) ............................ #28 (July 11) 6934 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Temporary Order – ss. 127(1), 127(5) ............................ #28 (July 11) 6962


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Notice from the Office of the Secretary ................................... #29 (July 18) 7155 Order – ss. 127(1), 127(7) and 127(8) ............................... #29 (July 18) 7211 Wellington West Asset Management Inc. Voluntary Surrender of Registration ..................................... #29 (July 18) 7325 Wellington West Total Wealth Management Inc. Voluntary Surrender of Registration ..................................... #29 (July 18) 7325 Wells Fargo Securities Canada, Ltd. Name Change ..................................... #12 (Mar 21) 3061 Wells Fargo Securities, LLC Decision ................................................ #27 (July 4) 6710 Wenzel Downhole Tools Ltd. Decision ............................................. #35 (Aug. 29) 8527 Wescast Industries Inc. Decision ................................................ #19 (May 9) 4765 Western Financial Group Inc. Decision ................................................ #9 (Feb 28) 2008 Western Wind Energy Corp. Notice of Hearing – ss. 104, 127 ............. #6 (Feb 7) 1418 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1422 Order– ss. 104, 127 .............................. #7 (Feb 14) 1678 Notice from the Office of the Secretary ..................................... #7 (Feb 14) 1650 Decision ................................................ #18 (May 2) 4594 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 Decision ................................................ #27 (July 4) 6689 OSC Reasons ...................................... #27 (July 4) 6749 WesternZagros Resources Ltd. Decision ................................................ #18 (May 2) 4588 Westwood International Advisors Inc. Change in Registration Category .......... #8 (Feb 21) 1959 Wetston, Howard – Appointed Vice Chair of IOSCO News Release ........................................ #14 (Apr 4) 3445 WFG Securities of Canada Inc./WFG Valeurs Mobilieres du Canada Inc. Name Change ..................................... #28 (July 11) 7095 WGI Holdings, Inc. Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons – s. 127 ..................... #39 (Sept. 26) 9361

Whidden, David Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), 127.1 ...................... #27 (July 4) 6731 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1.......................... #27 (July 4) 6758 White Capital Corporation OSC Decision – s. 31 ............................. #3 (Jan. 17) 819 Notice of Hearing – s. 8(4) .................... #4 (Jan. 24) 1028 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1030 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order– s. 8(4) ....................................... #4 (Jan. 24) 1063 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3830 Order – s. 8(4) ...................................... #15 (Apr 11) 3874 Opportunity to be Heard by the Director and Addendum – s. 31 .......... #21 (May 23) 5313 Suspended (Regulatory Action) .......... #22 (May 30) 5623 News Release ....................................... #27 (July 4) 6673 Notice from the Office of the Secretary ..................................... #27 (July 4) 6684 White Hat Corporation Decision – s. 1(10) .............................. #23 (June 6) 5694 Order – s. 1(6) of OBCA .................... #25 (June 20) 6242 White Rock Capital Partners Inc. Order – s. 144 .......................................... #1 (Jan. 4) 131 White, Matthew Robert Notice of Hearing – s. 8(4) .................... #4 (Jan. 24) 1028 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1030 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1035 Order– s. 8(4) ....................................... #4 (Jan. 24) 1063 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3830 Order – s. 8(4) ...................................... #15 (Apr 11) 3874 News Release ....................................... #27 (July 4) 6673 Notice from the Office of the Secretary ..................................... #27 (July 4) 6684 White, Matthew OSC Decision – s. 31 ............................. #3 (Jan. 17) 819 Opportunity to be Heard by the Director and Addendum – s. 31 .......... #21 (May 23) 5313 Whitemud Resources Inc. Order – s. 144 ...................................... #15 (Apr 11) 3894 Cease Trading Order ............................ #15 (Apr 11) 3927 Whitetooth Capital Corp. New Registration ................................. #23 (June 6) 5879 Wildcat Silver Corporation Decision .............................................. #22 (May 30) 5495



