Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 35, Issue 6
-- February 10, 2012 --

Table of Contents
Chapter 1 Notices / News Releases 1251
1.1 Notices 1251
1.1.1 Current Proceedings Before The Ontario Securities Commission 1251
1.1.2 Notice of Ministerial Approval of Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 1260
1.2 Notices of Hearing 1261
1.2.1 Sage Investment Group et al. – ss. 127, 127.1 1261
1.2.2 Irwin Boock et al. – ss. 127(1), 127.1 1266
1.2.3 Eda Marie Agueci et al. – ss. 127(1), 127.1 1267
1.3 News Releases 1282
1.3.1 Canadian Securities Regulators Modernize Rules Concerning Mutual Funds 1282
1.4 Notices from the Office of the Secretary 1283
1.4.1 Phoenix Credit Risk Management Consulting Inc. et al. 1283
1.4.2 Ameron Oil and Gas Ltd. et al. 1283
1.4.3 Firestar Capital Management Corp. et al. 1284
1.4.4 Bernard Boily 1284
1.4.5 Sage Investment Group et al. 1285
1.4.6 David M. O’Brien 1285
1.4.7 Zungui Haixi Corporation 1286
1.4.8 Bruce Carlos Mitchell 1286
1.4.9 Irwin Boock et al. 1287
1.4.10 Global Energy Group, Ltd. et al. 1287
1.4.11 HEIR Home Equity Investment Rewards Inc. et al. 1288
1.4.12 Vincent Ciccone and Medra Corp. 1288
1.4.13 Ciccone Group et al. 1289
1.4.14 M P Global Financial Ltd. and Joe Feng Deng 1289
1.4.15 Lyndz Pharmaceuticals Inc. et al. 1290
1.4.16 Irwin Boock et al. 1290
1.4.17 Eda Marie Agueci et al. 1291
1.4.18 Global Energy Group, Ltd. et al. 1292
Chapter 2 Decisions, Orders and Rulings 1293
2.1 Decisions 1293
2.1.1 ING Direct Asset Management Limited and ING Direct Funds Limited 1293
2.1.2 Ontario Power Generation Inc. 1297
2.1.3 Vinci S.A. 1299
2.1.4 Sprott Asset Management LP 1304
2.1.5 Sprott Asset Management LP et al. 1309
2.1.6 Hathor Exploration Limited – s. 1(10) 1317
2.1.7 Cenovus Energy Inc. 1318
2.1.8 Credit Suisse Securities (USA) LLC 1321
2.1.9 Third Canadian General Investment Trust Limited 1323
2.1.10 Deans Knight Capital Management Ltd. 1325
2.1.11 Deans Knight Capital Management Ltd. 1330
2.2 Orders 1339
2.2.1 Phoenix Credit Risk Management Consulting Inc. et al. – ss. 127, 127.1, 144 of the SA, s. 9 of the SPPA and Rule 5.2 of the OSC Rules of Procedure 1339
2.2.2 Ameron Oil and Gas Ltd. et al. 1340
2.2.3 Firestar Capital Management Corp. et al. – s. 127 1343
2.2.4 Bernard Boily – Rule 6.7 of the OSC Rules of Procedure 1345
2.2.5 Angus Mining (Namibia) Inc. – s. 104(2)(c) 1347
2.2.6 David M. O’Brien 1350
2.2.7 Zungui Haixi Corporation – ss. 127(1), 127(8) 1352
2.2.8 Bruce Carlos Mitchell – ss. 127, 127.1 1353
2.2.9 Irwin Boock et al. – ss. 127, 127.1 1356
2.2.10 HEIR Home Equity Investment Rewards Inc. et al. – ss. 127(1), 127.1 1359
2.2.11 Vincent Ciccone and Medra Corp. – Rule 6.7 of the OSC Rules of Procedure 1360
2.2.12 Ciccone Group et al. – ss. 127(7), 127(8) 1361
2.2.13 Global Energy Group, Ltd. et al. – s. 127 1362
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 1365
3.1 OSC Decisions, Orders and Rulings 1365
3.1.1 Bruce Carlos Mitchell 1365
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 1373
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1373
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1373
4.2.2 Outstanding Management & Insider Cease Trading Orders 1373
Chapter 5 Rules and Policies 1375
5.1.1 Notice of Amendments to NI 81-102 Mutual Funds, Companion Policy 81-102CP, NI 81-106 Investment Fund Continuous Disclosure, NI 81-101 Mutual Fund Prospectus Disclosure and NI 41-101 General Prospectus Requirements 1375
5.1.2 Amending Instrument to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 1440
Chapter 6 Request for Comments 1445
6.1.1 MI 32-102 Registration Exemptions for Non-Resident Investment Fund Managers and Companion Policy 32-102CP Registration Exemptions for Non-Resident Investment Fund Managers 1445
Chapter 7 Insider Reporting 1465
Chapter 8 Notice of Exempt Financings 1589
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 1589
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1599
Chapter 12 Registrations 1609
12.1.1 Registrants 1609
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1611
13.1 SROs 1611
13.1.1 Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model 1611
13.2 Marketplaces 1612
13.2.1 TRIACT Canada Marketplace LP – Notice of Completion of Staff Review of Proposed Changes – Cancel on Disconnect 1612
13.3.2 TriAct Canada Marketplace LP – Notice of Proposed Changes and Request for Feedback – No Self-Trade Feature 1613
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 1615