Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 33, Issue 5
-- February 5, 2010 --


Table of Contents


Chapter 1 Notices / News Releases 1151
1.1 Notices 1151
1.1.1 Current Proceedings Before The Ontario Securities Commission 1151
1.1.2 CSA Staff Notice 31-314 – NI 31-103 Registration Requirements and Exemptions and Related Instruments – Frequently Asked Questions as of February 5, 2010 1157
1.1.3 OSC Staff Notice 52-718 – IFRS Transition Disclosure Review 1161
1.1.4 Notice – Technical Amendments to CDS Procedures Relating to Housekeeping Items 1163
1.1.5 Assignment of Certain Powers and Duties of the Ontario Securities Commission - s. 6(3) 1165
1.2 Notices of Hearing 1168
1.2.1 Paul Ianniccca – s. 127 1168
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 1168
1.4.1 Nest Acquisitions and Mergers et al. 1168
1.4.2 Irwin Boock et al. 1169
1.4.3 Paul Iannicca 1169
Chapter 2 Decisions, Orders and Rulings 1171
2.1 Decisions 1171
2.1.1 Fortune Valley Resources Inc. – s. 1(10) 1171
2.1.2 Canadian Energy Services L.P. – s. 1(10) 1172
2.1.3 Hillsborough Resources Limited 1173
2.1.4 Allen-Vanguard Corporation 1174
2.1.5 Maximizer Software Inc. – s. 1(10) 1176
2.1.6 Guest-Tek Interactive Entertainment Ltd. – s. 1(10) 1176
2.1.7 Groupe Unipex SAS 1177
2.1.8 Sprott Asset Management LP et al. 1180
2.1.9 Build America Investment Grade Bond Fund 1188
2.2 Orders 1190
2.2.1 Nest Acquisitions and Mergers et al. 1190
2.2.2 Irwin Boock et al. 1191
2.2.3 Alpha ATS LP – 15.1 of National Instrument 21-101 Marketplace Operation and s. 6.1 of Rule 13-502 Fees 1192
2.3 Rulings 1193
2.3.1 TD Wealth Management Services Inc. 1193
Chapter 3 Reasons: Decisions, Orders and Rulings 1197
3.1 OSC Decisions, Orders and Rulings 1197
3.1.1 Trafalgar Associates Limited – s. 31 1197
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 1201
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 1201
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 1201
4.2.2 Outstanding Management & Insider Cease Trading Orders 1201
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 1203
Chapter 8 Notice of Exempt Financings 1279
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 1279
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 1287
Chapter 12 Registrations 1297
12.1.1 Registrants 1297
Chapter 13 SROs, Marketplaces, and Clearing Agencies 1299
13.1 SROs 1299
13.1.1 MFDA Hearing Panel makes findings against Michele and Jeffrey Longchamps 1299
13.1.2 MFDA Sets Dates for Corner, Halladay, Hanson, Moore and Rainbird Hearing in Toronto 1300
13.2 Marketplaces (nil)
13.3 Clearing Agencies 1301
13.3.1 Technical Amendments to CDS Procedures – WR1098 Regulation SHO Correction Screens – Notice of Effective Date 1301
Chapter 25 Other Information 1303
25.1 Exemptions 1303
25.1.1 Man Canada AHL DP Investment Fund – s. 19.1 of NI 41-101 General Prospectus Requirements 1303
Index 1305