Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 33, Issue 4
-- January 29, 2010 --


Table of Contents


Chapter 1 Notices / News Releases 957
1.1 Notices 957
1.1.1 Current Proceedings Before The Ontario Securities Commission 957
1.2 Notices of Hearing (nil)
1.3 News Releases 963
1.3.1 Canadian Securities Regulators Announce New Insider Reporting Regime 963
1.4 Notices from the Office of the Secretary 965
1.4.1 IMG International Inc. et al. 965
1.4.2 Nest Acquisitions and Mergers and Caroline Frayssignes 965
1.4.3 IBK Capital Corp. and William F. White 966
Chapter 2 Decisions, Orders and Rulings 967
2.1 Decisions 967
2.1.1 Uranium Limited 967
2.1.2 Shelton Canada Corp. – s. 1(10) 971
2.1.3 Walton Capital Management Inc. et al. – s. 15.1 of NI 31-103 Registration Requirements and Exemptions 972
2.1.4 AHL Investment Strategies SPC – Class D Man AHL Diversified 2 CAD Notes 974
2.1.5 BMO Group Retirement Services Inc. 977
2.1.6 BMO Group Retirement Services Inc. 983
2.1.7 Man Canada AHL DP Investment Fund 988
2.1.8 Ridgewood Canadian Investment Grade Bond Fund 990
2.1.9 Jim Balsillie and Research In Motion Limited 993
2.1.10 Mike Lazaridis and Research In Motion Limited 995
2.1.11 Maxim Power Corp. 998
2.1.12 Student Transportation of America ULC – s. 1(10) 1001
2.2 Orders 1002
2.2.1 IMG International Inc. et al. – ss. 127(1), 127(8) 1002
2.2.2 Nest Acquisitions and Mergers and Caroline Frayssignes – ss. 127(1), 127(8) 1003
2.2.3 IBK Capital Corp. and William F. White – ss. 127, 127.1 1005
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings (nil)
3.1 OSC Decisions, Orders and Rulings (nil)
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 1007
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1007
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1007
4.2.2 Outstanding Management & Insider Cease Trading Orders 1007
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1009
Chapter 8 Notice of Exempt Financings 1101
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 1101
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1107
Chapter 12 Registrations 1117
12.1.1 Registrants 1117
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1119
13.1 SROs 1119
13.1.1 MFDA Issues Notice of Settlement Hearing Regarding Carmine Mazzotta 1119
13.1.2 MFDA Reschedules Hearing on the Merits in the Matter of Brian Nerdahl 1119
13.1.3 MFDA Hearing Panel Issues Reasons for Decision with respect to Mark Kricievski Settlement Hearing 1120
13.1.4 MFDA Issues Notice of Hearing Regarding Douglas Bryan Ruemper 1120
13.1.5 MFDA Hearing Panel Issues Reasons for Decision with Respect to IOCT Financial Inc. and Michelle Anne Bolhuis Settlement Hearing 1121
13.1.6 MFDA Hearing Panel Approves Settlement Agreement with Carmine Mazzotta 1122
13.1.7 MFDA Sets Date for Calogero Arcuri Hearing in Toronto, Ontario 1123
13.1.8 MFDA Issues Notice of Settlement Hearing Regarding Alan Roy Kruss 1123
13.1.9 MFDA Hearing Panel Issues Reasons for Decision with Respect to Cory Griffiths Settlement Agreement 1124
13.2 Marketplaces (nil)
13.3 Clearing Agencies 1125
13.3.1 Technical Amendments to CDS Procedures – FINet Housekeeping Changes – Notice of Effective Date 1125
13.3.2 Material Amendments to CDS Rules – Issuance of Money Market Securities – Notice and Request for Comment 1128
Chapter 25 Other Information 1147
25.1 Exemptions 1147
25.1.1 AHL Investment Strategies SPC – Class D Man AHL Diversified 2 CAD Notes – s. 19.1 of NI 41-101 General Prospectus Requirements 1147
Index 1149