Securities Law & Instruments

Ontario Securities Commission Bulletin (OSCB)



(published weekly on behalf of the OSC by Carswell)


Volume 34, Issue 37
-- September 16, 2011 --


Table of Contents


Chapter 1 Notices / News Releases 9517
1.1 Notices 9517
1.1.1 Current Proceedings Before The Ontario Securities Commission 9517
1.1.2 Consultation Session on Proposed NI 51-103 Ongoing Governance and Disclosure Requirements for Venture Issuers 9526
1.1.3 Seminar on Technical and Environmental Disclosure to Assist Public Mining Companies 9527
1.1.4 CSA Multilateral Staff Notice 51-336 – Issuers Using Mass Advertising 9528
1.1.5 CSA Staff Notice 31-328 – Revocation of Omnibus / Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 9530
1.1.6 OSC Staff Notice 31-714 – OSC Staff Supplement to CSA Staff Notice 31-328 Revocation of Omnibus/Blanket Orders Exempting Registrants from Certain Provisions of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations 9533
1.2 Notices of Hearing 9535
1.2.1 Ian Overton 9535
1.2.2 Canadian Derivatives Clearing Corporation and Sino-Forest Corporation et al. – s. 144 9537
1.3 News Releases 9538
1.3.1 OSC Panel Issues Decision Regarding the Temporary Order Against Alexander Christ Doulis and Liberty Consulting Ltd. 9538
1.4 Notices from the Office of the Secretary 9539
1.4.1 Sino-Forest Corporation et al. 9539
1.4.2 Normand Gauthier et al. 9539
1.4.3 Ian Overton 9540
1.4.4 American Heritage Stock Transfer Inc. et al. 9540
1.4.5 Alexander Christ Doulis et al. 9541
1.4.6 Energy Syndications Inc. et al. 9541
1.4.7 Canadian Derivatives Clearing Corporation and Sino-Forest Corporation et al. 9542
1.4.8 Mark Allen Dennis 9543
1.4.9 Ian Overton 9543
1.4.10 Anthony Ianno and Saverio Manzo 9544
Chapter 2 Decisions, Orders and Rulings 9545
2.1 Decisions 9545
2.1.1 Canadian Imperial Bank of Commerce and CIBC Precious Metals Fund 9545
2.1.2 Canadian Imperial Bank of Commerce and CIBC Canadian Resources Fund 9547
2.1.3 Counsel Portfolio Services Inc. 9550
2.1.4 RBC Global Asset Management Inc. et al. 9553
2.1.5 The Forzani Group Ltd. – s. 1(10) 9557
2.1.6 Mackenzie Financial Corporation and Counsel Portfolio Services Inc. 9558
2.1.7 Energy Income Fund and Crown Hill Capital Corporation 9560
2.1.8 Just Energy Group Inc. 9563
2.1.9 Citadel Income Fund and Crown Hill Capital Corporation 9569
2.1.10 The Filers and the Representative Dealers (as defined below) 9571
2.1.11 Goldstone Resources Inc. – s. 1(10) 9577
2.1.12 Enbridge Income Fund Holdings Inc. 9577
2.1.13 Christopher Miller and other Advising Representatives of Portfolio Managers applying for registration as Dealing Representatives 9581
2.1.14 Vantage Asset Management Inc. and other Portfolio Managers applying for registration in another category 9583
2.1.15 Raymond James Ltd. and certain other registered firms registered as of February 26, 2010 9585
2.1.16 USC Education Savings Plans Inc. and others registered as of November 5, 2010 9587
2.1.17 Scotia Securities Inc. and other Mutual Fund Dealers registered as of November 5, 2010 9589
2.2 Orders 9591
2.2.1 Sino-Forest Corporation et al. – ss. 127(7), 127(8) 9591
2.2.2 Normand Gauthier et al. – s. 127 9592
2.2.3 American Heritage Stock Transfer Inc. et al. – s. 127(8) 9593
2.2.4 Alexander Christ Doulis et al. – s. 127 9594
2.2.5 Energy Syndications Inc. et al. – ss. 127(1), 127(8) 9595
2.3 Rulings (nil)
Chapter 3 Reasons: Decisions, Orders and Rulings 9597
3.1 OSC Decisions, Orders and Rulings 9597
3.1.1 Alexander Christ Doulis et al. – s. 127 9597
3.2 Court Decisions, Order and Rulings (nil)
Chapter 4 Cease Trading Orders 9607
4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders 9607
4.2.1 Temporary, Permanent & Rescinding Management Cease Trade Orders 9607
4.2.2 Outstanding Management & Insider Cease Trading Orders 9607
Chapter 5 Rules and Policies (nil)
Chapter 6 Request for Comments (nil)
Chapter 7 Insider Reporting 9609
Chapter 8 Notice of Exempt Financings 9715
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1 9715
Chapter 9 Legislation (nil)
Chapter 11 IPOs, New Issues and Secondary Financings 9719
Chapter 12 Registrations 9725
12.1.1 Registrants 9725
Chapter 13 SROs, Marketplaces, and Clearing Agencies 9727
13.1 SROs (nil)
13.2 Marketplaces 9727
13.2.1 TSX Trading Rule Amendments Related to Market Making – Request for Comments 9727
13.3 Clearing Agencies (nil)
Chapter 25 Other Information (nil)
Index 9737