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William Blair & Company, L.L.C. Decision ................................................ #27 (July 4) 6700 Wilson, John Russell Notice from the Office of the Secretary ...................................... #5 (Jan 31) 1208 Order – Rule 9 of the OSC Rules of Procedure ....................... #5 (Jan 31) 1224 Notice from the Office of the Secretary and Amended Statement of Allegations ....................... #18 (May 2) 4575 Notice from the Office of the Secretary .................................... #32 (Aug. 8) 7922 Order – Rule 3 of the OSC Rules of Procedure ..................... #32 (Aug. 8) 7968 Notice from the Office of the Secretary .................................. #35 (Aug. 29) 8490 Order – Rule 3 of the OSC Rules of Procedure ................... #35 (Aug. 29) 8534 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9119 Order – Rule 3 of the OSC Rules of Procedure .................. #38 (Sept. 19) 9141 Winchester Capital Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Winchester Capital Trust Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Winchester Financial Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Winchester Leasing Group Inc. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489

Winchester Leasing Trust Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Winchester Real Estate Investment Trust Ltd. Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Winchester Securities Corporation Notice of Hearing – ss. 127(1), 127.1 ................................. #14 (Apr 4) 3429 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3448 Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3454 Order ...................................................... #14 (Apr 4) 3489 Windermere Capital (Canada) Inc. Change in Registration Category ........ #13 (Mar 28) 3399 Win-Eldrich Mines Limited Cease Trading Order .......................... #20 (May 16) 5119 Cease Trading Order .......................... #22 (May 30) 5517 Wing, Dennis Notice from the Office of the Secretary ..................................... #5 (Jan 31) 1209 Order – s. 127 ....................................... #5 (Jan 31) 1228 Notice from the Office of the Secretary .................................... #15 (Apr 11) 3835 Order – s. 127 ...................................... #15 (Apr 11) 3889 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Notice of Hearing – ss. 127, 127.1 ................................. #39 (Sept. 26) 9291 News Release ................................... #39 (Sept. 26) 9298 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9311 Order – ss. 127, 127.1 ....................... #39 (Sept. 26) 9341 Settlement Agreement ....................... #39 (Sept. 26) 9384 Notice from the Office of the Secretary and Amended Statement of Allegations........................ #40 (Oct. 3) 9514 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10780 Order – Rules 1.4 and 1.6(2) of the OSC Rules of Procedure ............ #46 (Nov. 14) 10876 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12048 OSC Reasons .................................. #51 (Dec. 19) 12133


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Winget, Julie Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1034 Order ..................................................... #4 (Jan. 24) 1060 Notice of Hearing – ss. 127(1), 127.1 ............................... #17 (Apr 25) 4396 Notice from the Office of the Secretary .................................... #17 (Apr 25) 4405 Notice from the Office of the Secretary ..................................... #19 (May 9) 4754 Order ..................................................... #19 (May 9) 4792 Notice from the Office of the Secretary ................................... #20 (May 16) 5047 Order – s. 127(1) ................................. #20 (May 16) 5094 Settlement Agreement ........................ #20 (May 16) 5112 Notice of Hearing ............................... #24 (June 13) 5909 Notice from the Office of the Secretary .................................. #24 (June 13) 5929 Notice from the Office of the Secretary ................................... #30 (July 25) 7365 Order – Rule 11 of the OSC Rules of Practice ................................. #30 (July 25) 7401 Notice of Hearing – ss. 127(1), 127.1 .............................. #36 (Sept. 5) 8681 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8685 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8947 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8951 Order – ss. 127(1), 127.1 .................. #37 (Sept. 12) 8972 Order ................................................. #37 (Sept. 12) 8988 Settlement Agreement ...................... #37 (Sept. 12) 8991 Winick, Sandy Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 18 Order – Rules 1.5.3 and 4.3 ........................ #1 (Jan. 4) 89 Notice from the Office of the Secretary ..................................... #4 (Jan. 24) 1035 Order ..................................................... #4 (Jan. 24) 1065 Notice from the Office of the Secretary ................................... #11 (Mar 14) 2558 Order – Rules 3.3, 11 .......................... #11 (Mar 14) 2599 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4192 Order – Rule 11.5 of the OSC Rules of Procedure ..................... #16 (Apr 18) 4227 Notice from the Office of the Secretary ................................... #22 (May 30) 5490 Order ................................................... #22 (May 30) 5508 Notice from the Office of the Secretary .................................. #33 (Aug. 15) 8162 Order – s. 127 .................................... #33 (Aug. 15) 8192 OSC Reasons (Reasons and Decision) – s. 127 .............................. #33 (Aug. 15) 8202 Winstar Resources Ltd. Decision – s. 1(10)(a)(ii) ....................... #31 (Aug. 1) 7738

