Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 36
-- September 9, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 9219
1.1 Notices 9219
1.1.1 Current Proceedings Before The Ontario Securities Commission 9219
1.1.2 Consultation Session on Proposed NI 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers 9228
1.1.3 Seminar on Technical and Environmental Disclosure to Assist Public Mining Companies 9229
1.1.4 Sundance Energy Corporation – Notice of Correction 9230
1.2 Notices of Hearing 9230
1.2.1 Sino-Forest Corporation et al. – ss. 127(7), 127(8) 9230
1.3 News Releases 9231
1.3.1 Mother and Son Settle with Ontario Securities Commission on Insider Trading Violations 9231
1.3.2 Anthony Ianno Settles with the Ontario Securities Commission 9232
1.4 Notices from the Office of the Secretary 9233
1.4.1 Firestar Capital Management Corp. et al. 9233
1.4.2 Helen Kuszper and Paul Kuszper 9234
1.4.3 Anthony Ianno and Saverio Manzo 9234
1.4.4 Sino-Forest Corporation et al. 9235
1.4.5 Global Energy Group, Ltd. et al. 9235
1.4.6 MBS Group (Canada) Ltd. et al. 9236
1.4.7 Anthony Ianno and Saverio Manzo 9237
1.4.8 Sanjiv Sawh and Vlad Trkulja 9237
1.4.9 Ameron Oil and Gas Ltd. et al. 9238
1.4.10 Sanjiv Sawh and Vlad Trkulja 9238
Chapter 2 Decisions, Orders and Rulings 9239
2.1 Decisions 9239
2.1.1 Venator Capital Management Ltd. and Venator Investment Trust 9239
2.1.2 Children’s Education Funds Inc. and the Children’s Education Trust of Canada Education Savings Plans 9243
2.1.3 Galileo Funds Inc. 9246
2.1.4 K.J. Harrison & Partners Inc. and KJH Capital Preservation Fund 9248
2.1.5 Toronto Trust Management Ltd. and Friedberg Global-Macro Hedge Fund 9250
2.1.6 RBC Global Asset Management Inc. et al. 9252
2.2 Orders 9255
2.2.1 Firestar Capital Management Corp. et al. 9255
2.2.2 Helen Kuszper and Paul Kuszper – ss. 127, 127.1 9257
2.2.3 Anthony Ianno and Saverio Manzo 9258
2.2.4 iShares DEX Short Term Corporate Universe + Maple Bond Index Fund – s. 1.1 9259
2.2.5 RBC Target 2013 Corporate Bond ETF et al. – s. 1.1 9260
2.2.6 Global Energy Group, Ltd. et al. – ss. 37, 127(1) 9261
2.2.7 Global Energy Group, Ltd. et al. – ss. 37, 127(1) 9262
2.2.8 Global Energy Group, Ltd. et al. – ss. 37, 127(1) 9264
2.2.9 MBS Group (Canada) Ltd. et al. – ss. 127(1), 127(5) 9265
2.2.10 Anthony Ianno and Saverio Manzo 9267
2.2.11 Ameron Oil And Gas Ltd. et al. – ss. 127(7), 127(8) 9267
2.2.12 Sanjiv Sawh and Vlad Trkulja 9270
2.2.13 Ontario Genomics Institute 9270
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 9273
3.1 OSC Decisions, Orders and Rulings 9273
3.1.1 Helen Kuszper and Paul Kuszper 9273
3.1.2 Helen Kuszper and Paul Kuszper 9279
3.1.3 Anthony Ianno and Saverio Manzo 9285
3.1.4 Global Energy Group, Ltd. et al. 9290
3.1.5 Global Energy Group, Ltd. et al. 9296
3.1.6 Global Energy Group, Ltd. et al. 9302
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 9309
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9309
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9309
4.2.2 Outstanding Management & Insider Cease Trading Orders 9309
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9311
Chapter 8 Notice of Exempt Financings 9409
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9409
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9413
Chapter 12 Registrations 9425
12.1.1 Registrants 9425
Chapter 13 SROs, Marketplaces, and Clearing Agencies 9427
13.1 SROs (nil)
13.2 Marketplaces 9427
13.2.1 Notice of Alpha Exchange Inc. and Alpha Trading Systems Limited Partnership – Republication for Comment of Proposed Trading Policies and Member Agreement Provisions Respecting the Proposed Market Maker Program for Alpha Exchange Inc. 9427
13.2.2 Amendments to the TSX Company Manual – Notice of Approval 9474
13.2.3 Amendments to Part IV of the TSX Company Manual – Request for Comments 9500
13.3 Clearing Agencies 9507
13.3.1 Notice of Commission Approval – Material Amendments to CDS Rules – Requirement for Uncertificated Withdrawal of Securities 9507
13.3.2 Notice of Effective Date – Technical Amendments to CDS Procedures – Direct Registration Eligibility 9508
13.3.3 Material Amendments to CDS Procedures – Change to Recent Period for FINet Loss Allocation – Request for Comments 9510
Chapter 25 Other Information (nil)
Index 9513