Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 34
-- August 26, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 8811
1.1 Notices 8811
1.1.1 Current Proceedings Before The Ontario Securities Commission 8811
1.1.2 OSC Staff Notice 81-715 — Cross-Listings by Foreign Exchange-Traded Funds 8819
1.2 Notices of Hearing (nil)
1.3 News Releases (nil)
1.4 Notices from the Office of the Secretary 8820
1.4.1 Normand Gauthier et al. 8820
1.4.2 MBS Group et al. 8820
1.4.3 Rezwealth Financial Services Inc. et. al. 8821
1.4.4 M.P. Global Financial Ltd. and John Feng Deng 8821
1.4.5 TBS New Media Ltd. al. 8822
1.4.6 Shallow Oil & Gas Inc. et al. 8822
1.4.7 Heir Home Equity Investment Rewards Inc. 8823
Chapter 2 Decisions, Orders and Rulings 8825
2.1 Decisions 8825
2.1.1 HSBC Global Asset Management (Canada) Limited 8825
2.1.2 Leith Wheeler Investment Counsel Ltd. 8834
2.1.3 Torque Energy Inc. 8840
2.1.4 Westcoast Energy Inc. and Union Gas Limited 8841
2.1.5 Aston Hill Management Inc. et al. 8843
2.1.6 Invesco Trimark Ltd. et al. 8850
2.1.7 Sprott Asset Management LP 8854
2.1.8 Fronsac Capital inc. 8857
2.1.9 The Goldfarb Corporation 8858
2.1.10 Altus Group Limited 8860
2.1.11 Pacific Northern Gas Ltd. 8862
2.2 Orders 8863
2.2.1 Normand Gauthier, et. al. 8863
2.2.2 MBS Group et al. 8865
2.2.3 Rezwealth Financial Services Inc. – s. 127 8866
2.2.4 Royal Oak Ventures Inc. – s. 127 8867
2.2.5 TBS New Media Ltd. et al. – ss. 127(7) and 127(8) 8870
2.2.6 The Options Clearing Corporation – s. 144 8873
2.2.7 LCH.Clearnet Limited – s. 144 8876
2.2.8 Shallow Oil & Gas Inc. et al.– ss. 127(1),127(8) 8881
2.2.9 Heir Home Equity Rewards Inc. et al. – ss. 127(1) and 127.1 8883
2.3 Rulings 8884
2.3.1 Macquarie Futures USA Inc. – s. 38 of the CFA and s. 6.1 of Rule 91-502 8884
Chapter 3 Reasons: Decisions, Orders and Rulings 8891
3.1 OSC Decisions, Orders and Rulings 8891
3.1.1 Desron Financial Services Inc. 8891
3.1.2 MP Global Financial Ltd. and Joe Feng Deng 8897
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 8921
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 8921
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 8921
4.2.2 Outstanding Management & Insider Cease Trading Orders 8921
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 8923
Chapter 8 Notice of Exempt Financings 9005
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9005
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9011
Chapter 12 Registrations 9023
12.1.1 Registrants 9023
Chapter 13 SROs, Marketplaces, and Clearing Agencies 9025
13.1 SROs 9025
13.1.1 Notice of Commission Approval – IIROC UMIR Amendments Relating to Market Maker, Odd Lot and Other Marketplace Trading Obligations 9025
13.1.2 Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure Requirements 9037
13.2 Marketplaces (nil)
13.3 Clearing Agencies 9054
13.3.1 CDS – Notice of Withdrawal – Material Amendments to CDS Procedures – Class Code for Federally Guaranteed Securities 9054
13.3.2 The Options Clearing Corporation – Notice of Commission Order – Application for Variation and Restatement of OCC’s Interim Order 9055
13.3.3 LCH.Clearnet Limited – Notice of Commission Order – Application for Variation and Restatement of LCH’s Interim Order 9056
Chapter 25 Other Information 9057
25.1 Approvals 9057
25.1.1 Kensington Capital Advisors Inc. 9057
25.2 Exemptions 9058
25.2.1 United Funds 9058
25.2.2 Castlerock Mutual Funds 9058
Index 9059