Wong, Jason Notice from the Office of the Secretary ................................. #39 (Sept. 26) 9303 Order – s. 127 ................................... #39 (Sept. 26) 9333 OSC Reasons – s. 127 ...................... #39 (Sept. 26) 9361 World Class Communications Inc. Notice from the Office of the Secretary ................................... #12 (Mar 21) 2878 Order – ss. 127, 127.1 ......................... #12 (Mar 21) 2904 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1........................ #12 (Mar 21) 2919 World Heart Corporation Decision ................................................ #4 (Jan. 24) 1046 Worldsource Securities Inc. Change in Registration Category .......... #9 (Feb 28) 2227 WPT Industrial Real Estate Investment Trust Decision ............................................. #25 (June 20) 6226 Decision ............................................... #30 (July 25) 7373 Decision ............................................. #42 (Oct. 17) 10042 WWE Equity Holdings Inc. Notice of Hearing– ss. 104, 127 .............. #6 (Feb 7) 1418 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1422 Order– ss. 104, 127 ............................... #7 (Feb 14) 1678 Notice from the Office of the Secretary .................................... #7 (Feb 14) 1650. Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 OSC Reasons ...................................... #27 (July 4) 6749 Xceed Mortgage Corporation Order – s. 1(6) of the OBCA ............... #35 (Aug. 29) 8533 Xstrata Canada Corporation Decision ............................................... #13 (Mar 28) 3114 Yeung, Simon Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1036 Notice from the Office of the Secretary .................................... #4 (Jan. 24) 1037 Order .................................................... #4 (Jan. 24) 1066 Temporary Order – ss. 127(7), 127(8) ............................. #4 (Jan. 24) 1069 Notice from the Office of the Secretary .................................. #21 (May 23) 5276 Order .................................................. #21 (May 23) 5303 Notice from the Office of the Secretary ................................... #30 (July 25) 7371 Order ................................................... #30 (July 25) 7423 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8687 Order ................................................... #36 (Sept. 5) 8712 Notice from the Office of the Secretary ................................. #38 (Sept. 19) 9123 Order ................................................. #38 (Sept. 19) 9155



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Notice from the Office of the Secretary ................................. #43 (Oct. 24) 10286 Order ................................................. #43 (Oct. 24) 10324 Notice from the Office of the Secretary ................................ #48 (Nov. 28) 11353 Order ................................................ #48 (Nov. 28) 11390 Notice from the Office of the Secretary ................................ #50 (Dec. 12) 11783 Order ................................................ #50 (Dec. 12) 11822 York Rio Resources Inc. Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 York, Victor Notice from the Office of the Secretary ...................................... #14 (Apr 4) 3446 Order – ss. 127, 127.1 ........................... #14 (Apr 4) 3476 OSC Reasons – s. 127 .......................... #14 (Apr 4) 3499 Notice of Redaction .......................... #46 (Nov. 14) 10771 Notice from the Office of the Secretary ................................ #46 (Nov. 14) 10777 OSC Reasons .................................. #46 (Nov. 14) 10909 You Trade Holdings Limited News Release ................................... #44 (Oct. 31) 10427 Z2A Corp. Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7617 Order – ss. 127, 127.1 ......................... #31 (Aug. 1) 7764 OSC Reasons (Reasons and Decision) – s. 127 ................................ #31 (Aug. 1) 7775 Notice from the Office of the Secretary ................................... #36 (Sept. 5) 8688 Order – ss. 127, 127.1 ........................ #36 (Sept. 5) 8715 Zara Resources Inc. Consent–s. 4(b) ................................. #25 (June 20) 6395 Zetchus, Steven Notice of Hearing – ss. 127(7), 127(8) .................................... #1 (Jan. 4) 11 Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 19 Notice from the Office of the Secretary ........................................... #1 (Jan. 4) 25 Temporary Order – ss. 127(1), 127(5) .................................... #1 (Jan. 4) 90 Temporary Order – ss. 127(7), 127(8) .................................. #1 (Jan. 4) 180 Notice from the Office of the Secretary ..................................... #9 (Feb 28) 1998 Order – ss. 127(7), 127(8)..................... #9 (Feb 28) 2035 Notice from the Office of the Secretary ....................................... #6 (Feb 7) 1419

