Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)


(published weekly on behalf of the OSC by Carswell)


Volume 35, Issue 15
-- April 13, 2012 --

Table of Contents
Chapter 1 Notices / News Releases 3579
1.1 Notices 3579
1.1.1 Current Proceedings Before The Ontario Securities Commission 3579
1.1.2 CSA Staff Notice 11-316 – Notice of Local Amendments – British Columbia 3589
1.1.3 The Investment Funds Practitioner 3597
1.2 Notices of Hearing 3602
1.2.1 Sino-Forest Corporation et al. – ss. 127(7), 127(8) 3602
1.3 News Releases 3603
1.3.1 OSC Lays Quasi Criminal Charges Against Terrence M. Bedford and Joanne Harris Bedford 3603
1.4 Notices from the Office of the Secretary 3604
1.4.1 Marlon Gary Hibbert et al. 3604
1.4.2 Jowdat Waheed and Bruce Walter 3604
1.4.3 Moncasa Capital Corporation and John Frederick Collins 3605
1.4.4 Zungui Haixi Corporation et al. 3605
1.4.5 Juniper Fund Management Corporation et. al. 3606
1.4.6 Sino Forest Corporation et al. 3606
1.4.7 Rezwealth Financial Services Inc. et al. 3607
1.4.8 Abitibibowater Inc. doing business as Resolute Forest Products et al. 3607
1.4.9 Eda Marie Agueci et al. 3608
Chapter 2 Decisions, Orders and Rulings 3609
2.1 Decisions 3609
2.1.1 SXC Health Solutions Corp. 3609
2.1.2 Wild Stream Exploration Inc. and Raging River Exploration Inc. 3612
2.1.3 OANDA (Canada) Corporation ULC 3616
2.1.4 Goldbrook Ventures Inc. 3623
2.1.5 Primero Mining Corp. 3625
2.1.6 Semtech Canada Inc. – s. 1(10) 3628
2.2 Orders 3629
2.2.1 Moncasa Capital Corporation and John Frederick Collins 3629
2.2.2 Jowdat Waheed and Bruce Walter 3629
2.2.3 Juniper Fund Management Corporation et al. 3630
2.2.4 International Strategic Investments et al. 3632
2.2.5 Rezwealth Financial Services Inc. et al. 3632
2.2.6 FundSERV Inc. – s. 21.2 3634
2.2.7 Eda Marie Agueci et al. – s. 127 3643
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 3645
3.1 OSC Decisions, Orders and Rulings 3645
3.1.1 Abitibibowater Inc. doing business as Resolute Forest Products et al. 3645
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 3653
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 3653
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 3653
4.2.2 Outstanding Management & Insider Cease Trading Orders 3653
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 3655
Chapter 8 Notice of Exempt Financings 3763
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 3763
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 3769
Chapter 12 Registrations 3777
12.1.1 Registrants 3777
Chapter 13 SROs, Marketplaces, and Clearing Agencies 3779
13.1 SROs 3779
13.1.1 Notice of Commission Approval – Amendments to IIROC’s proposals to implement the core principles of the Client Relationship Model and related guidance notes 3779
13.1.2 IIROC Rules Notice – Notice of Approval – Client Relationship Model – Implementation 3781
13.1.3 IIROC Rules Notice – Guidance Note – Client Relationship Model 3815
13.1.4 IIROC Rules Notice – Guidance Note – Know your Client and Suitability 3823
13.1.5 OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity 3828
13.1.6 IIROC Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity 3830
13.1.7 OSC Staff Notice of Approval – MFDA amendments to MFDA Rule 3.3.2 and Internal Control Policy Statement 4 3855
13.1.8 Alpha Exchange Inc. – Notice of Proposed Changes and Request for Feedback 3858
13.2 Marketplaces (nil)
13.3 Clearing Agencies 3866
13.3.1 Notice of Commission Order – FundSERV Inc. – Application for Recognition 3866
Chapter 25 Other Information (nil)
Index 3867