Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 33, Issue 28
-- July 16, 2010 --


Table of Contents


Chapter 1 Notices / News Releases 6285
1.1 Notices 6285
1.1.1 Current Proceedings Before The Ontario Securities Commission 6285
1.1.2 Notice of Commission Approval - Amendments to Part VI of the TSX Company Manual 6292
1.1.3 Amendments to MFDA Rule 2.2 Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) 6293
1.1.4 Notice of Commission Approval - Amended MFDA Rules of Procedure 6294
1.1.5 Notice of Approval - Application to Vary and Restate the Recognition Order of CNSX Markets Inc. 6296
1.2 Notices of Hearing 6297
1.2.1 Lehman Brothers & Associates Corp. et al. - ss. 127(7), 127(8) 6297
1.3 News Releases 6298
1.3.1 Canadian Securities Regulators Release MFDA Oversight Review Report 6298
1.3.2 Canadian Securities Regulators Announce Results of Continuous Disclosure Reviews or Fiscal 2010 6299
1.4 Notices from the Office of the Secretary 6300
1.4.1 Lehman Brothers & Associates Corp. et al. 6300
1.4.2 Anthony Ianno and Saverio Manzo 6301
1.4.3 Agoracom Investor Relations Corp. et al. 6301
1.4.4 Carlton Ivanhoe Lewis et al. 6302
1.4.5 Albert Leslie James et al. 6302
1.4.6 Wilton J. Neale et al. 6303
1.4.7 Hillcorp International Services et al. 6303
1.4.8 Global Energy Group, Ltd. and New Gold Limited Partnerships 6304
1.4.9 Wilton J. Neale et al. 6304
1.4.10 Albert Leslie James et al. 6305
1.4.11 Lehman Brothers & Associates Corp. et al. 6305
1.4.12 Carlton Ivanhoe Lewis et al. 6306
Chapter 2 Decisions, Orders and Rulings 6307
2.1 Decisions 6307
2.1.1 Jinshan Gold Mines Inc. 6307
2.1.2 AlphaPro Management Inc. et al. 6311
2.1.3 Invesco Trimark Ltd. and Powershares Tactical Bond Capital Yield Class 6314
2.1.4 Magma Energy Corp 6316
2.2 Orders 6319
2.2.1 Lehman Brothers & Associates Corp. et al. - ss. 127(1), 127(5) 6319
2.2.2 Anthony Ianno and Saverio Manzo 6320
2.2.3 ART Advanced Research Technologies Inc. - s. 144 6320
2.2.4 Agoracom Investor Relations Corp. et al. 6322
2.2.5 Carlton Ivanhoe Lewis et al. - ss. 127(1), 127(8) 6322
2.2.6 Albert Leslie James et al. - ss. 127(1), 127(8) 6324
2.2.7 Wilton J. Neale et al. - ss. 127(1), 127(8) 6325
2.2.8 Hillcorp International Services et al. - ss. 127(1), 127(7), 127(8) 6326
2.2.9 Global Energy Group, Ltd. and New Gold Limited Partnerships - s. 127(8) 6327
2.2.10 MLB Industries Inc. - s. 144 6328
2.2.11 CNSX Markets Inc. - s. 144 of the Act 6330
2.2.12 Wilton J. Neale et al. - ss. 127(10, 127(8) 6341
2.2.13 Albert Leslie James et al. - ss. 127(1), 127(8) 6342
2.2.14 Lehman Brothers & Associates Corp. et al. - ss. 127(7), 127(8) 6344
2.2.15 Carlton Ivanhoe Lewis et al. - ss. 127(1), 127(8) 6345
2.3 Rulings 6347
2.3.1 Heathbridge Capital Management Ltd. - ss. 74(1), 144(1) 6347
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 6351
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 6351
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 6351
4.2.2 Outstanding Management & Insider Cease Trading Orders 6351
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments 6353
6.1.1 Notice and Request for Comment - Proposed NI 25-101 Designated Rating Organizations, Related Policies and Consequential Amendments 6353
Chapter 7 Insider Reporting 6397
Chapter 8 Notice of Exempt Financings 6537
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 6537
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 6545
Chapter 12 Registrations 6553
12.1.1 Registrants 6553
Chapter 13 SROs, Marketplaces, and Clearing Agencies 6555
13.1 SROs 6555
13.1.1 MFDA Rule 2.2 (Client Accounts) 6555
13.1.2 MFDA Policy No. 2 - Minimum Standards for Account Supervision 6557
13.1.3 MFDA Rule 5.3 (Client Reporting) 6569
13.1.4 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision 6572
13.1.5 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) 6599
13.1.6 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses of the MFDA 6604
13.2 Marketplaces 6619
13.2.1 Notice of Approval - Amendments to Part VI of the TSX Company Manual 6619
13.2.2 Alpha ATS LP - Notice of Proposed Changes and Request for Feedback 6628
13.2.3 Alpha ATS LP - Notice of Proposed Changes 6629
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 6631