Notice of Hearing – ss. 37, 127, 127.1 ................................. #6 (Feb 7) 1413 Notice from the Office of the Secretary .................................... #16 (Apr 18) 4188 Order – ss. 127(7), 127(8) .................... #16 (Apr 18) 4219 Notice from the Office of the Secretary .................................. #22 (May 30) 5490 Temporary Order – ss. 127(7) and (8) ............................ #22 (May 30) 5507 Notice from the Office of the Secretary ................................. #26 (June 27) 6440 Temporary Order – ss. 127(7) and 127(8) ..................... #26 (June 27) 6475 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8336 Order – s. 127 .................................... #34 (Aug. 22) 8381 Zhang, Tao Notice of Hearing – ss. 127(7), 127(8) ............................ #28 (July 11) 6934 Notice from the Office of the Secretary ................................... #28 (July 11) 6939 Temporary Order – ss. 127(1), 127(5) ............................ #28 (July 11) 6962 Notice from the Office of the Secretary ................................... #29 (July 18) 7155 Order – ss. 127(1), 127(7) and 127(8) .......... #29 (July 18) 7211 Zhao, Ming Chao Notice of Hearing and Statement of Allegations – ss. 127, 127.1 ............. #19 (May 9) 4748 Notice from the Office of the Secretary .................................... #19 (May 9) 4753 News Release .................................... #21 (May 23) 5275 Notice from the Office of the Secretary .................................. #21 (May 23) 5279 Order – ss. 127(1) and 127.1 and Rule 12 of OSC Rules of Procedure ............................. #21 (May 23) 5308 Zietsoff, Kevin Warren Notice of Hearing – ss. 127, 127.1 .................................. #34 (Aug. 22) 8331 Notice from the Office of the Secretary .................................. #34 (Aug. 22) 8337 Notice from the Office of the Secretary ................................. #37 (Sept. 12) 8948 Order ................................................. #37 (Sept. 12) 8982 Notice from the Office of the Secretary ..................................... #40 (Oct. 3) 9528 Order – s. 127 ....................................... #40 (Oct. 3) 9567 Notice from the Office of the Secretary .................................. #45 (Nov. 7) 10618 Order .................................................. #45 (Nov. 7) 10675 Zompas Consulting Notice from the Office of the Secretary ..................................... #27 (July 4) 6683 Order – ss. 127(1), 127.1 ...................... #27 (July 4) 6731 OSC Reasons (Sanctions and Costs) – ss. 127, 127.1.......................... #27 (July 4) 6758


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Zongshen PEM Power Systems Inc. Decision .................................................. #3 (Jan. 17) 804 Zuk, Robert Patrick Notice from the Office of the Secretary ..................................... #18 (May 2) 4581 Order– ss. 37, 127, 127.1 ..................... #18 (May 2) 4618 OSC Reasons –s. 127 .......................... #18 (May 2) 4628 Notice from the Office of the Secretary ..................................... #27 (July 4) 6675 Order ..................................................... #27 (July 4) 6727 Notice from the Office of the Secretary .................................... #31 (Aug. 1) 7615 Decision and Order – ss. 37, 127, 127.1 ............................ #31 (Aug. 1) 7624 Zungui Haixi Corporation Notice of Hearing – ss. 127, 127.1 ................................. #26 (June 27) 6431 Notice from the Office of the Secretary .................................. #26 (June 27) 6442 Notice from the Office of the Secretary ................................... #30 (July 25) 7367 Order – ss. 127, 127.1 ........................ #30 (July 25) 7406 Notice from the Office of the Secretary ................................... #41 (Oct. 10) 9730 Order – ss. 127, 127.1 ........................ #41 (Oct. 10) 9775 Notice from the Office of the Secretary ................................ #51 (Dec. 19) 12044 Order – ss. 127, 127.1 ..................... #51 (Dec. 19) 12075