Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 35
-- September 2, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 9063
1.1 Notices 9063
1.1.1 Current Proceedings Before The Ontario Securities Commission 9071
1.1.2 Consultation Session on Proposed NI 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers 9072
1.1.3 Seminar on Technical and Environmental Disclosure To Assist Public Mining Companies 9073
1.1.4 CSA Staff Notice 31-327 – Broker-Dealer Registration in the Exempt Market Dealer Category 9075
1.2 Notices of Hearing 9075
1.2.1 Helen Kuszper and Paul Kuszper – ss. 127, 127.1 9075
1.2.2 Global Energy Group, Ltd. et al. – ss. 37, 127 9075
1.2.3 Anthony Ianno et al. – ss. 127 and 127.1 9076
1.3 News Releases 9076
1.3.1 Investor Alert – Anchor Securities Limited and Martin Donald Heppner 9076
1.4 Notices from the Office of the Secretary 9077
1.4.1 Sino-Forest Corporation et al. 9077
1.4.2 Peter Beck et al. 9078
1.4.3 Helen Kuszper and Paul Kuszper 9078
1.4.4 Normand Gauthier et al. 9079
1.4.5 Global Energy Group, Ltd. et al. 9079
1.4.6 Anthony Ianno et al. 9080
Chapter 2 Decisions, Orders and Rulings 9081
2.1 Decisions 9081
2.1.1 Mercator Minerals Ltd. 9081
2.1.2 Investis U.S. Inc. 9084
2.1.3 Elad Canada Inc. 9085
2.1.4 Sundance Energy Corporation 9090
2.1.5 C&C Energia Ltd. 9091
2.1.6 Faircourt Split Trust and Faircourt Asset Management Inc. 9094
2.1.7 Humboldt Capital Corporation 9097
2.1.8 Northcliff Resources Ltd. 9101
2.2 Orders 9103
2.2.1 Sino-Forest Corporation et al. – ss. 127(1), 127(5) 9103
2.2.2 Sino-Forest Corporation et al. – s. 144(1) 9105
2.2.3 Applied Inventions Management Inc. – s. 144 9106
2.2.4 Peter Beck et al. 9108
2.2.5 Sitebrand Inc. – s. 144 9109
2.2.6 Normand Gauthier et al. – s. 127 9111
2.2.7 Paul Azeff et al. 9113
2.2.8 Newlook Industries Corp. – s. 144 9114
2.2.9 ISAM (UK) Limited and ISAM (USA) LLC – s. 80 of the CFA 9116
2.3 Rulings 9112
2.3.1 Rae & Lipskie Investment Counsel Inc. and RaeLipskie Partners’ Equity Fund – s. 74(1) 9122
2.3.1 K.J. Harrison & Partners Inc. – s. 74(1) 9125
Chapter 3 Reasons: Decisions, Orders and Rulings 9129
3.1 OSC Decisions, Orders and Rulings 9129
3.1.1 Anchor Securities Limited and Martin Heppner 9129
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 9131
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9131
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9131
4.2.2 Outstanding Management & Insider Cease Trading Orders 9131
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9133
Chapter 8 Notice of Exempt Financings 9199
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9199
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9203
Chapter 12 Registrations 9211
12.1.1 Registrants 9211
Chapter 13 SROs, Marketplaces, and Clearing Agencies (nil)
13.1 SROs (nil)
13.2 Marketplaces (nil)
13.3 Clearing Agencies (nil)
Chapter 25 Other Information 9213
25.1 Exemptions 9213
25.1.1 Lakeview Disciplined Leadership Canadian Equity Fund et al. 9213
Index 9215